Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/03?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-04-27T21:58:49-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2012/03/30/2012-7707.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Comply With Revisions to the Commodity Futures Trading Commission's Part 190 Regulations 2012-03-30T00:00:00-07:00 2012-03-30T00:00:00-07:00 2012-7707 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-30/pdf/2012-7707.pdf https://regulations.justia.com/regulations/fedreg/2012/03/30/2012-7635.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying That Rule Change in Connection With Proposed Combination Between NYSE Euronext and Deutsche Börse AG Will Not Become Effective 2012-03-30T00:00:00-07:00 2012-03-30T00:00:00-07:00 2012-7635 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-30/pdf/2012-7635.pdf https://regulations.justia.com/regulations/fedreg/2012/03/30/2012-7634.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying That Rule Change in Connection With Proposed Combination Between NYSE Euronext and Deutsche Börse AG Will Not Become Effective 2012-03-30T00:00:00-07:00 2012-03-30T00:00:00-07:00 2012-7634 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-30/pdf/2012-7634.pdf https://regulations.justia.com/regulations/fedreg/2012/03/30/2012-7633.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying That Rule Change in Connection With Proposed Combination Between NYSE Euronext and Deutsche Börse AG Will Not Become Effective 2012-03-30T00:00:00-07:00 2012-03-30T00:00:00-07:00 2012-7633 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-30/pdf/2012-7633.pdf https://regulations.justia.com/regulations/fedreg/2012/03/30/2012-7632.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying That Rule Change in Connection With Proposed Combination Between NYSE Euronext and Deutsche Börse AG Will Not Become Effective 2012-03-30T00:00:00-07:00 2012-03-30T00:00:00-07:00 2012-7632 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-30/pdf/2012-7632.pdf https://regulations.justia.com/regulations/fedreg/2012/03/30/2012-7631.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying That Rule Change in Connection With Proposed Combination Between NYSE Euronext and Deutsche Börse AG Will Not Become Effective 2012-03-30T00:00:00-07:00 2012-03-30T00:00:00-07:00 2012-7631 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-30/pdf/2012-7631.pdf https://regulations.justia.com/regulations/fedreg/2012/03/30/2012-7630.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying That Rule Change in Connection With Proposed Combination Between NYSE Euronext and Deutsche Börse AG Will Not Become Effective 2012-03-30T00:00:00-07:00 2012-03-30T00:00:00-07:00 2012-7630 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-30/pdf/2012-7630.pdf https://regulations.justia.com/regulations/fedreg/2012/03/30/2012-7629.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.45 Adding a New Paragraph (d) That Addresses the Authority of the Exchange or Archipelago Securities LLC To Cancel Orders When a Technical or Systems Issue Occurs and Describe the Operation of an Error Account for Arca Securities 2012-03-30T00:00:00-07:00 2012-03-30T00:00:00-07:00 2012-7629 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-30/pdf/2012-7629.pdf https://regulations.justia.com/regulations/fedreg/2012/03/30/2012-7608.html Rule - Adoption of Updated EDGAR Filer Manual 2012-03-30T00:00:00-07:00 2012-03-30T00:00:00-07:00

2012-7608 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-03-30/pdf/2012-7608.pdf https://regulations.justia.com/regulations/fedreg/2012/03/30/2012-7516.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Adoption of Listing Standards for Certain Securities 2012-03-30T00:00:00-07:00 2012-03-30T00:00:00-07:00 2012-7516 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-30/pdf/2012-7516.pdf https://regulations.justia.com/regulations/fedreg/2012/03/29/2012-7571.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Proprietary Traders Qualification Examination (“Series 56”) 2012-03-29T00:00:00-07:00 2012-03-29T00:00:00-07:00 2012-7571 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-29/pdf/2012-7571.pdf https://regulations.justia.com/regulations/fedreg/2012/03/29/2012-7526.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4120 2012-03-29T00:00:00-07:00 2012-03-29T00:00:00-07:00 2012-7526 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-29/pdf/2012-7526.pdf https://regulations.justia.com/regulations/fedreg/2012/03/29/2012-7525.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule 2012-03-29T00:00:00-07:00 2012-03-29T00:00:00-07:00 2012-7525 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-29/pdf/2012-7525.pdf https://regulations.justia.com/regulations/fedreg/2012/03/29/2012-7522.html Notice - Proposed Collection; Comment Request 2012-03-29T00:00:00-07:00 2012-03-29T00:00:00-07:00 2012-7522 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-29/pdf/2012-7522.pdf https://regulations.justia.com/regulations/fedreg/2012/03/29/2012-7521.html Notice - Submission for OMB Review; Comment Request 2012-03-29T00:00:00-07:00 2012-03-29T00:00:00-07:00 2012-7521 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-29/pdf/2012-7521.pdf https://regulations.justia.com/regulations/fedreg/2012/03/29/2012-7520.html Notice - Proposed Collection; Comment Request 2012-03-29T00:00:00-07:00 2012-03-29T00:00:00-07:00 2012-7520 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-29/pdf/2012-7520.pdf https://regulations.justia.com/regulations/fedreg/2012/03/29/2012-7519.html Notice - Jefferies Employees Special Opportunities Partners, LLC, et al.; Notice of Application 2012-03-29T00:00:00-07:00 2012-03-29T00:00:00-07:00

2012-7519 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-29/pdf/2012-7519.pdf https://regulations.justia.com/regulations/fedreg/2012/03/29/2012-7518.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options Until March 29, 2013 2012-03-29T00:00:00-07:00 2012-03-29T00:00:00-07:00 2012-7518 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-29/pdf/2012-7518.pdf https://regulations.justia.com/regulations/fedreg/2012/03/29/2012-7517.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options Until March 29, 2013 2012-03-29T00:00:00-07:00 2012-03-29T00:00:00-07:00 2012-7517 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-29/pdf/2012-7517.pdf https://regulations.justia.com/regulations/fedreg/2012/03/29/2012-7515.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change To Amend Certain Credit Default Swap Clearing Rules Regarding Guaranty Fund Allocations, Amendments to Daily Submission Deadline, Holiday Accrual Processing and PAI Payment Timeline 2012-03-29T00:00:00-07:00 2012-03-29T00:00:00-07:00 2012-7515 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-29/pdf/2012-7515.pdf https://regulations.justia.com/regulations/fedreg/2012/03/28/2012-7446.html Rule - Net Worth Standard for Accredited Investors 2012-03-28T00:00:00-07:00 2012-03-28T00:00:00-07:00

2012-7446 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-03-28/pdf/2012-7446.pdf https://regulations.justia.com/regulations/fedreg/2012/03/28/2012-7384.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Inbound Router, as Described in EDGX Rule 2.12(b) 2012-03-28T00:00:00-07:00 2012-03-28T00:00:00-07:00 2012-7384 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-28/pdf/2012-7384.pdf https://regulations.justia.com/regulations/fedreg/2012/03/28/2012-7383.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Inbound Router, as Described in EDGA Rule 2.12(b) 2012-03-28T00:00:00-07:00 2012-03-28T00:00:00-07:00 2012-7383 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-28/pdf/2012-7383.pdf https://regulations.justia.com/regulations/fedreg/2012/03/28/2012-7382.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 6.35 2012-03-28T00:00:00-07:00 2012-03-28T00:00:00-07:00 2012-7382 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-28/pdf/2012-7382.pdf https://regulations.justia.com/regulations/fedreg/2012/03/27/2012-7385.html Notice - Sunshine Act Meeting Notice 2012-03-27T00:00:00-07:00 2012-03-27T00:00:00-07:00 2012-7385 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-27/pdf/2012-7385.pdf https://regulations.justia.com/regulations/fedreg/2012/03/27/2012-7282.html Notice - Domini Social Investment Trust and Domini Social Investments LLC; Notice of Application 2012-03-27T00:00:00-07:00 2012-03-27T00:00:00-07:00 2012-7282 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-27/pdf/2012-7282.pdf https://regulations.justia.com/regulations/fedreg/2012/03/27/2012-7281.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule 2012-03-27T00:00:00-07:00 2012-03-27T00:00:00-07:00 2012-7281 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-27/pdf/2012-7281.pdf https://regulations.justia.com/regulations/fedreg/2012/03/27/2012-7279.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Its Rules Relating to Interest Rate Swaps Clearing 2012-03-27T00:00:00-07:00 2012-03-27T00:00:00-07:00 2012-7279 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-27/pdf/2012-7279.pdf https://regulations.justia.com/regulations/fedreg/2012/03/27/2012-7278.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule 2012-03-27T00:00:00-07:00 2012-03-27T00:00:00-07:00 2012-7278 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-27/pdf/2012-7278.pdf https://regulations.justia.com/regulations/fedreg/2012/03/27/2012-7276.html Notice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 53 of Its Rules and Procedures Relating to the Alternative Investment Product Services To Standardize and Automate the Method by Which Registered AIP Broker-Dealer Members Meet Their Good Control Location Obligations for Uncertificated Securities 2012-03-27T00:00:00-07:00 2012-03-27T00:00:00-07:00 2012-7276 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-27/pdf/2012-7276.pdf https://regulations.justia.com/regulations/fedreg/2012/03/27/2012-7246.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Assess a Fee for the QView Service 2012-03-27T00:00:00-07:00 2012-03-27T00:00:00-07:00 2012-7246 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-27/pdf/2012-7246.pdf https://regulations.justia.com/regulations/fedreg/2012/03/26/2012-7206.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to Its Risk Model To Reduce the Current Level of Risk Mutualization Among Its Clearing Participants and To Modify the Initial Margin Risk Model so That It Is Easier for Market Participants To Measure Their Risk 2012-03-26T00:00:00-07:00 2012-03-26T00:00:00-07:00 2012-7206 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-26/pdf/2012-7206.pdf https://regulations.justia.com/regulations/fedreg/2012/03/26/2012-7205.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Issuance of and Maturity Presentment Processing for Money Market Instruments 2012-03-26T00:00:00-07:00 2012-03-26T00:00:00-07:00 2012-7205 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-26/pdf/2012-7205.pdf https://regulations.justia.com/regulations/fedreg/2012/03/26/2012-7204.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change To Amend the ICE Clear Europe CDS Procedures, Finance Procedures, and Rules With Respect to the Calculation and Payment of Interest on Mark-To-Market Margin on CDS Transactions 2012-03-26T00:00:00-07:00 2012-03-26T00:00:00-07:00 2012-7204 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-26/pdf/2012-7204.pdf https://regulations.justia.com/regulations/fedreg/2012/03/26/2012-7203.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change To Revise Rules and Procedures Related to Certain Technical and Operational Changes Relating to Credit Default Swap Contracts 2012-03-26T00:00:00-07:00 2012-03-26T00:00:00-07:00 2012-7203 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-26/pdf/2012-7203.pdf https://regulations.justia.com/regulations/fedreg/2012/03/26/2012-7202.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Short Term Option Series Program 2012-03-26T00:00:00-07:00 2012-03-26T00:00:00-07:00 2012-7202 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-26/pdf/2012-7202.pdf https://regulations.justia.com/regulations/fedreg/2012/03/26/2012-7176.html Notice - Order Granting an Application of Edward Jones & Co. LLP Exemption From Exchange Act Section 11(d)(1) Pursuant to Exchange Act Section 36(a) 2012-03-26T00:00:00-07:00 2012-03-26T00:00:00-07:00 2012-7176 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-26/pdf/2012-7176.pdf https://regulations.justia.com/regulations/fedreg/2012/03/26/2012-7135.html Notice - Proposed Collection; Comment Request 2012-03-26T00:00:00-07:00 2012-03-26T00:00:00-07:00 2012-7135 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-26/pdf/2012-7135.pdf https://regulations.justia.com/regulations/fedreg/2012/03/26/2012-7134.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the APMEX Physical-1 oz. Gold Redeemable Trust Pursuant to NYSE Arca Equities Rule 8.201 2012-03-26T00:00:00-07:00 2012-03-26T00:00:00-07:00 2012-7134 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-26/pdf/2012-7134.pdf https://regulations.justia.com/regulations/fedreg/2012/03/26/2012-7133.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule G-43, on Broker's Brokers; Proposed Amendments to Rule G-8, on Books and Records, Rule G-9, on Record Retention, and Rule G-18, on Execution of Transactions; and a Proposed Interpretive Notice on the Duties of Dealers That Use the Services of Broker's Brokers 2012-03-26T00:00:00-07:00 2012-03-26T00:00:00-07:00 2012-7133 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-26/pdf/2012-7133.pdf https://regulations.justia.com/regulations/fedreg/2012/03/26/2012-7132.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval 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 2012-03-26T00:00:00-07:00 2012-03-26T00:00:00-07:00 2012-7132 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-26/pdf/2012-7132.pdf https://regulations.justia.com/regulations/fedreg/2012/03/23/2012-6987.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Order Type 2012-03-23T00:00:00-07:00 2012-03-23T00:00:00-07:00 2012-6987 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-23/pdf/2012-6987.pdf https://regulations.justia.com/regulations/fedreg/2012/03/21/2012-6788.html Notice - Privacy Act of 1974: Systems of Records 2012-03-21T00:00:00-07:00 2012-03-21T00:00:00-07:00

2012-6788 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-21/pdf/2012-6788.pdf https://regulations.justia.com/regulations/fedreg/2012/03/21/2012-6765.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules 2012-03-21T00:00:00-07:00 2012-03-21T00:00:00-07:00 2012-6765 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-21/pdf/2012-6765.pdf https://regulations.justia.com/regulations/fedreg/2012/03/21/2012-6764.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptable Complex Execution (“ACE”) Parameter Order Protection Feature 2012-03-21T00:00:00-07:00 2012-03-21T00:00:00-07:00 2012-6764 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-21/pdf/2012-6764.pdf https://regulations.justia.com/regulations/fedreg/2012/03/21/2012-6763.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Additional Series of Credit Default Index Swaps Available for Clearing 2012-03-21T00:00:00-07:00 2012-03-21T00:00:00-07:00 2012-6763 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-21/pdf/2012-6763.pdf https://regulations.justia.com/regulations/fedreg/2012/03/19/2012-6664.html Notice - Asiamart, Inc., Order of Suspension of Trading 2012-03-19T00:00:00-07:00 2012-03-19T00:00:00-07:00 2012-6664 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-19/pdf/2012-6664.pdf https://regulations.justia.com/regulations/fedreg/2012/03/19/2012-6663.html Notice - ASP Ventures Corp., Order of Suspension of Trading 2012-03-19T00:00:00-07:00 2012-03-19T00:00:00-07:00 2012-6663 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-19/pdf/2012-6663.pdf https://regulations.justia.com/regulations/fedreg/2012/03/19/2012-6661.html Notice - Eugene Science, Inc., Order of Suspension of Trading 2012-03-19T00:00:00-07:00 2012-03-19T00:00:00-07:00 2012-6661 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-19/pdf/2012-6661.pdf https://regulations.justia.com/regulations/fedreg/2012/03/19/2012-6498.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Price Improvement XL (“PIXLSM 2012-03-19T00:00:00-07:00 2012-03-19T00:00:00-07:00 2012-6498 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-19/pdf/2012-6498.pdf https://regulations.justia.com/regulations/fedreg/2012/03/19/2012-6497.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Rule 722 (Complex Orders) To Provide Its Members With a Choice in Executing Broker-Dealers for the Stock Leg(s) of Stock-Option Orders 2012-03-19T00:00:00-07:00 2012-03-19T00:00:00-07:00 2012-6497 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-19/pdf/2012-6497.pdf https://regulations.justia.com/regulations/fedreg/2012/03/19/2012-6496.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change To Provide for a T+1 Settlement of the Initial Payment Related to the CDS Contracts Cleared by ICE Clear Europe Limited 2012-03-19T00:00:00-07:00 2012-03-19T00:00:00-07:00 2012-6496 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-19/pdf/2012-6496.pdf https://regulations.justia.com/regulations/fedreg/2012/03/19/2012-6495.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 14.3, Entitled “General Procedures and Prerequisites for Initial and Continued Listing on the Exchange” 2012-03-19T00:00:00-07:00 2012-03-19T00:00:00-07:00 2012-6495 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-19/pdf/2012-6495.pdf https://regulations.justia.com/regulations/fedreg/2012/03/16/2012-6444.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA 2012-03-16T00:00:00-07:00 2012-03-16T00:00:00-07:00 2012-6444 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-16/pdf/2012-6444.pdf https://regulations.justia.com/regulations/fedreg/2012/03/16/2012-6388.html Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Fee Schedule 2012-03-16T00:00:00-07:00 2012-03-16T00:00:00-07:00 2012-6388 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-16/pdf/2012-6388.pdf https://regulations.justia.com/regulations/fedreg/2012/03/16/2012-6387.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Establish an NYBX Immediate-or-Cancel Order 2012-03-16T00:00:00-07:00 2012-03-16T00:00:00-07:00 2012-6387 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-16/pdf/2012-6387.pdf https://regulations.justia.com/regulations/fedreg/2012/03/16/2012-6386.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Amending FINRA Rules 13201 (Statutory Employment Discrimination Claims) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) Relating to Whistleblower Disputes in Arbitration 2012-03-16T00:00:00-07:00 2012-03-16T00:00:00-07:00 2012-6386 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-16/pdf/2012-6386.pdf https://regulations.justia.com/regulations/fedreg/2012/03/16/2012-6384.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Remove Functionality in the Government Securities Division's Rules That Is No Longer Utilized by Participants 2012-03-16T00:00:00-07:00 2012-03-16T00:00:00-07:00 2012-6384 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-16/pdf/2012-6384.pdf https://regulations.justia.com/regulations/fedreg/2012/03/16/2012-6383.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fee Schedule 2012-03-16T00:00:00-07:00 2012-03-16T00:00:00-07:00 2012-6383 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-16/pdf/2012-6383.pdf https://regulations.justia.com/regulations/fedreg/2012/03/14/2012-6293.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change by BATS Y-Exchange, Inc. To Amend BYX Rule 2.12, Entitled “BATS Trading, Inc. as Inbound Router” 2012-03-14T00:00:00-07:00 2012-03-14T00:00:00-07:00 2012-6293 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-14/pdf/2012-6293.pdf https://regulations.justia.com/regulations/fedreg/2012/03/14/2012-6289.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change by BATS Exchange, Inc. to Amend BATS Rule 2.12, Entitled “BATS Trading, Inc. as Inbound Router” 2012-03-14T00:00:00-07:00 2012-03-14T00:00:00-07:00 2012-6289 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-14/pdf/2012-6289.pdf https://regulations.justia.com/regulations/fedreg/2012/03/14/2012-6190.html Notice - Ares Capital Corporation et al.; 2012-03-14T00:00:00-07:00 2012-03-14T00:00:00-07:00

2012-6190 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-14/pdf/2012-6190.pdf https://regulations.justia.com/regulations/fedreg/2012/03/14/2012-6187.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Amended Proposed Rule Change to Allow the Mortgage-Backed Securities Division To Provide Guaranteed Settlement and Central Counterparty Services 2012-03-14T00:00:00-07:00 2012-03-14T00:00:00-07:00 2012-6187 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-14/pdf/2012-6187.pdf https://regulations.justia.com/regulations/fedreg/2012/03/14/2012-6186.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Investor Support Program 2012-03-14T00:00:00-07:00 2012-03-14T00:00:00-07:00 2012-6186 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-14/pdf/2012-6186.pdf https://regulations.justia.com/regulations/fedreg/2012/03/14/2012-6184.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Applicable to the Trading of NMS Stocks Through NASDAQ OMX PSX 2012-03-14T00:00:00-07:00 2012-03-14T00:00:00-07:00 2012-6184 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-14/pdf/2012-6184.pdf https://regulations.justia.com/regulations/fedreg/2012/03/14/2012-6183.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Supplemental Orders 2012-03-14T00:00:00-07:00 2012-03-14T00:00:00-07:00 2012-6183 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-14/pdf/2012-6183.pdf https://regulations.justia.com/regulations/fedreg/2012/03/14/2012-6113.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Connectivity Options and Fees 2012-03-14T00:00:00-07:00 2012-03-14T00:00:00-07:00 2012-6113 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-14/pdf/2012-6113.pdf https://regulations.justia.com/regulations/fedreg/2012/03/14/2012-6106.html Notice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Messaging and Settlement Enhancements to the In Force Transactions Product Service of NSCC's Insurance and Retirement Services and the Establishment of Fees Applicable Thereto 2012-03-14T00:00:00-07:00 2012-03-14T00:00:00-07:00 2012-6106 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-14/pdf/2012-6106.pdf https://regulations.justia.com/regulations/fedreg/2012/03/14/2012-6105.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Rules Related to Certain Operational Changes Relating to Timing, Effectiveness and Operation of Transfer Orders for Purposes of Compliance With Non-U.S. Legislation 2012-03-14T00:00:00-07:00 2012-03-14T00:00:00-07:00 2012-6105 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-14/pdf/2012-6105.pdf https://regulations.justia.com/regulations/fedreg/2012/03/14/2012-6067.html Notice - Order Granting an Application of BF Enterprises, Inc. Under the Securities Exchange Act of 1934 2012-03-14T00:00:00-07:00 2012-03-14T00:00:00-07:00 2012-6067 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-14/pdf/2012-6067.pdf https://regulations.justia.com/regulations/fedreg/2012/03/13/2012-6157.html Notice - Advanced Growing Systems, Inc., Advantage Capital Development Corp., Amazon Biotech, Inc., Andover Holdings, Inc. a/k/a Andover Energy Holdings, Inc., Bravo! Brands, Inc., and BSML, Inc., Order of Suspension of Trading 2012-03-13T00:00:00-07:00 2012-03-13T00:00:00-07:00 2012-6157 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-13/pdf/2012-6157.pdf https://regulations.justia.com/regulations/fedreg/2012/03/13/2012-6114.html Notice - Sunshine Act Meeting 2012-03-13T00:00:00-07:00 2012-03-13T00:00:00-07:00 2012-6114 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-13/pdf/2012-6114.pdf https://regulations.justia.com/regulations/fedreg/2012/03/13/2012-6033.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Identify the Proprietary Data Feed of BOX Market Information That BOX Makes Available to Its Options Participants at No Charge 2012-03-13T00:00:00-07:00 2012-03-13T00:00:00-07:00 2012-6033 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-13/pdf/2012-6033.pdf https://regulations.justia.com/regulations/fedreg/2012/03/13/2012-6032.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for BX Members Using the NASDAQ OMX BX Equities System 2012-03-13T00:00:00-07:00 2012-03-13T00:00:00-07:00 2012-6032 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-13/pdf/2012-6032.pdf https://regulations.justia.com/regulations/fedreg/2012/03/13/2012-5987.html Notice - Harris & Harris Group, Inc.; Notice of Application 2012-03-13T00:00:00-07:00 2012-03-13T00:00:00-07:00 2012-5987 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-13/pdf/2012-5987.pdf https://regulations.justia.com/regulations/fedreg/2012/03/13/2012-5986.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) 2012-03-13T00:00:00-07:00 2012-03-13T00:00:00-07:00 2012-5986 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-13/pdf/2012-5986.pdf https://regulations.justia.com/regulations/fedreg/2012/03/13/2012-5985.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) 2012-03-13T00:00:00-07:00 2012-03-13T00:00:00-07:00 2012-5985 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-13/pdf/2012-5985.pdf https://regulations.justia.com/regulations/fedreg/2012/03/13/2012-5984.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Network Fees 2012-03-13T00:00:00-07:00 2012-03-13T00:00:00-07:00 2012-5984 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-13/pdf/2012-5984.pdf https://regulations.justia.com/regulations/fedreg/2012/03/13/2012-5983.html Notice - [Securities Act of 1933; Release No. 9300/March 7, 2012; Securities Exchange Act of 1934; Release No. 66529/March 7, 2012] 2012-03-13T00:00:00-07:00 2012-03-13T00:00:00-07:00 2012-5983 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-13/pdf/2012-5983.pdf https://regulations.justia.com/regulations/fedreg/2012/03/12/2012-5907.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of Establishment of Historical Data Subscription from Submissions to the MSRB Electronic Municipal Market Access System (“EMMA”) 2012-03-12T00:00:00-07:00 2012-03-12T00:00:00-07:00 2012-5907 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-12/pdf/2012-5907.pdf https://regulations.justia.com/regulations/fedreg/2012/03/12/2012-5906.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of Establishment of a Subscription to Historical Information and Documents Submitted to the MSRB's Short-Term Obligation Rate Transparency System 2012-03-12T00:00:00-07:00 2012-03-12T00:00:00-07:00 2012-5906 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-12/pdf/2012-5906.pdf https://regulations.justia.com/regulations/fedreg/2012/03/12/2012-5905.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make an Amendment Regarding the Administrative Fee Related to the Marketing Fee 2012-03-12T00:00:00-07:00 2012-03-12T00:00:00-07:00 2012-5905 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-12/pdf/2012-5905.pdf https://regulations.justia.com/regulations/fedreg/2012/03/12/2012-5872.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Provide for a T+1 Settlement of the Initial Payment Related to the CDS Contracts Cleared by ICE Clear Credit LLC 2012-03-12T00:00:00-07:00 2012-03-12T00:00:00-07:00 2012-5872 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-12/pdf/2012-5872.pdf https://regulations.justia.com/regulations/fedreg/2012/03/12/2012-5856.html Notice - Proposed Collection; Comment Request 2012-03-12T00:00:00-07:00 2012-03-12T00:00:00-07:00 2012-5856 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-12/pdf/2012-5856.pdf https://regulations.justia.com/regulations/fedreg/2012/03/12/2012-5855.html Notice - Proposed Collection; Comment Request 2012-03-12T00:00:00-07:00 2012-03-12T00:00:00-07:00 2012-5855 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-12/pdf/2012-5855.pdf https://regulations.justia.com/regulations/fedreg/2012/03/12/2012-5854.html Notice - Proposed Collection; Comment Request 2012-03-12T00:00:00-07:00 2012-03-12T00:00:00-07:00 2012-5854 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-12/pdf/2012-5854.pdf https://regulations.justia.com/regulations/fedreg/2012/03/12/2012-5853.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the NYSE Amex Options Fee Schedule To Add Fees for Reserve Floor Market Maker Amex Trading Permits 2012-03-12T00:00:00-07:00 2012-03-12T00:00:00-07:00 2012-5853 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-12/pdf/2012-5853.pdf https://regulations.justia.com/regulations/fedreg/2012/03/12/2012-5830.html Notice - Order Granting Temporary Exemption of Morningstar Credit Ratings, LLC From the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934 2012-03-12T00:00:00-07:00 2012-03-12T00:00:00-07:00 2012-5830 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-12/pdf/2012-5830.pdf https://regulations.justia.com/regulations/fedreg/2012/03/09/2012-5779.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow FINRA To Exempt Certain Alternative Trading Systems From the Trade Reporting Obligation Under the Trade Reporting and Compliance Engine (“TRACE”) Reporting Rules 2012-03-09T00:00:00-08:00 2012-03-09T00:00:00-08:00 2012-5779 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-09/pdf/2012-5779.pdf https://regulations.justia.com/regulations/fedreg/2012/03/09/2012-5736.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates in Penny Pilot Options and Non-Penny Pilot Options 2012-03-09T00:00:00-08:00 2012-03-09T00:00:00-08:00 2012-5736 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-09/pdf/2012-5736.pdf https://regulations.justia.com/regulations/fedreg/2012/03/09/2012-5732.html Notice - Kohlberg Capital Corporation; Notice of Application 2012-03-09T00:00:00-08:00 2012-03-09T00:00:00-08:00 2012-5732 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-09/pdf/2012-5732.pdf https://regulations.justia.com/regulations/fedreg/2012/03/09/2012-5731.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 26 of the BOX Rules 2012-03-09T00:00:00-08:00 2012-03-09T00:00:00-08:00 2012-5731 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-09/pdf/2012-5731.pdf https://regulations.justia.com/regulations/fedreg/2012/03/09/2012-5730.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NSX Fee and Rebate Schedule 2012-03-09T00:00:00-08:00 2012-03-09T00:00:00-08:00 2012-5730 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-09/pdf/2012-5730.pdf https://regulations.justia.com/regulations/fedreg/2012/03/08/2012-5631.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) To Adopt New Standardized Electronic Form CMA 2012-03-08T00:00:00-08:00 2012-03-08T00:00:00-08:00 2012-5631 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-08/pdf/2012-5631.pdf https://regulations.justia.com/regulations/fedreg/2012/03/08/2012-5610.html Notice - 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 the Guggenheim Enhanced Short Duration High Yield Bond ETF Under NYSE Arca Equities Rule 8.600 2012-03-08T00:00:00-08:00 2012-03-08T00:00:00-08:00 2012-5610 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-08/pdf/2012-5610.pdf https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5555.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Registration and Qualification Requirements 2012-03-07T00:00:00-08:00 2012-03-07T00:00:00-08:00 2012-5555 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-07/pdf/2012-5555.pdf https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5515.html Notice - Fidus Investment Corporation, et al.; Notice of Application 2012-03-07T00:00:00-08:00 2012-03-07T00:00:00-08:00 2012-5515 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-07/pdf/2012-5515.pdf https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5514.html Notice - American Capital, Ltd., et al.; Notice of Application 2012-03-07T00:00:00-08:00 2012-03-07T00:00:00-08:00 2012-5514 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-07/pdf/2012-5514.pdf https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5513.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Order Approving Proposed Rule Change To Amend Rules Relating to Credit Default Swap Guaranty Fund 2012-03-07T00:00:00-08:00 2012-03-07T00:00:00-08:00 2012-5513 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-07/pdf/2012-5513.pdf https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5474.html Notice - 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 2012-03-07T00:00:00-08:00 2012-03-07T00:00:00-08:00 2012-5474 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-07/pdf/2012-5474.pdf https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5473.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend the BOX LLC Agreement 2012-03-07T00:00:00-08:00 2012-03-07T00:00:00-08:00 2012-5473 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-07/pdf/2012-5473.pdf https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5472.html Notice - 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 2012-03-07T00:00:00-08:00 2012-03-07T00:00:00-08:00 2012-5472 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-07/pdf/2012-5472.pdf https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5471.html Notice - 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 2012-03-07T00:00:00-08:00 2012-03-07T00:00:00-08:00 2012-5471 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-07/pdf/2012-5471.pdf https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5470.html Notice - 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 2012-03-07T00:00:00-08:00 2012-03-07T00:00:00-08:00 2012-5470 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-07/pdf/2012-5470.pdf https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5454.html Rule - Rules of Organization; Conduct and Ethics; and Information and Requests 2012-03-07T00:00:00-08:00 2012-03-07T00:00:00-08:00 2012-5454 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-03-07/pdf/2012-5454.pdf https://regulations.justia.com/regulations/fedreg/2012/03/07/2012-5453.html Notice - Order Making Fiscal Year 2012 Mid-Year Adjustments to Transaction Fee Rates 2012-03-07T00:00:00-08:00 2012-03-07T00:00:00-08:00 2012-5453 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-07/pdf/2012-5453.pdf https://regulations.justia.com/regulations/fedreg/2012/03/06/2012-5469.html Notice - Sunshine Act Meeting 2012-03-06T00:00:00-08:00 2012-03-06T00:00:00-08:00 2012-5469 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-06/pdf/2012-5469.pdf https://regulations.justia.com/regulations/fedreg/2012/03/06/2012-5367.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the Emerging Markets Corporate Bond Fund of the WisdomTree Trust 2012-03-06T00:00:00-08:00 2012-03-06T00:00:00-08:00 2012-5367 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-06/pdf/2012-5367.pdf https://regulations.justia.com/regulations/fedreg/2012/03/06/2012-5328.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity in Select Symbols 2012-03-06T00:00:00-08:00 2012-03-06T00:00:00-08:00 2012-5328 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-06/pdf/2012-5328.pdf https://regulations.justia.com/regulations/fedreg/2012/03/06/2012-5157.html Proposed Rule - Identity Theft Red Flags Rules 2012-03-06T00:00:00-08:00 2012-03-06T00:00:00-08:00

2012-5157 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2012-03-06/pdf/2012-5157.pdf https://regulations.justia.com/regulations/fedreg/2012/03/05/2012-5373.html Notice - China North East Petroleum Holdings Limited, Order of Suspension of Trading 2012-03-05T00:00:00-08:00 2012-03-05T00:00:00-08:00 2012-5373 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-05/pdf/2012-5373.pdf https://regulations.justia.com/regulations/fedreg/2012/03/05/2012-5368.html Notice - Aduddell Industries, Inc., Capital Markets Technologies, Inc., Challenger Powerboats, Inc., and CLX Medical, Inc.; Order of Suspension of Trading 2012-03-05T00:00:00-08:00 2012-03-05T00:00:00-08:00 2012-5368 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-05/pdf/2012-5368.pdf https://regulations.justia.com/regulations/fedreg/2012/03/05/2012-5278.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule of Market Data Express, LLC 2012-03-05T00:00:00-08:00 2012-03-05T00:00:00-08:00 2012-5278 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-05/pdf/2012-5278.pdf https://regulations.justia.com/regulations/fedreg/2012/03/05/2012-5277.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule of Market Data Express, LLC 2012-03-05T00:00:00-08:00 2012-03-05T00:00:00-08:00 2012-5277 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-05/pdf/2012-5277.pdf https://regulations.justia.com/regulations/fedreg/2012/03/05/2012-5276.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Filing the Content Outline and Selection Specifications for the Proprietary Traders Qualification Examination (“Series 56”) Program 2012-03-05T00:00:00-08:00 2012-03-05T00:00:00-08:00 2012-5276 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-05/pdf/2012-5276.pdf https://regulations.justia.com/regulations/fedreg/2012/03/05/2012-5275.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Filing the Content Outline and Selection Specifications for the Proprietary Traders Qualification Examination (“Series 56”) Program 2012-03-05T00:00:00-08:00 2012-03-05T00:00:00-08:00 2012-5275 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-05/pdf/2012-5275.pdf https://regulations.justia.com/regulations/fedreg/2012/03/05/2012-5207.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Make a Technical Correction to the Rule Relating to the Calculation of Funds-Only Settlement Amounts for Repo Brokers 2012-03-05T00:00:00-08:00 2012-03-05T00:00:00-08:00 2012-5207 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-05/pdf/2012-5207.pdf https://regulations.justia.com/regulations/fedreg/2012/03/05/2012-5206.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Adopt an Administrative Fee for the Payment for Order Flow Program 2012-03-05T00:00:00-08:00 2012-03-05T00:00:00-08:00 2012-5206 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-05/pdf/2012-5206.pdf https://regulations.justia.com/regulations/fedreg/2012/03/05/2012-5205.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Rule 476A To Update Its “List of Equities Rule Violations and Fines Applicable Thereto” 2012-03-05T00:00:00-08:00 2012-03-05T00:00:00-08:00 2012-5205 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-05/pdf/2012-5205.pdf https://regulations.justia.com/regulations/fedreg/2012/03/02/2012-5083.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2012-03-02T00:00:00-08:00 2012-03-02T00:00:00-08:00 2012-5083 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-02/pdf/2012-5083.pdf https://regulations.justia.com/regulations/fedreg/2012/03/02/2012-5082.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Obvious Error Rule 2012-03-02T00:00:00-08:00 2012-03-02T00:00:00-08:00 2012-5082 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-02/pdf/2012-5082.pdf https://regulations.justia.com/regulations/fedreg/2012/03/02/2012-5061.html Notice - Medley Capital Corporation, et al.; Notice of Application 2012-03-02T00:00:00-08:00 2012-03-02T00:00:00-08:00

2012-5061 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-02/pdf/2012-5061.pdf https://regulations.justia.com/regulations/fedreg/2012/03/02/2012-5060.html Notice - Notice of Applications for Deregistration Under the Investment Company Act of 1940 2012-03-02T00:00:00-08:00 2012-03-02T00:00:00-08:00

2012-5060 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-02/pdf/2012-5060.pdf https://regulations.justia.com/regulations/fedreg/2012/03/02/2012-5059.html Notice - Submission for OMB Review; Comment Request 2012-03-02T00:00:00-08:00 2012-03-02T00:00:00-08:00 2012-5059 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-02/pdf/2012-5059.pdf https://regulations.justia.com/regulations/fedreg/2012/03/02/2012-5057.html Notice - Self-Regulatory Organizations; Midwest Securities Trust Company; Order Cancelling Clearing Agency Registration 2012-03-02T00:00:00-08:00 2012-03-02T00:00:00-08:00 2012-5057 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-02/pdf/2012-5057.pdf https://regulations.justia.com/regulations/fedreg/2012/03/02/2012-5056.html Notice - Self-Regulatory Organizations; Pacific Securities Depository Trust Company; Order Cancelling Clearing Agency Registration 2012-03-02T00:00:00-08:00 2012-03-02T00:00:00-08:00 2012-5056 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-02/pdf/2012-5056.pdf https://regulations.justia.com/regulations/fedreg/2012/03/02/2012-5055.html Notice - Self-Regulatory Organizations; Pacific Clearing Corporation; Order Cancelling Clearing Agency Registration 2012-03-02T00:00:00-08:00 2012-03-02T00:00:00-08:00 2012-5055 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-02/pdf/2012-5055.pdf https://regulations.justia.com/regulations/fedreg/2012/03/02/2012-5054.html Notice - Self-Regulatory Organizations; Midwest Clearing Corporation; Order Cancelling Clearing Agency Registration 2012-03-02T00:00:00-08:00 2012-03-02T00:00:00-08:00 2012-5054 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-02/pdf/2012-5054.pdf https://regulations.justia.com/regulations/fedreg/2012/03/01/2012-4915.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Shares of the Teucrium Agriculture Fund Under NYSE Arca Equities Rule 8.200 2012-03-01T00:00:00-08:00 2012-03-01T00:00:00-08:00 2012-4915 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-01/pdf/2012-4915.pdf https://regulations.justia.com/regulations/fedreg/2012/03/01/2012-4914.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 4(c) of Schedule A to the FINRA By-Laws To Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States 2012-03-01T00:00:00-08:00 2012-03-01T00:00:00-08:00 2012-4914 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-01/pdf/2012-4914.pdf https://regulations.justia.com/regulations/fedreg/2012/03/01/2012-4913.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Filing of Partial Amendment No. 2 to Proposed Rule Changes, as Modified by Amendment No. 1, Adopting New Rule 107C To Establish a Retail Liquidity Program on a Pilot Basis To Attract Additional Retail Order Flow to the Exchanges 2012-03-01T00:00:00-08:00 2012-03-01T00:00:00-08:00 2012-4913 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-01/pdf/2012-4913.pdf https://regulations.justia.com/regulations/fedreg/2012/03/01/2012-4912.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending the NYSE Amex Equities Definition of Approved Person To Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes 2012-03-01T00:00:00-08:00 2012-03-01T00:00:00-08:00 2012-4912 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-01/pdf/2012-4912.pdf https://regulations.justia.com/regulations/fedreg/2012/03/01/2012-4911.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person To Exclude Foreign Affiliates, Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes 2012-03-01T00:00:00-08:00 2012-03-01T00:00:00-08:00 2012-4911 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-01/pdf/2012-4911.pdf https://regulations.justia.com/regulations/fedreg/2012/03/01/2012-4910.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2012-03-01T00:00:00-08:00 2012-03-01T00:00:00-08:00 2012-4910 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-03-01/pdf/2012-4910.pdf