Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/06/13?limit=200&registers=between&mode=atom 2024-11-26T23:50:28-08:00 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/2012/06/13/2012-14440.html Rule - Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date 2012-06-13T00:00:00-07:00 2012-06-13T00:00:00-07:00 2012-14440 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14440.pdf https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14405.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.19, Entitled “Short Sales” 2012-06-13T00:00:00-07:00 2012-06-13T00:00:00-07:00 2012-14405 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14405.pdf https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14344.html 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 2012-06-13T00:00:00-07:00 2012-06-13T00:00:00-07:00 2012-14344 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14344.pdf https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14343.html 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 2012-06-13T00:00:00-07:00 2012-06-13T00:00:00-07:00 2012-14343 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14343.pdf https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14342.html 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 2012-06-13T00:00:00-07:00 2012-06-13T00:00:00-07:00 2012-14342 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14342.pdf https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14341.html 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 2012-06-13T00:00:00-07:00 2012-06-13T00:00:00-07:00 2012-14341 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14341.pdf https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14340.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendments No. 2 and No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3 to Adopt FINRA Rule 5123 (Private Placements of Securities) in the Consolidated FINRA Rulebook 2012-06-13T00:00:00-07:00 2012-06-13T00:00:00-07:00 2012-14340 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14340.pdf https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14339.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICE Clear Credit LLC Rules To Amend the Reference Entity Name for Three Credit Default Swap Contracts and the Reference Obligation International Securities Identification Number Associated With One Credit Default Swap Contract 2012-06-13T00:00:00-07:00 2012-06-13T00:00:00-07:00 2012-14339 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14339.pdf https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14338.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval 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 2012-06-13T00:00:00-07:00 2012-06-13T00:00:00-07:00 2012-14338 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14338.pdf https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14337.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval 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 2012-06-13T00:00:00-07:00 2012-06-13T00:00:00-07:00 2012-14337 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14337.pdf https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14336.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule To Amend the Rights Fee That Is Charged to Specialists, e-Specialists and Directed Order Market Makers 2012-06-13T00:00:00-07:00 2012-06-13T00:00:00-07:00 2012-14336 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14336.pdf https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14335.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change To Adopt Self-Trade Prevention Modifiers on the CBOE Stock Exchange 2012-06-13T00:00:00-07:00 2012-06-13T00:00:00-07:00 2012-14335 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14335.pdf