Securities and Exchange Commission March 7, 2012 – Federal Register Recent Federal Regulation Documents

Results 1 - 11 of 11
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Registration and Qualification Requirements
Document Number: 2012-5555
Type: Notice
Date: 2012-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5555.html
Fidus Investment Corporation, et al.; Notice of Application
Document Number: 2012-5515
Type: Notice
Date: 2012-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5515.html
American Capital, Ltd., et al.; Notice of Application
Document Number: 2012-5514
Type: Notice
Date: 2012-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5514.html
Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Order Approving Proposed Rule Change To Amend Rules Relating to Credit Default Swap Guaranty Fund
Document Number: 2012-5513
Type: Notice
Date: 2012-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5513.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Add to and Amend Its Rules Regarding the Obligations of Institutional Brokers Registered With the Exchange
Document Number: 2012-5474
Type: Notice
Date: 2012-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5474.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend the BOX LLC Agreement
Document Number: 2012-5473
Type: Notice
Date: 2012-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5473.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule To Provide That One Hundred Percent (100%) of the Initial Margin Requirement for Client-related Positions Cleared in a Clearing Participant's Customer Account Origin May Be Satisfied by a Clearing Participant Utilizing US Treasuries
Document Number: 2012-5472
Type: Notice
Date: 2012-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5472.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt an Alternative to the $4 Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 or $3, if Certain Other Listing Requirements Are Met
Document Number: 2012-5471
Type: Notice
Date: 2012-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5471.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule
Document Number: 2012-5470
Type: Notice
Date: 2012-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5470.html
Rules of Organization; Conduct and Ethics; and Information and Requests
Document Number: 2012-5454
Type: Rule
Date: 2012-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5454.html
Order Making Fiscal Year 2012 Mid-Year Adjustments to Transaction Fee Rates
Document Number: 2012-5453
Type: Notice
Date: 2012-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5453.html
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