Securities and Exchange Commission May 10, 2012 – Federal Register Recent Federal Regulation Documents

Results 1 - 17 of 17
Sunshine Act Meetings
Document Number: 2012-11442
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11442.html
In the Matter of One Voice Technologies, Inc., Orchestra Therapeutics, Inc., Path 1 Network Technologies, Inc., Pavilion Energy Resources, Inc. (f/k/a Global Business Services, Inc.), Pine Valley Mining Corp., Platina Energy Group, Inc., Pop N Go, Inc., and Powercold Corp., File No. 500-1; Order of Suspension of Trading
Document Number: 2012-11403
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11403.html
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
Document Number: 2012-11324
Type: Notice
Date: 2012-05-10
Agency: Commodity Futures Trading Commission, Agencies and Commissions, Securities and Exchange Commission
The Chairmen of the SEC and CFTC, with the concurrence of the other SEC and CFTC Commissioners, respectively, intend to renew the charter of the Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (the ``Committee'').
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11324.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change, as Modified by Amendment No. 2, Consisting of Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities
Document Number: 2012-11268
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11268.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Phlx's Fee Schedule Governing Routing From Its NASDAQ OMX PSX Facility
Document Number: 2012-11258
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11258.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule
Document Number: 2012-11257
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11257.html
SK Private Investment Fund 1998 LLC, et al.; Notice of Application
Document Number: 2012-11256
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: Applicants request an order to exempt certain limited liability companies formed for the benefit of eligible employees of Skadden, Arps, Slate, Meagher & Flom and its affiliates from certain provisions of the Act. Each limited liability company will be an ``employees' securities company'' within the meaning of section 2(a)(13) of the Act. Applicants: SK Private Investment Fund 1998 LLC, Project Capital 2004 Investment Fund LLC, Project Capital 2006 Investment Fund LLC, and Project Capital 2008 Investment Fund LLC (``Existing Funds''), and Skadden, Arps, Slate, Meagher & Flom LLP (``Skadden Arps LLP'').
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11256.html
Proposed Collection; Comment Request
Document Number: 2012-11250
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11250.html
Proposed Collection; Comment Request
Document Number: 2012-11249
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11249.html
Destra Capital Investments LLC and Destra Unit Investment Trust; Notice of Application
Document Number: 2012-11248
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit certain unit investment trusts to: (a) Impose sales charges on a deferred basis and waive deferred sales charges in certain cases; (b) offer unitholders certain exchange and rollover options; (c) publicly offer units without requiring the Depositor to take for its own account $100,000 worth of units; and (d) distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt.
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11248.html
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C To Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C To Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date
Document Number: 2012-11247
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11247.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities
Document Number: 2012-11246
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11246.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Regarding Routing of Limit Orders
Document Number: 2012-11245
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11245.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Granting Accelerated Approval of Proposed Rule Change to Membership Qualifications
Document Number: 2012-11244
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11244.html
Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change To Amend Rules Relating to the Issuance of and Maturity Presentment Processing for Money Market Instruments
Document Number: 2012-11243
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11243.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Rules Regarding CDS Clearing Member Obligations and Qualifications
Document Number: 2012-11242
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11242.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Rules Regarding IRS Clearing Member Obligations and Qualifications
Document Number: 2012-11241
Type: Notice
Date: 2012-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11241.html
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