Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/06/28?limit=200&registers=between&mode=atom 2024-11-26T23:37:36-08:00 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/2012/06/28/2012-15852.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 4 of Schedule A to the FINRA By-Laws To Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee 2012-06-28T00:00:00-07:00 2012-06-28T00:00:00-07:00 2012-15852 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15852.pdf https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15851.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adjust Fees for Review of Advertising Material Filed With FINRA 2012-06-28T00:00:00-07:00 2012-06-28T00:00:00-07:00 2012-15851 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15851.pdf https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15808.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical and Conforming Amendments to the Pricing Schedule 2012-06-28T00:00:00-07:00 2012-06-28T00:00:00-07:00 2012-15808 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15808.pdf https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15807.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Rule 3.2 and NYSE Arca Equities, Inc. Rule 3.2, Which Concern the Nomination and Election of Fair Representation Directors 2012-06-28T00:00:00-07:00 2012-06-28T00:00:00-07:00 2012-15807 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15807.pdf https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15806.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities 2012-06-28T00:00:00-07:00 2012-06-28T00:00:00-07:00 2012-15806 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15806.pdf https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15805.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adjust Fees for Filing Documents Pursuant to FINRA Rule 5110 2012-06-28T00:00:00-07:00 2012-06-28T00:00:00-07:00 2012-15805 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15805.pdf https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15804.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Proposed Rule G-43, on Broker's Brokers; Proposed Amendments to Rule G-8, on Books and Records, Rule G-9, on Record Retention, and Rule G-18, on Execution of Transactions; and a Proposed Interpretive Notice on the Duties of Dealers That Use the Services of Broker's Brokers 2012-06-28T00:00:00-07:00 2012-06-28T00:00:00-07:00 2012-15804 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15804.pdf