Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/04/04?limit=200®isters=between&mode=atom2024-05-09T05:40:32-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8165.htmlNotice - eMax Worldwide, Inc.; Order of Suspension of Trading2012-04-04T00:00:00-07:002012-04-04T00:00:00-07:002012-8165Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8165.pdfhttps://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8061.htmlNotice - Sunwest Rollover Member LLC; Notice of Application2012-04-04T00:00:00-07:002012-04-04T00:00:00-07:002012-8061Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8061.pdfhttps://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8060.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options Exchange, Incorporated; C2 Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; National Stock Exchange, Inc.; NASDAX OMX PHLX LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility2012-04-04T00:00:00-07:002012-04-04T00:00:00-07:002012-8060Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8060.pdfhttps://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8043.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1, 2 and 3, To Adopt FINRA Rules 2210 (Communications With the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications With the Public Regarding Security Futures), and 2216 (Communications With the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook2012-04-04T00:00:00-07:002012-04-04T00:00:00-07:002012-8043Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8043.pdfhttps://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8042.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change to Expand the One-Pot Cross-Margining Program With New York Portfolio Clearing, LLC to Certain “Market Professionals”2012-04-04T00:00:00-07:002012-04-04T00:00:00-07:002012-8042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8042.pdfhttps://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8036.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to Its Automated Improvement Mechanism2012-04-04T00:00:00-07:002012-04-04T00:00:00-07:002012-8036Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8036.pdfhttps://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8035.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change to More Closely Align OCC's By-Laws and Rules with Regulatory Requirements Related to “Statutory Disqualifications”2012-04-04T00:00:00-07:002012-04-04T00:00:00-07:002012-8035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8035.pdf