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

Results 101 - 149 of 149
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Transaction Execution Fee and Credit Schedule in Rules 7014 and 7018
Document Number: 2012-3000
Type: Notice
Date: 2012-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/09/2012-3000.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Adoption of Listing Standards for Certain Securities
Document Number: 2012-2994
Type: Notice
Date: 2012-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/09/2012-2994.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of the PIMCO Total Return Exchange Traded Fund Under NYSE Arca Equities Rule 8.600
Document Number: 2012-2944
Type: Notice
Date: 2012-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/09/2012-2944.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Exchange Disseminated Quotations
Document Number: 2012-2923
Type: Notice
Date: 2012-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/09/2012-2923.html
DoubleLine Capital LP and DoubleLine Funds Trust; Notice of Application
Document Number: 2012-2834
Type: Notice
Date: 2012-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/08/2012-2834.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Arca Equities Rule 5.2(b)(1) and Adopting New NYSE Arca Equities Rule 5190 That Is Substantially the Same as Financial Industry Regulatory Authority Rule 5190
Document Number: 2012-2833
Type: Notice
Date: 2012-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/08/2012-2833.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4618
Document Number: 2012-2832
Type: Notice
Date: 2012-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/08/2012-2832.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendments to Rule G-14, on Reports of Sales or Purchases, Including the Rule G-14 RTRS Procedures, and Amendments to the Real-Time Transaction Reporting System
Document Number: 2012-2831
Type: Notice
Date: 2012-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/08/2012-2831.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 902NY To Create a Reserve Floor Market Maker Amex Trading Permit
Document Number: 2012-2812
Type: Notice
Date: 2012-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/08/2012-2812.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Implement a Competitive Liquidity Provider Program
Document Number: 2012-2801
Type: Notice
Date: 2012-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/08/2012-2801.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Approval of Proposed Rule Change To Reduce the Duration of the Price Improvement Period (“PIP”) From One Second to One Hundred Milliseconds
Document Number: 2012-2800
Type: Notice
Date: 2012-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/08/2012-2800.html
Notice of Sunshine Act Meeting.
Document Number: 2012-2815
Type: Notice
Date: 2012-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/07/2012-2815.html
Proposed Collection; Comment Request
Document Number: 2012-2735
Type: Notice
Date: 2012-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/07/2012-2735.html
Proposed Collection; Comment Request
Document Number: 2012-2734
Type: Notice
Date: 2012-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/07/2012-2734.html
Henderson Global Funds, et al.; Notice of Application
Document Number: 2012-2733
Type: Notice
Date: 2012-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/07/2012-2733.html
Submission for OMB Review; Comment Request
Document Number: 2012-2732
Type: Notice
Date: 2012-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/07/2012-2732.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed for Subscription to WebLink ACT under Rule 7015(e)
Document Number: 2012-2681
Type: Notice
Date: 2012-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/07/2012-2681.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities
Document Number: 2012-2680
Type: Notice
Date: 2012-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/07/2012-2680.html
Rand Capital Corporation, et al.; Notice of Application
Document Number: 2012-2670
Type: Notice
Date: 2012-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/07/2012-2670.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Minor Rule Violation Plan
Document Number: 2012-2669
Type: Notice
Date: 2012-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/07/2012-2669.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Regarding Strike Price Intervals for SLV and USO Options
Document Number: 2012-2668
Type: Notice
Date: 2012-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/07/2012-2668.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a New Product, TradeInfo PHLX, and Amend the Fee Schedule to Add a Related Subscription Fee
Document Number: 2012-2641
Type: Notice
Date: 2012-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/07/2012-2641.html
American Unity Investments, Inc., China Display Technologies, Inc., China Wind Energy, Inc., Fuda Faucet Works, Inc., Greater China Media & Entertainment Corp., and Xechem International, Inc.; Order of Suspension of Trading
Document Number: 2012-2693
Type: Notice
Date: 2012-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/06/2012-2693.html
In the Matter of Beicang Iron & Steel, Inc.; Order of Suspension of Trading
Document Number: 2012-2692
Type: Notice
Date: 2012-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/06/2012-2692.html
China Agro-Technology Holdings Ltd.; Order of Suspension of Trading
Document Number: 2012-2691
Type: Notice
Date: 2012-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/06/2012-2691.html
In the Matter of Blue Earth Refineries, Inc.; Order of Suspension of Trading
Document Number: 2012-2689
Type: Notice
Date: 2012-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/06/2012-2689.html
BluePoint Linux Software Corp., China Bottles Inc., Long-e International, Inc., and Nano Superlattice Technology, Inc.; Order of Suspension of Trading
Document Number: 2012-2688
Type: Notice
Date: 2012-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/06/2012-2688.html
In the Matter of Along Mobile Technologies, Inc., and China Yingxia International, Inc., Order of Suspension of Trading
Document Number: 2012-2687
Type: Notice
Date: 2012-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/06/2012-2687.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Assessed Under Rule 7015(c) for Subscription to Computer to Computer Interface Stations
Document Number: 2012-2588
Type: Notice
Date: 2012-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/06/2012-2588.html
Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC; Notice of Application
Document Number: 2012-2433
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2433.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: 2012-2409
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2409.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: 2012-2408
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2408.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Relating to Individual Securities Circuit Breakers
Document Number: 2012-2407
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2407.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Rule 4753(c)
Document Number: 2012-2404
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2404.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of the Trading Pause Pilot
Document Number: 2012-2403
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2403.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2012-2399
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2399.html
Proposed Collection; Comment Request
Document Number: 2012-2398
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2398.html
Proposed Collection; Comment Request
Document Number: 2012-2397
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2397.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook
Document Number: 2012-2396
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2396.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1, To Amend the BOX Fee Schedule With Respect to Credits and Fees for Transactions in the BOX PIP
Document Number: 2012-2395
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2395.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change To Increase the Trading Activity Fee Rate for Transactions in Covered Equity Securities
Document Number: 2012-2394
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2394.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Document Number: 2012-2393
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2393.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Relating to Individual Securities Circuit Breakers
Document Number: 2012-2392
Type: Notice
Date: 2012-02-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/03/2012-2392.html
Thermo Tech Technologies Inc., T.V.G. Technologies Ltd., and Visual Frontier, Inc.; Order of Suspension of Trading
Document Number: 2012-2411
Type: Notice
Date: 2012-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/02/2012-2411.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amend the Definition of Theoretical Price
Document Number: 2012-2337
Type: Notice
Date: 2012-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/02/2012-2337.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Public Directors
Document Number: 2012-2288
Type: Notice
Date: 2012-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/02/2012-2288.html
Proposed Collection; Comment Request
Document Number: 2012-2238
Type: Notice
Date: 2012-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/02/2012-2238.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Adopt Rules Governing S&P 500 Option Variance Basket Trades
Document Number: 2012-2237
Type: Notice
Date: 2012-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/02/2012-2237.html
Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for Its Cleared-only OTC FX Clearing Offering
Document Number: 2012-2231
Type: Notice
Date: 2012-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/02/02/2012-2231.html
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