<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![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?registers=between&min-day=1&max-day=30 Sat, 27 Apr 2024 01:27:39 -0700 Sat, 27 Apr 2024 01:27:39 -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?registers=between&min-day=1&max-day=30 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10512.html https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10512.html Mon, 30 Apr 2012 00:00:00 -0700 2012-10512 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-30/pdf/2012-10512.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change Relating To Remove Functionality in the Government Securities Division's Rules That Is No Longer Utilized by Participants https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10308.html https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10308.html Mon, 30 Apr 2012 00:00:00 -0700 2012-10308 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-30/pdf/2012-10308.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving 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 https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10307.html https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10307.html Mon, 30 Apr 2012 00:00:00 -0700 2012-10307 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-30/pdf/2012-10307.pdf Notice - Northern Trust Investments, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10299.html https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10299.html Mon, 30 Apr 2012 00:00:00 -0700 2012-10299 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-30/pdf/2012-10299.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10291.html https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10291.html Mon, 30 Apr 2012 00:00:00 -0700 2012-10291 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-30/pdf/2012-10291.pdf Notice - GPS Funds I, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10290.html https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10290.html Mon, 30 Apr 2012 00:00:00 -0700 2012-10290 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-30/pdf/2012-10290.pdf Notice - Praxis Mutual Funds and Everence Community Investments, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10180.html https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10180.html Fri, 27 Apr 2012 00:00:00 -0700 2012-10180 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-27/pdf/2012-10180.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SQF and BONO Port Fees and Account Fees https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10160.html https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10160.html Fri, 27 Apr 2012 00:00:00 -0700 2012-10160 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-27/pdf/2012-10160.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Regarding Clearing Member Anti-Money Laundering Programs https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10159.html https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10159.html Fri, 27 Apr 2012 00:00:00 -0700 2012-10159 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-27/pdf/2012-10159.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Huntington US Equity Rotation Strategy ETF and Huntington EcoLogical Strategy ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10158.html https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10158.html Fri, 27 Apr 2012 00:00:00 -0700 2012-10158 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-27/pdf/2012-10158.pdf Notice - Advisors Series Trust and Orinda Asset Management, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10157.html https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10157.html Fri, 27 Apr 2012 00:00:00 -0700 2012-10157 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-27/pdf/2012-10157.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Revised DCO Rules https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10028.html https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10028.html Thu, 26 Apr 2012 00:00:00 -0700 2012-10028 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-26/pdf/2012-10028.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX Phlx LLC; Order Approving Proposed Rule Change To Amend Registration, Qualification, and Continuing Education Requirements for Associated Persons https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10027.html https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10027.html Thu, 26 Apr 2012 00:00:00 -0700 2012-10027 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-26/pdf/2012-10027.pdf Notice - Order Temporarily Exempting Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934 and Granting an Exemption for Certain Securities Transactions https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10026.html https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10026.html Thu, 26 Apr 2012 00:00:00 -0700 2012-10026 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-26/pdf/2012-10026.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10025.html https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10025.html Thu, 26 Apr 2012 00:00:00 -0700 2012-10025 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-26/pdf/2012-10025.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Specify How the Immediate-or-Cancel Time-in-Force Instructions Are Applicable to an MPL Order https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9969.html https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9969.html Wed, 25 Apr 2012 00:00:00 -0700 2012-9969 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-25/pdf/2012-9969.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9938.html https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9938.html Wed, 25 Apr 2012 00:00:00 -0700 2012-9938 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-25/pdf/2012-9938.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9937.html https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9937.html Wed, 25 Apr 2012 00:00:00 -0700 2012-9937 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-25/pdf/2012-9937.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX Exchange, Inc.; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in Which SIX Swiss Exchange AG Will Transfer Its Interest in ISE Holdings, Inc. to a Newly Formed Swiss Corporation, Eurex Global Derivatives AG https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9929.html https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9929.html Wed, 25 Apr 2012 00:00:00 -0700 2012-9929 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-25/pdf/2012-9929.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9840.html https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9840.html Wed, 25 Apr 2012 00:00:00 -0700 2012-9840 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-25/pdf/2012-9840.pdf Notice - Sunshine Act Meeting; Notice https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9933.html https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9933.html Tue, 24 Apr 2012 00:00:00 -0700 2012-9933 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-24/pdf/2012-9933.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, To Adopt an Alternative to the $4 Per Share Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 Closing Price Per Share or $3 Closing Price Per Share, if Certain Other Listing Requirements are Met https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9795.html https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9795.html Tue, 24 Apr 2012 00:00:00 -0700 2012-9795 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-24/pdf/2012-9795.pdf Notice - Beverly Hills Bancorp Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9772.html https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9772.html Tue, 24 Apr 2012 00:00:00 -0700 2012-9772 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-24/pdf/2012-9772.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9771.html https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9771.html Tue, 24 Apr 2012 00:00:00 -0700 2012-9771 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-24/pdf/2012-9771.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving 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 https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9769.html https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9769.html Tue, 24 Apr 2012 00:00:00 -0700 2012-9769 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-24/pdf/2012-9769.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Peritus High Yield ETF https://regulations.justia.com/regulations/fedreg/2012/04/23/2012-9663.html https://regulations.justia.com/regulations/fedreg/2012/04/23/2012-9663.html Mon, 23 Apr 2012 00:00:00 -0700 2012-9663 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-23/pdf/2012-9663.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending NYSE Rule 107B To Add a Class of Supplemental Liquidity Providers That Are Registered as Market Makers at the Exchange https://regulations.justia.com/regulations/fedreg/2012/04/23/2012-9629.html https://regulations.justia.com/regulations/fedreg/2012/04/23/2012-9629.html Mon, 23 Apr 2012 00:00:00 -0700 2012-9629 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-23/pdf/2012-9629.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 107B To Add a Class of Supplemental Liquidity Providers That Are Registered as Market Makers at the Exchange https://regulations.justia.com/regulations/fedreg/2012/04/23/2012-9628.html https://regulations.justia.com/regulations/fedreg/2012/04/23/2012-9628.html Mon, 23 Apr 2012 00:00:00 -0700 2012-9628 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-23/pdf/2012-9628.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9593.html https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9593.html Fri, 20 Apr 2012 00:00:00 -0700 2012-9593 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-20/pdf/2012-9593.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9529.html https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9529.html Fri, 20 Apr 2012 00:00:00 -0700 2012-9529 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-20/pdf/2012-9529.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the JPM XF Physical Copper Trust Pursuant to NYSE Arca Equities Rule 8.201 https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9528.html https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9528.html Fri, 20 Apr 2012 00:00:00 -0700 2012-9528 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-20/pdf/2012-9528.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Facilitate Changing its Methodology for Calculation of the “Cash Mark-to-Market” Performance Bonds for Cleared OTC FX Swaps From SPAN® to HVaR https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9527.html https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9527.html Fri, 20 Apr 2012 00:00:00 -0700 2012-9527 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-20/pdf/2012-9527.pdf 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 https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9526.html https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9526.html Fri, 20 Apr 2012 00:00:00 -0700 2012-9526 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-20/pdf/2012-9526.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9525.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9525.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9525 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9525.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9417.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9417.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9417 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9417.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9416.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9416.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9416 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9416.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9415.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9415.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9415 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9415.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9414.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9414.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9414 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9414.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9413.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9413.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9413 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9413.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9412.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9412.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9412 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9412.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9411.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9411.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9411 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9411.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(t) To Provide for Limit-on-Open Orders and Market-on-Open Orders https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9410.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9410.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9410 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9410.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(h)(4) To Make Passive Liquidity Orders in Exchange-Listed Securities Available to All Users, Regardless of Whether a Lead Market Maker Is Assigned to the Security https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9409.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9409.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9409 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9409.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of a Proposed Rule Change Amending NYSE Amex Rule 476A To Update Its “List of Equities Rule Violations and Fines Applicable Thereto” https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9408.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9408.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9408 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9408.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1014 https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9407.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9407.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9407 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9407.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Option Fees https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9406.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9406.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9406 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9406.pdf 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 in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9405.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9405.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9405 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9405.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9404.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9404.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9404 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9404.pdf 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. https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9342.html https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9342.html Wed, 18 Apr 2012 00:00:00 -0700 2012-9342 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9342.pdf 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. https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9341.html https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9341.html Wed, 18 Apr 2012 00:00:00 -0700 2012-9341 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9341.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FINRA Fees https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9290.html https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9290.html Wed, 18 Apr 2012 00:00:00 -0700 2012-9290 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9290.pdf 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 https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9289.html https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9289.html Wed, 18 Apr 2012 00:00:00 -0700 2012-9289 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9289.pdf 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 https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9288.html https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9288.html Wed, 18 Apr 2012 00:00:00 -0700 2012-9288 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9288.pdf 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 https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9287.html https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9287.html Wed, 18 Apr 2012 00:00:00 -0700 2012-9287 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9287.pdf 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. https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9286.html https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9286.html Wed, 18 Apr 2012 00:00:00 -0700 2012-9286 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9286.pdf 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 https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9285.html https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9285.html Wed, 18 Apr 2012 00:00:00 -0700 2012-9285 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9285.pdf 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 https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9284.html https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9284.html Wed, 18 Apr 2012 00:00:00 -0700 2012-9284 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9284.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9283.html https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9283.html Wed, 18 Apr 2012 00:00:00 -0700 2012-9283 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9283.pdf 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 https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9282.html https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9282.html Wed, 18 Apr 2012 00:00:00 -0700 2012-9282 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9282.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9304.html https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9304.html Tue, 17 Apr 2012 00:00:00 -0700 2012-9304 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-17/pdf/2012-9304.pdf Notice - City Capital Corporation; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9302.html https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9302.html Tue, 17 Apr 2012 00:00:00 -0700 2012-9302 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-17/pdf/2012-9302.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Acceptance of Additional Interest Rate Swaps and Related Interbank Rates for Clearing https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9143.html https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9143.html Tue, 17 Apr 2012 00:00:00 -0700 2012-9143 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-17/pdf/2012-9143.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Make a Technical Correction to the Rule Relating to the Calculation of Funds-Only Settlement Amounts for Repo Brokers https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9142.html https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9142.html Tue, 17 Apr 2012 00:00:00 -0700 2012-9142 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-17/pdf/2012-9142.pdf 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 https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9141.html https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9141.html Tue, 17 Apr 2012 00:00:00 -0700 2012-9141 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-17/pdf/2012-9141.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9140.html https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9140.html Tue, 17 Apr 2012 00:00:00 -0700 2012-9140 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-17/pdf/2012-9140.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4751 https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9139.html https://regulations.justia.com/regulations/fedreg/2012/04/17/2012-9139.html Tue, 17 Apr 2012 00:00:00 -0700 2012-9139 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-17/pdf/2012-9139.pdf Notice - AP Henderson Group, BPO Management Services, Inc., Capital Mineral Investors, Inc., CardioVascular BioTherapeutics, Inc., and 1st Centennial Bancorp; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/04/16/2012-9170.html https://regulations.justia.com/regulations/fedreg/2012/04/16/2012-9170.html Mon, 16 Apr 2012 00:00:00 -0700 2012-9170 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-16/pdf/2012-9170.pdf Notice - Huntington Asset Advisors, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/04/16/2012-9013.html https://regulations.justia.com/regulations/fedreg/2012/04/16/2012-9013.html Mon, 16 Apr 2012 00:00:00 -0700 2012-9013 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-16/pdf/2012-9013.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/16/2012-9012.html https://regulations.justia.com/regulations/fedreg/2012/04/16/2012-9012.html Mon, 16 Apr 2012 00:00:00 -0700 2012-9012 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-16/pdf/2012-9012.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/16/2012-9011.html https://regulations.justia.com/regulations/fedreg/2012/04/16/2012-9011.html Mon, 16 Apr 2012 00:00:00 -0700 2012-9011 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-16/pdf/2012-9011.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Add Rules Related to the Clearing of Emerging Markets Sovereign Index CDS https://regulations.justia.com/regulations/fedreg/2012/04/16/2012-9010.html https://regulations.justia.com/regulations/fedreg/2012/04/16/2012-9010.html Mon, 16 Apr 2012 00:00:00 -0700 2012-9010 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-16/pdf/2012-9010.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Amendments to Its Price List To Raise the Supplemental Liquidity Provider Rebate and Raise the NYSE Crossing Session II Rate and Fee Cap https://regulations.justia.com/regulations/fedreg/2012/04/16/2012-9009.html https://regulations.justia.com/regulations/fedreg/2012/04/16/2012-9009.html Mon, 16 Apr 2012 00:00:00 -0700 2012-9009 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-16/pdf/2012-9009.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 13024 of the Code of Arbitration Procedure for Industry Disputes To Preclude Collective Action Claims From Being Arbitrated https://regulations.justia.com/regulations/fedreg/2012/04/13/2012-8880.html https://regulations.justia.com/regulations/fedreg/2012/04/13/2012-8880.html Fri, 13 Apr 2012 00:00:00 -0700 2012-8880 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-13/pdf/2012-8880.pdf 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 CFTC Regulations Governing Derivatives Clearing Organizations https://regulations.justia.com/regulations/fedreg/2012/04/13/2012-8879.html https://regulations.justia.com/regulations/fedreg/2012/04/13/2012-8879.html Fri, 13 Apr 2012 00:00:00 -0700 2012-8879 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-13/pdf/2012-8879.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of a Restatement of an Interpretive Notice Concerning the Application of MSRB Rule G-17 to Sophisticated Municipal Market Professionals https://regulations.justia.com/regulations/fedreg/2012/04/13/2012-8878.html https://regulations.justia.com/regulations/fedreg/2012/04/13/2012-8878.html Fri, 13 Apr 2012 00:00:00 -0700 2012-8878 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-13/pdf/2012-8878.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Quarterly Trading Requirements Applicable to Registered Options Traders https://regulations.justia.com/regulations/fedreg/2012/04/13/2012-8877.html https://regulations.justia.com/regulations/fedreg/2012/04/13/2012-8877.html Fri, 13 Apr 2012 00:00:00 -0700 2012-8877 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-13/pdf/2012-8877.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to FLEX Options https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8839.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8839.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8839 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8839.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees and Rebates in Penny Pilot Options https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8838.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8838.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8838 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8838.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8796.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8796.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8796 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8796.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8795.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8795.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8795 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8795.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8794.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8794.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8794 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8794.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8793.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8793.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8793 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8793.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8792.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8792.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8792 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8792.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to Membership Qualifications https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8790.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8790.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8790 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8790.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish the Market Quality Program https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8789.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8789.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8789 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8789.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New EDGA Rule 11.22 Requiring Members To Input Accurate Information Into the System https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8788.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8788.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8788 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8788.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8787.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8787.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8787 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8787.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8786.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8786.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8786 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8786.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New EDGX Rule 11.22 Requiring Members To Input Accurate Information Into the System https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8785.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8785.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8785 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8785.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating To Stock-Option Orders https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8784.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8784.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8784 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8784.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Stock-Option Orders https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8783.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8783.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8783 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8783.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change Amending NYSE Rule 476A To Update its “List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A” https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8782.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8782.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8782 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8782.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates for Adding and Removing Liquidity in SPY https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8781.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8781.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8781 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8781.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8780.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8780.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8780 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8780.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8779.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8779.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8779 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8779.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing of Non-Customer Orders https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8778.html https://regulations.justia.com/regulations/fedreg/2012/04/12/2012-8778.html Thu, 12 Apr 2012 00:00:00 -0700 2012-8778 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-12/pdf/2012-8778.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the WisdomTree Brazil Bond Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/04/11/2012-8717.html https://regulations.justia.com/regulations/fedreg/2012/04/11/2012-8717.html Wed, 11 Apr 2012 00:00:00 -0700 2012-8717 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-11/pdf/2012-8717.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/11/2012-8715.html https://regulations.justia.com/regulations/fedreg/2012/04/11/2012-8715.html Wed, 11 Apr 2012 00:00:00 -0700 2012-8715 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-11/pdf/2012-8715.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Investor Support Program and the Extended Hours Investor Program Under Rule 7014 and To Amend the Liquidity Provider Rebate Schedule Under Rule 7018 https://regulations.justia.com/regulations/fedreg/2012/04/11/2012-8712.html https://regulations.justia.com/regulations/fedreg/2012/04/11/2012-8712.html Wed, 11 Apr 2012 00:00:00 -0700 2012-8712 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-11/pdf/2012-8712.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Route-Out Fee for Priority Customer Orders and Modify the Rebate for Primary Market Makers That Send Intermarket Sweep Orders https://regulations.justia.com/regulations/fedreg/2012/04/11/2012-8711.html https://regulations.justia.com/regulations/fedreg/2012/04/11/2012-8711.html Wed, 11 Apr 2012 00:00:00 -0700 2012-8711 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-11/pdf/2012-8711.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct Hyperlink in Rule 5.5A https://regulations.justia.com/regulations/fedreg/2012/04/11/2012-8709.html https://regulations.justia.com/regulations/fedreg/2012/04/11/2012-8709.html Wed, 11 Apr 2012 00:00:00 -0700 2012-8709 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-11/pdf/2012-8709.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to Rescinding a Policy Interpretation Affecting Certain Adjustments https://regulations.justia.com/regulations/fedreg/2012/04/11/2012-8708.html https://regulations.justia.com/regulations/fedreg/2012/04/11/2012-8708.html Wed, 11 Apr 2012 00:00:00 -0700 2012-8708 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-11/pdf/2012-8708.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/04/10/2012-8714.html https://regulations.justia.com/regulations/fedreg/2012/04/10/2012-8714.html Tue, 10 Apr 2012 00:00:00 -0700 2012-8714 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-10/pdf/2012-8714.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Transaction Execution Fee and Credit Schedule https://regulations.justia.com/regulations/fedreg/2012/04/10/2012-8581.html https://regulations.justia.com/regulations/fedreg/2012/04/10/2012-8581.html Tue, 10 Apr 2012 00:00:00 -0700 2012-8581 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-10/pdf/2012-8581.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Re-Organize NASDAQ's Rules Governing the Fees Applicable to NASDAQ's Depth-of-Book Market Data https://regulations.justia.com/regulations/fedreg/2012/04/10/2012-8580.html https://regulations.justia.com/regulations/fedreg/2012/04/10/2012-8580.html Tue, 10 Apr 2012 00:00:00 -0700 2012-8580 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-10/pdf/2012-8580.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Additions to the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2012/04/10/2012-8522.html https://regulations.justia.com/regulations/fedreg/2012/04/10/2012-8522.html Tue, 10 Apr 2012 00:00:00 -0700 2012-8522 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-10/pdf/2012-8522.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Regarding Registration, Qualification, and Continuing Education Requirements for Associated Persons https://regulations.justia.com/regulations/fedreg/2012/04/10/2012-8521.html https://regulations.justia.com/regulations/fedreg/2012/04/10/2012-8521.html Tue, 10 Apr 2012 00:00:00 -0700 2012-8521 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-10/pdf/2012-8521.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Amend Schedule 502 of the ICE Clear Credit LLC Rules To Provide for Clearing of the Markit CDX North American High Yield Series 15 Credit Default Swap Contracts Maturing on December 20, 2013 https://regulations.justia.com/regulations/fedreg/2012/04/10/2012-8520.html https://regulations.justia.com/regulations/fedreg/2012/04/10/2012-8520.html Tue, 10 Apr 2012 00:00:00 -0700 2012-8520 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-10/pdf/2012-8520.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Enhance Its Margining Methodology as Applied to Municipal and Corporate Bonds https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8463.html https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8463.html Mon, 09 Apr 2012 00:00:00 -0700 2012-8463 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-09/pdf/2012-8463.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees Applicable to Non-Display Usage of Certain NASDAQ Depth-of-Book Market Data https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8462.html https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8462.html Mon, 09 Apr 2012 00:00:00 -0700 2012-8462 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-09/pdf/2012-8462.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Customer Routing Fees https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8461.html https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8461.html Mon, 09 Apr 2012 00:00:00 -0700 2012-8461 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-09/pdf/2012-8461.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8433.html https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8433.html Mon, 09 Apr 2012 00:00:00 -0700 2012-8433 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-09/pdf/2012-8433.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8432.html https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8432.html Mon, 09 Apr 2012 00:00:00 -0700 2012-8432 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-09/pdf/2012-8432.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Newly Listed Indexes https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8431.html https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8431.html Mon, 09 Apr 2012 00:00:00 -0700 2012-8431 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-09/pdf/2012-8431.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8430.html https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8430.html Mon, 09 Apr 2012 00:00:00 -0700 2012-8430 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-09/pdf/2012-8430.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Trading Floor Booth Fees and Policy https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8429.html https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8429.html Mon, 09 Apr 2012 00:00:00 -0700 2012-8429 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-09/pdf/2012-8429.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of a Security (“Mini-Options Contracts”) and Implementing Rule Text Necessary to Distinguish Mini-Options Contracts From Option Contracts Overlying 100 Shares of a Security (“Standard Contracts”) https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8428.html https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8428.html Mon, 09 Apr 2012 00:00:00 -0700 2012-8428 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-09/pdf/2012-8428.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8427.html https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8427.html Mon, 09 Apr 2012 00:00:00 -0700 2012-8427 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-09/pdf/2012-8427.pdf 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 https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8426.html https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8426.html Mon, 09 Apr 2012 00:00:00 -0700 2012-8426 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-09/pdf/2012-8426.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Shares of the BNP Paribas S&P Dynamic Roll Global Commodities Fund Under NYSE Arca Equities Rule 8.200 https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8425.html https://regulations.justia.com/regulations/fedreg/2012/04/09/2012-8425.html Mon, 09 Apr 2012 00:00:00 -0700 2012-8425 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-09/pdf/2012-8425.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of BATS Global Markets, Inc. https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8361.html https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8361.html Fri, 06 Apr 2012 00:00:00 -0700 2012-8361 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-06/pdf/2012-8361.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of BATS Global Markets, Inc. https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8360.html https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8360.html Fri, 06 Apr 2012 00:00:00 -0700 2012-8360 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-06/pdf/2012-8360.pdf Proposed Rule - Investment Company Advertising: Target Date Retirement Fund Names and Marketing https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8348.html https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8348.html Fri, 06 Apr 2012 00:00:00 -0700 2012-8348 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2012-04-06/pdf/2012-8348.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to Rule 2.11 That Establish the Authority To Cancel Orders and Describe the Operation of an Error Account https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8271.html https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8271.html Fri, 06 Apr 2012 00:00:00 -0700 2012-8271 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-06/pdf/2012-8271.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Stock Loan Buy-In and Sell-Out Rules https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8270.html https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8270.html Fri, 06 Apr 2012 00:00:00 -0700 2012-8270 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-06/pdf/2012-8270.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to Rule 2.11 That Establish the Authority To Cancel Orders and Describe the Operation of an Error Account https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8269.html https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8269.html Fri, 06 Apr 2012 00:00:00 -0700 2012-8269 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-06/pdf/2012-8269.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8262.html https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8262.html Fri, 06 Apr 2012 00:00:00 -0700 2012-8262 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-06/pdf/2012-8262.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the FLEX No Minimum Value Pilot Program https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8261.html https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8261.html Fri, 06 Apr 2012 00:00:00 -0700 2012-8261 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-06/pdf/2012-8261.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a 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 https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8260.html https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8260.html Fri, 06 Apr 2012 00:00:00 -0700 2012-8260 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-06/pdf/2012-8260.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a 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 https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8259.html https://regulations.justia.com/regulations/fedreg/2012/04/06/2012-8259.html Fri, 06 Apr 2012 00:00:00 -0700 2012-8259 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-06/pdf/2012-8259.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Fee Pilot Program for NASDAQ Last Sale https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8205.html https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8205.html Thu, 05 Apr 2012 00:00:00 -0700 2012-8205 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-05/pdf/2012-8205.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Trading Rules Regarding the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8173.html https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8173.html Thu, 05 Apr 2012 00:00:00 -0700 2012-8173 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-05/pdf/2012-8173.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Transaction Fees https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8172.html https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8172.html Thu, 05 Apr 2012 00:00:00 -0700 2012-8172 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-05/pdf/2012-8172.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Establish an Automated Improvement Mechanism and a Solicitation Auction Mechanism for FLEX Options https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8171.html https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8171.html Thu, 05 Apr 2012 00:00:00 -0700 2012-8171 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-05/pdf/2012-8171.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Pilot Programs Relating to FLEX Exercise Settlement Values and Minimum Value Sizes https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8170.html https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8170.html Thu, 05 Apr 2012 00:00:00 -0700 2012-8170 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-05/pdf/2012-8170.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Non-Display of Primary Pegged Orders With an Offset Amount https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8169.html https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8169.html Thu, 05 Apr 2012 00:00:00 -0700 2012-8169 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-05/pdf/2012-8169.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Non-Display of Primary Pegged Orders With an Offset Amount https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8168.html https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8168.html Thu, 05 Apr 2012 00:00:00 -0700 2012-8168 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-05/pdf/2012-8168.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Non-Display of Primary Pegged Orders With an Offset Amount https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8150.html https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8150.html Thu, 05 Apr 2012 00:00:00 -0700 2012-8150 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-05/pdf/2012-8150.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of AdvisorShares Global Echo ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8149.html https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8149.html Thu, 05 Apr 2012 00:00:00 -0700 2012-8149 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-05/pdf/2012-8149.pdf Rule - Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8141.html https://regulations.justia.com/regulations/fedreg/2012/04/05/2012-8141.html Thu, 05 Apr 2012 00:00:00 -0700 2012-8141 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-04-05/pdf/2012-8141.pdf 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 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/04/03/2012-8063.html https://regulations.justia.com/regulations/fedreg/2012/04/03/2012-8063.html Tue, 03 Apr 2012 00:00:00 -0700 2012-8063 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-03/pdf/2012-8063.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Equity Options Fees and Singly Listed Option Fee https://regulations.justia.com/regulations/fedreg/2012/04/03/2012-7914.html https://regulations.justia.com/regulations/fedreg/2012/04/03/2012-7914.html Tue, 03 Apr 2012 00:00:00 -0700 2012-7914 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-03/pdf/2012-7914.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the PIMCO Global Advantage Inflation-Linked Bond Strategy Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/04/03/2012-7913.html https://regulations.justia.com/regulations/fedreg/2012/04/03/2012-7913.html Tue, 03 Apr 2012 00:00:00 -0700 2012-7913 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-03/pdf/2012-7913.pdf Notice - Securities Exchange Act of 1934; In the Matter of the NASDAQ Stock Market LLC; Order Granting Petition for Review and Scheduling Filing of Statements https://regulations.justia.com/regulations/fedreg/2012/04/03/2012-7901.html https://regulations.justia.com/regulations/fedreg/2012/04/03/2012-7901.html Tue, 03 Apr 2012 00:00:00 -0700 2012-7901 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-03/pdf/2012-7901.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating To the Listing and Trading of the First Trust North American Infrastructure Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/04/03/2012-7894.html https://regulations.justia.com/regulations/fedreg/2012/04/03/2012-7894.html Tue, 03 Apr 2012 00:00:00 -0700 2012-7894 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-03/pdf/2012-7894.pdf Notice - Angstrom Microsystems Corp., Bedminster National Corp., Brake Headquarters U.S.A., Inc., and BrandPartners Group, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/04/02/2012-7943.html https://regulations.justia.com/regulations/fedreg/2012/04/02/2012-7943.html Mon, 02 Apr 2012 00:00:00 -0700 2012-7943 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-02/pdf/2012-7943.pdf Notice - Advanced BioPhotonics, Inc., Advanced Viral Research Corp., Brantley Capital Corp., Brilliant Technologies Corporation, 4C Controls, Inc., and 2-Track Global, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/04/02/2012-7942.html https://regulations.justia.com/regulations/fedreg/2012/04/02/2012-7942.html Mon, 02 Apr 2012 00:00:00 -0700 2012-7942 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-02/pdf/2012-7942.pdf 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 https://regulations.justia.com/regulations/fedreg/2012/04/02/2012-7772.html https://regulations.justia.com/regulations/fedreg/2012/04/02/2012-7772.html Mon, 02 Apr 2012 00:00:00 -0700 2012-7772 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-02/pdf/2012-7772.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2012/04/02/2012-7771.html https://regulations.justia.com/regulations/fedreg/2012/04/02/2012-7771.html Mon, 02 Apr 2012 00:00:00 -0700 2012-7771 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-02/pdf/2012-7771.pdf