<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/04/04?registers=between Thu, 09 May 2024 10:42:31 -0700 Thu, 09 May 2024 10:42:31 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/04/04?registers=between Notice - eMax Worldwide, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8165.html https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8165.html Wed, 04 Apr 2012 00:00:00 -0700 2012-8165 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8165.pdf Notice - Sunwest Rollover Member LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8061.html https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8061.html Wed, 04 Apr 2012 00:00:00 -0700 2012-8061 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8061.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8060.html https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8060.html Wed, 04 Apr 2012 00:00:00 -0700 2012-8060 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8060.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8043.html https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8043.html Wed, 04 Apr 2012 00:00:00 -0700 2012-8043 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8043.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8042.html https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8042.html Wed, 04 Apr 2012 00:00:00 -0700 2012-8042 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8042.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to Its Automated Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8036.html https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8036.html Wed, 04 Apr 2012 00:00:00 -0700 2012-8036 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8036.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8035.html https://regulations.justia.com/regulations/fedreg/2012/04/04/2012-8035.html Wed, 04 Apr 2012 00:00:00 -0700 2012-8035 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-04/pdf/2012-8035.pdf