Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/06?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-02T12:14:32-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2012/06/29/2012-15956.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify an Optional Depth Data Enterprise License Fee for Broker-Dealer Distribution of Depth-of-Book Data2012-06-29T00:00:00-07:002012-06-29T00:00:00-07:002012-15956Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-29/pdf/2012-15956.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/29/2012-15955.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4758(a)(1)(A) To Reflect a Change in NASDAQ's Routing Functionality2012-06-29T00:00:00-07:002012-06-29T00:00:00-07:002012-15955Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-29/pdf/2012-15955.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/29/2012-15943.htmlNotice - Proposed Collection; Comment Request2012-06-29T00:00:00-07:002012-06-29T00:00:00-07:002012-15943Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-29/pdf/2012-15943.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/29/2012-15942.htmlNotice - Submission for OMB Review; Comment Request2012-06-29T00:00:00-07:002012-06-29T00:00:00-07:002012-15942Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-29/pdf/2012-15942.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/29/2012-15941.htmlNotice - Submission for OMB Review; Comment Request2012-06-29T00:00:00-07:002012-06-29T00:00:00-07:002012-15941Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-29/pdf/2012-15941.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/29/2012-15940.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Adding New Paragraph (cc) to NYSE Arca Options Rule 6.62 To Provide for a Post No Preference Light Only Quotation2012-06-29T00:00:00-07:002012-06-29T00:00:00-07:002012-15940Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-29/pdf/2012-15940.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/29/2012-15939.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Obvious Error Rule2012-06-29T00:00:00-07:002012-06-29T00:00:00-07:002012-15939Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-29/pdf/2012-15939.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/29/2012-15938.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Commentary .01 to NYSE Arca Rule 6.352012-06-29T00:00:00-07:002012-06-29T00:00:00-07:002012-15938Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-29/pdf/2012-15938.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/29/2012-15937.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository2012-06-29T00:00:00-07:002012-06-29T00:00:00-07:002012-15937Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-29/pdf/2012-15937.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15852.htmlNotice - 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 Fee2012-06-28T00:00:00-07:002012-06-28T00:00:00-07:002012-15852Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15852.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15851.htmlNotice - 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 FINRA2012-06-28T00:00:00-07:002012-06-28T00:00:00-07:002012-15851Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15851.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15808.htmlNotice - 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 Schedule2012-06-28T00:00:00-07:002012-06-28T00:00:00-07:002012-15808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15808.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15807.htmlNotice - 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 Directors2012-06-28T00:00:00-07:002012-06-28T00:00:00-07:002012-15807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15807.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15806.htmlNotice - 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 Securities2012-06-28T00:00:00-07:002012-06-28T00:00:00-07:002012-15806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15806.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15805.htmlNotice - 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 51102012-06-28T00:00:00-07:002012-06-28T00:00:00-07:002012-15805Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15805.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15804.htmlNotice - 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 Brokers2012-06-28T00:00:00-07:002012-06-28T00:00:00-07:002012-15804Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15804.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/27/2012-15730.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of iShares Copper Trust Pursuant to NYSE Arca Equities Rule 8.2012012-06-27T00:00:00-07:002012-06-27T00:00:00-07:002012-15730Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-27/pdf/2012-15730.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/27/2012-15638.htmlNotice - Medallion Financial Corp.; Notice of Application2012-06-27T00:00:00-07:002012-06-27T00:00:00-07:002012-15638Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-27/pdf/2012-15638.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/27/2012-15637.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security2012-06-27T00:00:00-07:002012-06-27T00:00:00-07:002012-15637Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-27/pdf/2012-15637.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/27/2012-15636.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security (“Mini-Options Contracts”) and Implement Rule Text Necessary To Distinguish Mini-Options Contracts From Option Contracts Overlying 100 Shares of a Security (“Standard Contracts”)2012-06-27T00:00:00-07:002012-06-27T00:00:00-07:002012-15636Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-27/pdf/2012-15636.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/27/2012-15635.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend CME Rule 802 Regarding CME's Capital Contribution to the Base Guaranty Fund2012-06-27T00:00:00-07:002012-06-27T00:00:00-07:002012-15635Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-27/pdf/2012-15635.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/27/2012-15634.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Class Quoting Limit for Options on Facebook2012-06-27T00:00:00-07:002012-06-27T00:00:00-07:002012-15634Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-27/pdf/2012-15634.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/27/2012-15633.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Alpha Index-Linked Securities2012-06-27T00:00:00-07:002012-06-27T00:00:00-07:002012-15633Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-27/pdf/2012-15633.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/27/2012-15408.htmlRule - Listing Standards for Compensation Committees2012-06-27T00:00:00-07:002012-06-27T00:00:00-07:002012-15408Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-27/pdf/2012-15408.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/26/2012-15673.htmlNotice - Sunshine Act Meeting2012-06-26T00:00:00-07:002012-06-26T00:00:00-07:002012-15673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-26/pdf/2012-15673.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/26/2012-15536.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Rules Regarding the GCF Repo Service To Adopt Changes Recommended by the Tri-Party Repo Infrastructure Reform Task Force2012-06-26T00:00:00-07:002012-06-26T00:00:00-07:002012-15536Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-26/pdf/2012-15536.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/26/2012-15535.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rules To Add the Mid-Point Discretionary Order2012-06-26T00:00:00-07:002012-06-26T00:00:00-07:002012-15535Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-26/pdf/2012-15535.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/26/2012-15493.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making a Clerical Correction to the Grandfathered Rules2012-06-26T00:00:00-07:002012-06-26T00:00:00-07:002012-15493Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-26/pdf/2012-15493.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/26/2012-15492.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change To List Shares of the Nuveen Long/Short Commodity Total Return Fund Under NYSE Amex Rule 1600 et2012-06-26T00:00:00-07:002012-06-26T00:00:00-07:002012-15492Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-26/pdf/2012-15492.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/26/2012-15491.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Proposing a Pilot Program To Create a Lead Market Maker Issuer Incentive Program for Issuers of Certain Exchange-Traded Products Listed on NYSE Arca, Inc.2012-06-26T00:00:00-07:002012-06-26T00:00:00-07:002012-15491Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-26/pdf/2012-15491.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/26/2012-15489.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1, To Add an Index Option Product for Trading on the Exchange2012-06-26T00:00:00-07:002012-06-26T00:00:00-07:002012-15489Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-26/pdf/2012-15489.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/25/2012-15410.htmlNotice - Order Granting a Limited Exemption From Exchange Act Rule 10b-17 to Certain Actively Managed Exchange-Traded Funds Pursuant to Exchange Act Rule 10b-17(b)(2)2012-06-25T00:00:00-07:002012-06-25T00:00:00-07:002012-15410Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-25/pdf/2012-15410.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/25/2012-15380.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Allow Competitive Market Makers To Use Their Membership Points To Enter Multiple Quotes in an Options Class2012-06-25T00:00:00-07:002012-06-25T00:00:00-07:002012-15380Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-25/pdf/2012-15380.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/25/2012-15379.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 921NY, 921.1NY, and 931NY Prescribing the Registered Proprietary Traders Examination (Series 56) as the Qualifying Examination for Registered Market Makers, Market Maker Authorized Traders, and Floor Brokers2012-06-25T00:00:00-07:002012-06-25T00:00:00-07:002012-15379Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-25/pdf/2012-15379.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/25/2012-15378.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rule 2.23 To Prescribe The Registered Proprietary Traders Examination (Series 56) As the Qualifying Examination for Registered Market Makers, Market Maker Authorized Traders, and Floor Brokers2012-06-25T00:00:00-07:002012-06-25T00:00:00-07:002012-15378Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-25/pdf/2012-15378.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/25/2012-15377.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Fee Discount Pilot Program for Large-Sized Foreign Currency Options2012-06-25T00:00:00-07:002012-06-25T00:00:00-07:002012-15377Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-25/pdf/2012-15377.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/22/2012-15316.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Rules and Fees Related to the Second Market2012-06-22T00:00:00-07:002012-06-22T00:00:00-07:002012-15316Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-22/pdf/2012-15316.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/22/2012-15262.htmlNotice - Franklin Advisers, Inc. and Franklin Templeton International Trust; Notice of Application2012-06-22T00:00:00-07:002012-06-22T00:00:00-07:002012-15262Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-22/pdf/2012-15262.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/22/2012-15261.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan To Revise the Definition of the Term “Nonprofessional”2012-06-22T00:00:00-07:002012-06-22T00:00:00-07:002012-15261Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-22/pdf/2012-15261.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/22/2012-15260.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Distribution of Auction Messages2012-06-22T00:00:00-07:002012-06-22T00:00:00-07:002012-15260Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-22/pdf/2012-15260.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/20/2012-15059.htmlNotice - Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors; Notice of Application2012-06-20T00:00:00-07:002012-06-20T00:00:00-07:002012-15059Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-20/pdf/2012-15059.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/20/2012-15055.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a New Market Maker Peg Order Available to Exchange Market Makers2012-06-20T00:00:00-07:002012-06-20T00:00:00-07:002012-15055Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-20/pdf/2012-15055.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/20/2012-15054.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees for Certain Regular Orders Executed on the Exchange2012-06-20T00:00:00-07:002012-06-20T00:00:00-07:002012-15054Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-20/pdf/2012-15054.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/20/2012-14948.htmlNotice - Proposed Collection; Comment Request2012-06-20T00:00:00-07:002012-06-20T00:00:00-07:002012-14948Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-20/pdf/2012-14948.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/19/2012-15057.htmlNotice - Sunshine Act Meeting2012-06-19T00:00:00-07:002012-06-19T00:00:00-07:002012-15057Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-19/pdf/2012-15057.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/19/2012-14909.htmlNotice - Proposed Collection; Comment Request2012-06-19T00:00:00-07:002012-06-19T00:00:00-07:002012-14909Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-19/pdf/2012-14909.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/19/2012-14908.htmlNotice - Proposed Collection; Comment Request2012-06-19T00:00:00-07:002012-06-19T00:00:00-07:002012-14908Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-19/pdf/2012-14908.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/19/2012-14906.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Price Improvement Mechanism Pilot Program2012-06-19T00:00:00-07:002012-06-19T00:00:00-07:002012-14906Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-19/pdf/2012-14906.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/19/2012-14905.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of QAM Equity Hedge ETF Under NYSE Arca Equities Rule 8.6002012-06-19T00:00:00-07:002012-06-19T00:00:00-07:002012-14905Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-19/pdf/2012-14905.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/19/2012-14904.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Commentary .10 To Exchange Rule 903 Allowing the NYSE Amex Options To Open Short Term Option Series That Are Opened by Other Securities Exchanges in Option Classes Selected by Other Exchanges Under Their Respective Short Term Option Rules2012-06-19T00:00:00-07:002012-06-19T00:00:00-07:002012-14904Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-19/pdf/2012-14904.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/19/2012-14858.htmlNotice - 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; Correction2012-06-19T00:00:00-07:002012-06-19T00:00:00-07:002012-14858Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-19/pdf/2012-14858.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/19/2012-14849.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Accuvest Global Long Short ETF (Formerly the Mars Hill Global Relative Value ETF)2012-06-19T00:00:00-07:002012-06-19T00:00:00-07:002012-14849Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-19/pdf/2012-14849.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/18/2012-14860.htmlNotice - Stream Communications Network & Media, Inc.; Order of Suspension of Trading2012-06-18T00:00:00-07:002012-06-18T00:00:00-07:002012-14860Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-18/pdf/2012-14860.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/18/2012-14768.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Participant Categories, Rebates and Fees for Adding and Removing Liquidity in Select Symbols and Multiply Listed Options2012-06-18T00:00:00-07:002012-06-18T00:00:00-07:002012-14768Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-18/pdf/2012-14768.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/18/2012-14767.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the STARTM2012-06-18T00:00:00-07:002012-06-18T00:00:00-07:002012-14767Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-18/pdf/2012-14767.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/18/2012-14758.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Independence Policy of the Board of Directors of NYSE Euronext and Creating New Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc.2012-06-18T00:00:00-07:002012-06-18T00:00:00-07:002012-14758Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-18/pdf/2012-14758.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/18/2012-14757.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Independence Policy of the Board of Directors of NYSE Euronext and Creating New Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc.2012-06-18T00:00:00-07:002012-06-18T00:00:00-07:002012-14757Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-18/pdf/2012-14757.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/18/2012-14756.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Independence Policy of the Board of Directors of NYSE Euronext and Creating New Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc.2012-06-18T00:00:00-07:002012-06-18T00:00:00-07:002012-14756Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-18/pdf/2012-14756.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/18/2012-14739.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Commentary .07 to NYSE Arca Rule 6.4 Allowing the Exchange To Open Short Term Option Series That Are Opened by Other Securities Exchanges in Option Classes Selected by Other Exchanges Under Their Respective Short Term Option Rules2012-06-18T00:00:00-07:002012-06-18T00:00:00-07:002012-14739Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-18/pdf/2012-14739.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/15/2012-14754.htmlNotice - ROK Entertainment Group, Inc., RussOil Corp., Tricell, Inc., Tunex International, Inc. (n/k/a Aone Dental International Group, Inc.), and Wireless Age Communications, Inc.; Order of Suspension of Trading2012-06-15T00:00:00-07:002012-06-15T00:00:00-07:002012-14754Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-15/pdf/2012-14754.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/15/2012-14630.htmlNotice - Notice of Application; Hirtle Callaghan & Co., LLC and HC Capital Trust2012-06-15T00:00:00-07:002012-06-15T00:00:00-07:002012-14630Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-15/pdf/2012-14630.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/15/2012-14629.htmlNotice - Notice of Application; Precidian ETFs Trust, et al.2012-06-15T00:00:00-07:002012-06-15T00:00:00-07:002012-14629Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-15/pdf/2012-14629.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/15/2012-14628.htmlNotice - Submission for OMB Review; Comment Request2012-06-15T00:00:00-07:002012-06-15T00:00:00-07:002012-14628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-15/pdf/2012-14628.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/15/2012-14627.htmlNotice - Submission for OMB Review; Comment Request2012-06-15T00:00:00-07:002012-06-15T00:00:00-07:002012-14627Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-15/pdf/2012-14627.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/15/2012-14626.htmlNotice - Submission for OMB Review; Comment Request2012-06-15T00:00:00-07:002012-06-15T00:00:00-07:002012-14626Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-15/pdf/2012-14626.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/15/2012-14625.htmlNotice - Submission for OMB Review; Comment Request2012-06-15T00:00:00-07:002012-06-15T00:00:00-07:002012-14625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-15/pdf/2012-14625.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/15/2012-14624.htmlNotice - Submission for OMB Review; Comment Request2012-06-15T00:00:00-07:002012-06-15T00:00:00-07:002012-14624Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-15/pdf/2012-14624.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/15/2012-14623.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CME Rules Relating to Acceptable Performance Bond Deposits2012-06-15T00:00:00-07:002012-06-15T00:00:00-07:002012-14623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-15/pdf/2012-14623.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/15/2012-14622.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services2012-06-15T00:00:00-07:002012-06-15T00:00:00-07:002012-14622Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-15/pdf/2012-14622.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/15/2012-14621.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules2012-06-15T00:00:00-07:002012-06-15T00:00:00-07:002012-14621Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-15/pdf/2012-14621.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/15/2012-14620.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2012-06-15T00:00:00-07:002012-06-15T00:00:00-07:002012-14620Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-15/pdf/2012-14620.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/14/2012-14576.htmlProposed Rule - Statement of General Policy on the Sequencing of the Compliance Dates for Final Rules Applicable to Security-Based Swaps Adopted Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act2012-06-14T00:00:00-07:002012-06-14T00:00:00-07:002012-14576Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-14/pdf/2012-14576.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/14/2012-14574.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-06-14T00:00:00-07:002012-06-14T00:00:00-07:002012-14574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-14/pdf/2012-14574.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/14/2012-14573.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NDX Pricing2012-06-14T00:00:00-07:002012-06-14T00:00:00-07:002012-14573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-14/pdf/2012-14573.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/14/2012-14536.htmlNotice - 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.2012-06-14T00:00:00-07:002012-06-14T00:00:00-07:002012-14536Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-14/pdf/2012-14536.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/14/2012-14535.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of Fee Waiver Program Relating to Its Cleared-only OTC FX Clearing Offering2012-06-14T00:00:00-07:002012-06-14T00:00:00-07:002012-14535Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-14/pdf/2012-14535.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/14/2012-14534.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Quarterly Trading Requirements Applicable to Registered Options Traders2012-06-14T00:00:00-07:002012-06-14T00:00:00-07:002012-14534Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-14/pdf/2012-14534.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/14/2012-14533.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Certain Fees2012-06-14T00:00:00-07:002012-06-14T00:00:00-07:002012-14533Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-14/pdf/2012-14533.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/14/2012-14532.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees2012-06-14T00:00:00-07:002012-06-14T00:00:00-07:002012-14532Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-14/pdf/2012-14532.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/14/2012-14531.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rebates for Certain Complex Orders2012-06-14T00:00:00-07:002012-06-14T00:00:00-07:002012-14531Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-14/pdf/2012-14531.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/14/2012-14530.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules Related to Risk Management Functionality for BATS Options2012-06-14T00:00:00-07:002012-06-14T00:00:00-07:002012-14530Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-14/pdf/2012-14530.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14440.htmlRule - Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date2012-06-13T00:00:00-07:002012-06-13T00:00:00-07:002012-14440Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14440.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14405.htmlNotice - 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”2012-06-13T00:00:00-07:002012-06-13T00:00:00-07:002012-14405Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14405.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14344.htmlNotice - 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 Schedule2012-06-13T00:00:00-07:002012-06-13T00:00:00-07:002012-14344Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14344.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14343.htmlNotice - 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 Schedule2012-06-13T00:00:00-07:002012-06-13T00:00:00-07:002012-14343Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14343.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14342.htmlNotice - 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 Schedule2012-06-13T00:00:00-07:002012-06-13T00:00:00-07:002012-14342Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14342.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14341.htmlNotice - 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 Schedule2012-06-13T00:00:00-07:002012-06-13T00:00:00-07:002012-14341Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14341.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14340.htmlNotice - 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 Rulebook2012-06-13T00:00:00-07:002012-06-13T00:00:00-07:002012-14340Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14340.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14339.htmlNotice - 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 Contract2012-06-13T00:00:00-07:002012-06-13T00:00:00-07:002012-14339Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14339.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14338.htmlNotice - 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 Exchange2012-06-13T00:00:00-07:002012-06-13T00:00:00-07:002012-14338Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14338.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14337.htmlNotice - 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 Exchange2012-06-13T00:00:00-07:002012-06-13T00:00:00-07:002012-14337Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14337.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14336.htmlNotice - 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 Makers2012-06-13T00:00:00-07:002012-06-13T00:00:00-07:002012-14336Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14336.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14335.htmlNotice - 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 Exchange2012-06-13T00:00:00-07:002012-06-13T00:00:00-07:002012-14335Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14335.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/12/2012-14345.htmlNotice - Sunshine Act Meeting2012-06-12T00:00:00-07:002012-06-12T00:00:00-07:002012-14345Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-12/pdf/2012-14345.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/12/2012-14234.htmlNotice - Arrow Investment Advisers, LLC and Arrow Investments Trust; Notice of Application2012-06-12T00:00:00-07:002012-06-12T00:00:00-07:002012-14234Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-12/pdf/2012-14234.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/12/2012-14193.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for its Excess Order Fee2012-06-12T00:00:00-07:002012-06-12T00:00:00-07:002012-14193Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-12/pdf/2012-14193.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/12/2012-14192.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval 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 8.6002012-06-12T00:00:00-07:002012-06-12T00:00:00-07:002012-14192Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-12/pdf/2012-14192.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/12/2012-14191.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trades for Less Than $12012-06-12T00:00:00-07:002012-06-12T00:00:00-07:002012-14191Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-12/pdf/2012-14191.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/12/2012-14190.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Qualifications for Credits for Electronic Executions of Posted Customer Liquidity in Penny Pilot Issues and To Amend the Fees for Electronic Complex Order Executions2012-06-12T00:00:00-07:002012-06-12T00:00:00-07:002012-14190Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-12/pdf/2012-14190.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/12/2012-14189.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2012-06-12T00:00:00-07:002012-06-12T00:00:00-07:002012-14189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-12/pdf/2012-14189.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/12/2012-14164.htmlNotice - 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 Schedule2012-06-12T00:00:00-07:002012-06-12T00:00:00-07:002012-14164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-12/pdf/2012-14164.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14235.htmlNotice - In the Matter of Aegis Assessments, Inc., APC Group, Inc., Aurelio Resource Corp., BioAuthorize Holdings, Inc., and Fonix Corporation; Order of Suspension of Trading2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14235Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14235.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14079.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategies2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14079Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14079.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14078.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Suspend the Requirements of CHX Article 3, Rule 3 and Related CHX Rules in Order to Approve Apex Clearing Corporation as a CHX Participant and Trading Permit Holder2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14078.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14077.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Suspend the Requirements of EDGA Rule 2.62012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14077Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14077.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14076.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Suspend the Requirements of EDGX Rule 2.62012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14076.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14075.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Approval of Trading Permit Holders2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14075.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14074.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Approval of Trading Permit Holders2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14074Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14074.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14073.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Proposed Membership of Apex Clearing2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14073Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14073.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14072.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Proposed Membership of Apex Clearing2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14072Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14072.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14071.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Temporarily Suspend the Requirements of ISE Rule 306 and Related ISE Rules Concerning the Approval of New Members of the Exchange2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14071Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14071.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14070.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Suspend Certain Exchange Rules Concerning Approval of a New Options Participant2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14070Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14070.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14067.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Temporarily Suspending the Requirements of Exchange Rule 311-Equities and Related Exchange Equities Rules Concerning the Approval of New Member Organizations and Exchange Rule 353 and Related Exchange Rules Concerning the Approval of New ATP Holders in Order To Approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. as an Exchange Equities Member Organization and ATP Holder, Subject to Apex Clearing Complying With Exchange Rules for a New Member Organization and ATP Holder Within 30 Calendar Days of the Date That Apex Clearing Is Provisionally Approved as an Exchange Equities Member Organization and ATP Holder2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14067Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14067.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14066.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Temporarily Suspending the Requirements of NYSE Arca Equities Rule 2.3, NYSE Arca Options Rule 2.4 and All Related NYSE Arca Equities and NYSE Arca Options Rules Concerning the Approval of New ETP Holders and OTP Holders in Order To Approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. as an NYSE Arca ETP Holder and OTP Holder, Subject to Apex Clearing Complying With Exchange Rules for a New Member Organization Within 30 Calendar Days of the Date That Apex Clearing Is Provisionally Approved for Membership2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14066Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14066.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14065.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Suspend the Requirements of NSX Rule 2.5 and Related NSX ETP Holder Application Rules and Procedures in Order To Approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. (“Apex Clearing”) as an NSX ETP Holder2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14065Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14065.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14064.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Temporarily Suspending the Requirements of NYSE Rule 311 and Related NYSE Rules Concerning the Approval of New Member Organizations in Order To Approve Apex Clearing Corporation, f/k/a Ridge Clearing and Outsourcing Solutions, Inc. as an NYSE Member Organization, Subject to Apex Clearing Complying With Exchange Rules for a New Member Organization Within 30 Calendar Days of the Date That Apex Clearing Is Provisionally Approved as an NYSE Member Organization2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14064Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14064.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14060.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the NASDAQ Options Market Message Traffic Mitigation Rule2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14060Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14060.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14033.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14033Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14033.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14032.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enable Issuers To Send Corporate Action Announcements in Machine Readable Format2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14032Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14032.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14030.htmlNotice - Proposed Collection; Comment Request2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14030Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14030.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14027.htmlNotice - Proposed Collection; Comment Request2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14027Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14027.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/11/2012-14026.htmlNotice - Proposed Collection; Comment Request2012-06-11T00:00:00-07:002012-06-11T00:00:00-07:002012-14026Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-11/pdf/2012-14026.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/08/2012-14031.htmlNotice - Notice of Sunshine Act Meeting2012-06-08T00:00:00-07:002012-06-08T00:00:00-07:002012-14031Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-08/pdf/2012-14031.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/08/2012-13964.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the First Trust CBOE VIX Tail Hedge Index Fund Under NYSE Arca Equities Rule 5.2(j)(3)2012-06-08T00:00:00-07:002012-06-08T00:00:00-07:002012-13964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-08/pdf/2012-13964.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/08/2012-13963.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Dissolve the BOX Committee2012-06-08T00:00:00-07:002012-06-08T00:00:00-07:002012-13963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-08/pdf/2012-13963.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/08/2012-13896.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Pilot Period To Allow Cabinet Trading To Take Place Below $1 per Option Contract2012-06-08T00:00:00-07:002012-06-08T00:00:00-07:002012-13896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-08/pdf/2012-13896.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/08/2012-13895.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals and Position Limits for OSX, SOX, and HGX2012-06-08T00:00:00-07:002012-06-08T00:00:00-07:002012-13895Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-08/pdf/2012-13895.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/08/2012-13894.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Date for Its Excess Order Fee2012-06-08T00:00:00-07:002012-06-08T00:00:00-07:002012-13894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-08/pdf/2012-13894.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/08/2012-13893.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(h) To Add a PL Select Order Type2012-06-08T00:00:00-07:002012-06-08T00:00:00-07:002012-13893Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-08/pdf/2012-13893.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/08/2012-13892.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow the Use of Swap Agreements Under Limited Circumstances by the ProShares VIX Short-Term Futures ETF and the ProShares VIX Mid-Term Futures ETF, Which Are Listed and Traded on the Exchange Under NYSE Arca Equities Rule 8.200, Commentary .022012-06-08T00:00:00-07:002012-06-08T00:00:00-07:002012-13892Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-08/pdf/2012-13892.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/08/2012-13860.htmlNotice - Federated Investment Management Company and Federated ETF Trust; Notice of Application2012-06-08T00:00:00-07:002012-06-08T00:00:00-07:002012-13860Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-08/pdf/2012-13860.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/07/2012-13965.htmlNotice - Sunshine Act Meeting2012-06-07T00:00:00-07:002012-06-07T00:00:00-07:002012-13965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-07/pdf/2012-13965.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/07/2012-13933.htmlNotice - Optimized Transportation Management, Inc.; Order of Suspension of Trading2012-06-07T00:00:00-07:002012-06-07T00:00:00-07:002012-13933Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-07/pdf/2012-13933.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/07/2012-13932.htmlNotice - True Product ID, Inc.; Order of Suspension of Trading2012-06-07T00:00:00-07:002012-06-07T00:00:00-07:002012-13932Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-07/pdf/2012-13932.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/07/2012-13931.htmlNotice - Future Now Group, Inc., and Gammacan International, Inc.; Order of Suspension of Trading2012-06-07T00:00:00-07:002012-06-07T00:00:00-07:002012-13931Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-07/pdf/2012-13931.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/07/2012-13769.htmlNotice - Hennion & Walsh, Inc. and Smart Trust; Notice of Application2012-06-07T00:00:00-07:002012-06-07T00:00:00-07:002012-13769Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-07/pdf/2012-13769.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/07/2012-13768.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security2012-06-07T00:00:00-07:002012-06-07T00:00:00-07:002012-13768Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-07/pdf/2012-13768.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/07/2012-13767.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Amendments to Certain Rules Applicable to Stock Futures2012-06-07T00:00:00-07:002012-06-07T00:00:00-07:002012-13767Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-07/pdf/2012-13767.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/07/2012-13766.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend its FLEX No Minimum Value Pilot Program2012-06-07T00:00:00-07:002012-06-07T00:00:00-07:002012-13766Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-07/pdf/2012-13766.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/07/2012-13765.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rules Related to the Operation of BATS Post Only Orders and Match Trade Prevention Functionality2012-06-07T00:00:00-07:002012-06-07T00:00:00-07:002012-13765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-07/pdf/2012-13765.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/07/2012-13764.htmlNotice - Self-Regulatory Organizations; BATS-Y Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BYX Rules Related to the Operation of BATS Post Only Orders and Match Trade Prevention Functionality2012-06-07T00:00:00-07:002012-06-07T00:00:00-07:002012-13764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-07/pdf/2012-13764.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/07/2012-13763.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Spread Margin Rules2012-06-07T00:00:00-07:002012-06-07T00:00:00-07:002012-13763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-07/pdf/2012-13763.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/06/2012-13698.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA Rule 4210 Margin Requirements2012-06-06T00:00:00-07:002012-06-06T00:00:00-07:002012-13698Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-06/pdf/2012-13698.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/06/2012-13653.htmlNotice - Joint Industry Plans; Order Approving, on a Pilot Basis, the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.2012-06-06T00:00:00-07:002012-06-06T00:00:00-07:002012-13653Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-06/pdf/2012-13653.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/06/2012-13652.htmlNotice - 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.; NASDAQ OMX PHLX LLC; Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility2012-06-06T00:00:00-07:002012-06-06T00:00:00-07:002012-13652Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-06/pdf/2012-13652.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/06/2012-13643.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2012-06-06T00:00:00-07:002012-06-06T00:00:00-07:002012-13643Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-06/pdf/2012-13643.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/06/2012-13642.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders2012-06-06T00:00:00-07:002012-06-06T00:00:00-07:002012-13642Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-06/pdf/2012-13642.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/06/2012-13641.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To List and Trade CBOE S&P 500 AM/PM Basis Options2012-06-06T00:00:00-07:002012-06-06T00:00:00-07:002012-13641Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-06/pdf/2012-13641.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/06/2012-13640.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Regarding Strike Price Intervals for Certain Option Classes2012-06-06T00:00:00-07:002012-06-06T00:00:00-07:002012-13640Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-06/pdf/2012-13640.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/06/2012-13639.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1, To Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) To Adopt Form CMA2012-06-06T00:00:00-07:002012-06-06T00:00:00-07:002012-13639Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-06/pdf/2012-13639.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/06/2012-13638.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook2012-06-06T00:00:00-07:002012-06-06T00:00:00-07:002012-13638Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-06/pdf/2012-13638.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/04/2012-13567.htmlNotice - Sunshine Act Meeting.2012-06-04T00:00:00-07:002012-06-04T00:00:00-07:002012-13567Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-04/pdf/2012-13567.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/04/2012-13410.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Add Rules Related to the Clearing of Emerging Markets Sovereign Index Credit Default Swaps2012-06-04T00:00:00-07:002012-06-04T00:00:00-07:002012-13410Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-04/pdf/2012-13410.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/04/2012-13408.htmlNotice - Submission for OMB Review; Comment Request2012-06-04T00:00:00-07:002012-06-04T00:00:00-07:002012-13408Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-04/pdf/2012-13408.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/04/2012-13407.htmlNotice - Submission for OMB Review; Comment Request2012-06-04T00:00:00-07:002012-06-04T00:00:00-07:002012-13407Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-04/pdf/2012-13407.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/04/2012-13406.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the MSCI EAFE Index2012-06-04T00:00:00-07:002012-06-04T00:00:00-07:002012-13406Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-04/pdf/2012-13406.pdfhttps://regulations.justia.com/regulations/fedreg/2012/06/04/2012-13405.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Extension of Unlisted Trading Privileges to New Derivative Securities Products That Are Listed on Another Exchange and To Make Other Conforming and Technical Amendments2012-06-04T00:00:00-07:002012-06-04T00:00:00-07:002012-13405Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-06-04/pdf/2012-13405.pdf