Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/04/18?limit=200&registers=between&mode=atom 2025-01-02T19:43:51-08:00 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/2012/04/18/2012-9342.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change To Amend BATS Exchange, Inc. Rule 2.12 To Make Permanent the Pilot Program That Permits BATS Exchange, Inc. To Receive Inbound Routes of Equities Orders Through BATS Trading, Inc., BATS Exchange's Routing Broker-Dealer, From BATS-Y Exchange, Inc. 2012-04-18T00:00:00-07:00 2012-04-18T00:00:00-07:00 2012-9342 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9342.pdf https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9341.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Approving a Proposed Rule Change To Amend BATS Y-Exchange, Inc. Rule 2.12 to Make Permanent the Pilot Program That Permits BATS Y-Exchange, Inc. To Receive Inbound Routes of Equities Orders Through BATS Trading, Inc., BATS Y-Exchange's Routing Broker-Dealer, From BATS Exchange, Inc. 2012-04-18T00:00:00-07:00 2012-04-18T00:00:00-07:00 2012-9341 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9341.pdf https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9290.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FINRA Fees 2012-04-18T00:00:00-07:00 2012-04-18T00:00:00-07:00 2012-9290 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9290.pdf https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9289.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Recent Changes to FINRA Rules 7440 and 7450, and To Adopt Recent Changes to FINRA Rule 5320 by Amending Commentary .02 to NYSE Arca Equities Rule 5320 To Require That ETP Holders Report to the Order Audit Trail System Information Barriers Put Into Place by the ETP Holder in Reliance on Commentary .02 to NYSE Arca Equities Rule 5320 2012-04-18T00:00:00-07:00 2012-04-18T00:00:00-07:00 2012-9289 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9289.pdf https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9288.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Recent Changes to FINRA Rules 7440 and 7450, and To Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Rule 5320 To Require That Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Rule 5320 2012-04-18T00:00:00-07:00 2012-04-18T00:00:00-07:00 2012-9288 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9288.pdf https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9287.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Recent Changes to FINRA Rules 7440 and 7450, and To Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Amex Equities Rule 5320 To Require that Member Organizations Report to the Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Amex Equities Rule 5320 2012-04-18T00:00:00-07:00 2012-04-18T00:00:00-07:00 2012-9287 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9287.pdf https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9286.html Notice - 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. 2012-04-18T00:00:00-07:00 2012-04-18T00:00:00-07:00 2012-9286 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9286.pdf https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9285.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend an Existing Fee Cap Program and Related Service Fee 2012-04-18T00:00:00-07:00 2012-04-18T00:00:00-07:00 2012-9285 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9285.pdf https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9284.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter V, Section 16 of the BOX Trading Rules 2012-04-18T00:00:00-07:00 2012-04-18T00:00:00-07:00 2012-9284 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9284.pdf https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9283.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates 2012-04-18T00:00:00-07:00 2012-04-18T00:00:00-07:00 2012-9283 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9283.pdf https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9282.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Increasing Certain Rebates and Taker Fees for Complex Orders in Options on the SPDR® S&P500® ETF Trust 2012-04-18T00:00:00-07:00 2012-04-18T00:00:00-07:00 2012-9282 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9282.pdf