Securities and Exchange Commission February 2012 – Federal Register Recent Federal Regulation Documents

Results 51 - 100 of 149
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fee Schedule To Increase the Investor Tier 1 Credit for ETP Holders and Market Makers
Document Number: 2012-3671
Type: Notice
Date: 2012-02-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/16/2012-3671.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Transaction Fees for Options on the CBOE Emerging Markets ETF Volatility Index, the CBOE Brazil ETF Volatility Index and CBOE Oil ETF Volatility Index
Document Number: 2012-3641
Type: Notice
Date: 2012-02-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/16/2012-3641.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the NYSE Arca Options Fee Schedule Relating to Post Liquidity Credits
Document Number: 2012-3613
Type: Notice
Date: 2012-02-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/16/2012-3613.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC Relating to Fidelity Bonds
Document Number: 2012-3612
Type: Notice
Date: 2012-02-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/16/2012-3612.html
Self-Regulatory Organizations; NYSE Amex LLC.; Order Granting Approval of Proposed Rule Change Amending NYSE Amex Equities Rules 504 and 509 To Modify the Quoting Requirements Applicable to Designated Market Maker Units Registered in Nasdaq Stock Market Securities Traded on the Exchange Subject to the Unlisted Trading Privileges Pilot Program
Document Number: 2012-3611
Type: Notice
Date: 2012-02-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/16/2012-3611.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the PIMCO Global Advantage Inflation-Linked Bond Strategy Fund Under NYSE Arca Equities Rule 8.600
Document Number: 2012-3610
Type: Notice
Date: 2012-02-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/16/2012-3610.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.23 Relating to Auctions of Exchange-Listed Securities
Document Number: 2012-3609
Type: Notice
Date: 2012-02-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/16/2012-3609.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending an Existing Rebate Relating to Qualified Contingent Cross Orders That Are Entered and Executed Through the Exchange Systems
Document Number: 2012-3608
Type: Notice
Date: 2012-02-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/16/2012-3608.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to Its Automated Improvement Mechanism
Document Number: 2012-3607
Type: Notice
Date: 2012-02-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/16/2012-3607.html
Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Pre-Market Investor Program
Document Number: 2012-3556
Type: Notice
Date: 2012-02-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/15/2012-3556.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Document Number: 2012-3536
Type: Notice
Date: 2012-02-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/15/2012-3536.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change Regarding Suspension of a Participant's Trading Privileges on the Exchange
Document Number: 2012-3472
Type: Notice
Date: 2012-02-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/15/2012-3472.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Adopting FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports
Document Number: 2012-3471
Type: Notice
Date: 2012-02-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/15/2012-3471.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 1.5(q)
Document Number: 2012-3470
Type: Notice
Date: 2012-02-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/15/2012-3470.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Rule 705 (Fidelity Bonds)
Document Number: 2012-3469
Type: Notice
Date: 2012-02-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/15/2012-3469.html
Sunshine Act Meeting Notice
Document Number: 2012-3478
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3478.html
Proposed Collection; Comment Request
Document Number: 2012-3340
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3340.html
Proposed Collection; Comment Request
Document Number: 2012-3339
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3339.html
Proposed Collection; Comment Request
Document Number: 2012-3338
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3338.html
Proposed Collection; Comment Request
Document Number: 2012-3337
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3337.html
Proposed Collection; Comment Request
Document Number: 2012-3336
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3336.html
Proposed Collection; Comment Request
Document Number: 2012-3335
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3335.html
Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fees
Document Number: 2012-3334
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3334.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to Fidelity Bonds
Document Number: 2012-3333
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3333.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Document Number: 2012-3332
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3332.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of Shares of the iShares® MSCI Denmark Capped Investable Market Index Fund
Document Number: 2012-3331
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3331.html
Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposal To Permit Customer Cross Orders on BOX
Document Number: 2012-3330
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3330.html
Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend Certain Aspects of the Performance Bond Regime Applicable to Cleared Only OTC FX Swaps
Document Number: 2012-3329
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3329.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to Trading of FLEX Options
Document Number: 2012-3328
Type: Notice
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3328.html
Reporting Line for the Commission's Inspector General
Document Number: 2012-3312
Type: Rule
Date: 2012-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is amending its rules to conform them to amendments made to the Inspector General Act of 1978 that require the Commission's Inspector General to report to and be under the general supervision of the full Commission.
https://regulations.justia.com/regulations/fedreg/2012/02/14/2012-3312.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to NYSE Arca Rule 6.4 To Allow Trading of Options on iShares® Silver Trust 1
Document Number: 2012-3260
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3260.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to NYSE Amex Options Rule 903 To Allow Trading of Options on iShares® Silver Trust 1
Document Number: 2012-3259
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3259.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Post-Only Orders
Document Number: 2012-3250
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3250.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Reference to an Additional Variation of an Existing Routing Strategy
Document Number: 2012-3249
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3249.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Reference To Additional Variations of an Existing Routing Strategy
Document Number: 2012-3248
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3248.html
In the Matter of Gravity Capital Partners, LLC, 6400 S. Fiddlers Green Circle, Suite 1900, Greenwood Village, CO 80111; Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940
Document Number: 2012-3224
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3224.html
Proposed Collection; Comment Request
Document Number: 2012-3220
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3220.html
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, Adopting NYSE Rule 107C To Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, Which Shall Occur No Later Than 90 Days After Approval, If Granted and Adopting NYSE Amex Rule 107C To Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date, Which Shall Occur No Later Than 90 Days After Approval, If Granted
Document Number: 2012-3219
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3219.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3 Thereto, Relating to the Listing and Trading of the Russell Global Opportunity ETF; Russell Bond ETF; and Russell Real Return ETF Under NYSE Arca Equities Rule 8.600
Document Number: 2012-3218
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3218.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2012-3217
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3217.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 3 Thereto, Relating to the Listing and Trading of SPDR SSgA Real Assets ETF; SPDR SSgA Income Allocation ETF; SPDR SSgA Conservative Global Allocation ETF; SPDR SSgA Global Allocation ETF; and SPDR SSgA Aggressive Global Allocation ETF Under NYSE Arca Equities Rule 8.600
Document Number: 2012-3216
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3216.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3 Thereto, Relating to the Listing and Trading of Shares of the WisdomTree Emerging Markets Inflation Protection Bond Fund Under NYSE Arca Equities Rule 8.600
Document Number: 2012-3215
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3215.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Proposed Rule Change To Revise Rules and Procedures Related to Certain Technical and Operational Changes Relating to Credit Default Swap Contracts
Document Number: 2012-3214
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3214.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit OCC To Clear and Settle Spot Gold Futures, Which Are Proposed To Be Traded by NASDAQ OMX Futures Exchange, Inc.
Document Number: 2012-3213
Type: Notice
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-3213.html
Regulatory Flexibility Agenda
Document Number: 2012-1669
Type: Proposed Rule
Date: 2012-02-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing an agenda of its rulemaking actions pursuant to the Regulatory Flexibility Act (RFA) (Pub. L. 96-354, 94 Stat. 1164) (Sep. 19, 1980). Information in the agenda was accurate on September 16, 2011, the day on which the Commission's staff completed compilation of the data. To the extent possible, rulemaking actions by the Commission since that date have been reflected in the agenda. The Commission invites questions and public comment on the agenda and on the individual agenda entries. The Commission is now printing in the Federal Register, along with our preamble, only those agenda entries for which we have indicated that preparation of a Regulatory Flexibility Act analysis is required. The Commission's complete RFA agenda will be available online at www.reginfo.gov.
https://regulations.justia.com/regulations/fedreg/2012/02/13/2012-1669.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade Shares of the ProShares Managed Futures Strategy Fund, ProShares Commodity Managed Futures Strategy Fund, and ProShares Financial Managed Futures Strategy Fund Under NYSE Arca Equities Rule 8.200
Document Number: 2012-3152
Type: Notice
Date: 2012-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/10/2012-3152.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References Within Certain FINRA Rules
Document Number: 2012-3126
Type: Notice
Date: 2012-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/10/2012-3126.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Document Number: 2012-3095
Type: Notice
Date: 2012-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/10/2012-3095.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Document Number: 2012-3094
Type: Notice
Date: 2012-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/10/2012-3094.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Document Number: 2012-3093
Type: Notice
Date: 2012-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/10/2012-3093.html
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