Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/07?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-10-03T13:22:02-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18789.htmlNotice - Sunshine Act Meeting2012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18789Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18789.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18655.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Existing Rule Text Found in Rule 923NY(d)(1) to (4) Concerning the Number of ATP's Required by an NYSE Amex Options Market Maker To Quote on the Exchange and Move It to the Fee Schedule2012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18655.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18602.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Pilot Program Until February 4, 20132012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18602Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18602.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18601.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Pilot Program Until February 4, 20132012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18601Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18601.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18600.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13 To Extend the Operation of a Pilot Program pursuant to the Rule Until February 4, 20132012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18600Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18600.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18599.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.13 To extend the Operation of a Pilot Program Pursuant to the Rule Until February 4, 20132012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18599Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18599.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18598.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Arca Options Rule 6.40 To Specify That the Potential Range for the Settings Applicable to the Market Maker Risk Limitation Mechanism Will Be Between One and 100 Executions per Second, To Eliminate the Current Reference to the Default Setting and, in the Future, To Specify the Applicable Minimum, Maximum and Default Settings via Regulatory Bulletin2012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18598Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18598.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18561.htmlNotice - Capital Research and Management Company, et al.; Notice of Application2012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18561Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18561.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18558.htmlNotice - Cash Account Trust, et al.; Notice of Application2012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18558.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18553.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500-Equities To Extend the Operation of the Pilot Program That Allows Nasdaq Stock Market Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or January 31, 20132012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18553.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18551.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot, Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or January 31, 20132012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18551.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18550.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or January 31, 20132012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18550Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18550.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18549.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or January 31, 20132012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18549Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18549.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18548.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or January 31, 20132012-07-31T00:00:00-07:002012-07-31T00:00:00-07:002012-18548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18548.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/30/2012-18449.htmlNotice - Saratoga Investment Corp., et al.; Notice of Application2012-07-30T00:00:00-07:002012-07-30T00:00:00-07:002012-18449Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-30/pdf/2012-18449.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/30/2012-18448.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.37(c) To Provide That the Tracking Order Process Is Available Only for Orders That Are Eligible To Route to an Away Market2012-07-30T00:00:00-07:002012-07-30T00:00:00-07:002012-18448Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-30/pdf/2012-18448.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/30/2012-18447.htmlNotice - Submission for OMB Review; Comment Request2012-07-30T00:00:00-07:002012-07-30T00:00:00-07:002012-18447Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-30/pdf/2012-18447.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/30/2012-18446.htmlNotice - Submission for OMB Review; Comment Request2012-07-30T00:00:00-07:002012-07-30T00:00:00-07:002012-18446Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-30/pdf/2012-18446.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/30/2012-18395.htmlNotice - Proposed Collection; Comment Request2012-07-30T00:00:00-07:002012-07-30T00:00:00-07:002012-18395Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-30/pdf/2012-18395.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/27/2012-18355.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-0182012-07-27T00:00:00-07:002012-07-27T00:00:00-07:002012-18355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-27/pdf/2012-18355.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/27/2012-18330.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 76-Equities To Add Supplementary Material Relating to a Cross Function That Provides a Regulation NMS Rule 611-Compliant Tool for Floor Brokers2012-07-27T00:00:00-07:002012-07-27T00:00:00-07:002012-18330Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-27/pdf/2012-18330.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/27/2012-18329.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending NYSE Rule 76 To Add Supplementary Material Relating to a Cross Function That Provides a Regulation NMS Rule 611-Compliant Tool for Floor Brokers2012-07-27T00:00:00-07:002012-07-27T00:00:00-07:002012-18329Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-27/pdf/2012-18329.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/27/2012-18328.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of Proposed Rule Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc. (“NASDAQ OMX”)2012-07-27T00:00:00-07:002012-07-27T00:00:00-07:002012-18328Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-27/pdf/2012-18328.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/27/2012-18327.htmlNotice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Proposed Rule Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc. (“NASDAQ OMX”)2012-07-27T00:00:00-07:002012-07-27T00:00:00-07:002012-18327Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-27/pdf/2012-18327.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/27/2012-18311.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval 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)2012-07-27T00:00:00-07:002012-07-27T00:00:00-07:002012-18311Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-27/pdf/2012-18311.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18272.htmlNotice - Credit Suisse Asset Management, LLC, et al.; Notice of Application2012-07-26T00:00:00-07:002012-07-26T00:00:00-07:002012-18272Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18272.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18243.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To List and Trade CBOE S&P 500 AM/PM Basis Options2012-07-26T00:00:00-07:002012-07-26T00:00:00-07:002012-18243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18243.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18242.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-07-26T00:00:00-07:002012-07-26T00:00:00-07:002012-18242Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18242.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18241.htmlNotice - P.E. Partners III, LLC, et al.; Notice of Application2012-07-26T00:00:00-07:002012-07-26T00:00:00-07:002012-18241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18241.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18219.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Increase Position and Exercise Limits for EEM Options2012-07-26T00:00:00-07:002012-07-26T00:00:00-07:002012-18219Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18219.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18218.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. To Amend BATS Rules Related to Telemarketing2012-07-26T00:00:00-07:002012-07-26T00:00:00-07:002012-18218Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18218.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18217.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Y-Exchange, Inc. To Amend BYX Rules Related to Telemarketing2012-07-26T00:00:00-07:002012-07-26T00:00:00-07:002012-18217Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18217.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18216.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(h) To Add a PL Select Order Type2012-07-26T00:00:00-07:002012-07-26T00:00:00-07:002012-18216Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18216.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18215.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2012-07-26T00:00:00-07:002012-07-26T00:00:00-07:002012-18215Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18215.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18194.htmlNotice - Order Extending Temporary Conditional Exemption in Connection With the Effectiveness of the Definition of Eligible Contract Participant2012-07-26T00:00:00-07:002012-07-26T00:00:00-07:002012-18194Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18194.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/26/2012-17444.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend TRACE Reporting Rules Relating to Transfers of TRACE-Eligible Securities To Create or Redeem Instruments Such as ETFs2012-07-26T00:00:00-07:002012-07-26T00:00:00-07:002012-17444Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-17444.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/25/2012-18165.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules 1014, 1051, and OFPA F-22012-07-25T00:00:00-07:002012-07-25T00:00:00-07:002012-18165Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-18165.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/25/2012-18164.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Television Distribution of the NYSE Trades Data Product2012-07-25T00:00:00-07:002012-07-25T00:00:00-07:002012-18164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-18164.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/25/2012-18163.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Managed Data Solution for PHLX Top of Options2012-07-25T00:00:00-07:002012-07-25T00:00:00-07:002012-18163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-18163.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/25/2012-18108.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders2012-07-25T00:00:00-07:002012-07-25T00:00:00-07:002012-18108Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-18108.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/25/2012-18107.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether To Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the JPM XF Physical Copper Trust Pursuant to NYSE Arca Equities Rule 8.2012012-07-25T00:00:00-07:002012-07-25T00:00:00-07:002012-18107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-18107.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/25/2012-18106.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Modify Its Corporate Governance Rules2012-07-25T00:00:00-07:002012-07-25T00:00:00-07:002012-18106Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-18106.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/25/2012-17985.htmlRule - Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations; Correction2012-07-25T00:00:00-07:002012-07-25T00:00:00-07:002012-17985Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-17985.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/24/2012-18076.htmlNotice - Sunshine Act Meeting Notice2012-07-24T00:00:00-07:002012-07-24T00:00:00-07:002012-18076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-24/pdf/2012-18076.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/24/2012-17979.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services2012-07-24T00:00:00-07:002012-07-24T00:00:00-07:002012-17979Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-24/pdf/2012-17979.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/24/2012-17978.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Amendments to Certain Rules Applicable to Stock Futures2012-07-24T00:00:00-07:002012-07-24T00:00:00-07:002012-17978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-24/pdf/2012-17978.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/23/2012-17966.htmlNotice - Order of Suspension of Trading; In the Matter of Alliance Bancshares California, City Loan, Inc., Clear Choice Financial, Inc., CRC Crystal Research Corp., Cygne Designs, Inc., and Davi Skin, Inc.2012-07-23T00:00:00-07:002012-07-23T00:00:00-07:002012-17966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-23/pdf/2012-17966.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/23/2012-17803.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)2012-07-23T00:00:00-07:002012-07-23T00:00:00-07:002012-17803Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-23/pdf/2012-17803.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/23/2012-17763.htmlRule - Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security2012-07-23T00:00:00-07:002012-07-23T00:00:00-07:002012-17763Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-23/pdf/2012-17763.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/20/2012-17714.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Regarding Strike Price Intervals for Certain Option Classes2012-07-20T00:00:00-07:002012-07-20T00:00:00-07:002012-17714Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-20/pdf/2012-17714.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/20/2012-17713.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Regarding Strike Price Intervals in the Short Term Option Program2012-07-20T00:00:00-07:002012-07-20T00:00:00-07:002012-17713Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-20/pdf/2012-17713.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/20/2012-17666.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 134 To Shorten the Time Frame for Assigning the Contra Party to Unresolved Account Balances in the Exchange's Online Comparison System2012-07-20T00:00:00-07:002012-07-20T00:00:00-07:002012-17666Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-20/pdf/2012-17666.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/20/2012-17665.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 134-Equities To Shorten the Time Frame for Assigning the Contra Party to Unresolved Account Balances in the Exchange's Online Comparison System2012-07-20T00:00:00-07:002012-07-20T00:00:00-07:002012-17665Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-20/pdf/2012-17665.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/20/2012-17664.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the Auction Process Under Options Clearing Corporation Rule 11042012-07-20T00:00:00-07:002012-07-20T00:00:00-07:002012-17664Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-20/pdf/2012-17664.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17609.htmlNotice - Sunshine Act Meetings2012-07-19T00:00:00-07:002012-07-19T00:00:00-07:002012-17609Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17609.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17575.htmlNotice - The Dreyfus Corporation, et al.; Notice of Application2012-07-19T00:00:00-07:002012-07-19T00:00:00-07:002012-17575Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17575.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17574.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-07-19T00:00:00-07:002012-07-19T00:00:00-07:002012-17574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17574.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17573.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing in Select Symbols and Multiply-Listed Options2012-07-19T00:00:00-07:002012-07-19T00:00:00-07:002012-17573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17573.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17552.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Television Distribution of the NYSE MKT Trades Data Product2012-07-19T00:00:00-07:002012-07-19T00:00:00-07:002012-17552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17552.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17551.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Disapproving Proposed Rule Changes To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and To Permit Designated Market Makers and Floor Brokers Access to Disaggregated Order Information2012-07-19T00:00:00-07:002012-07-19T00:00:00-07:002012-17551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17551.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17550.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Television Distribution of the NYSE Arca Trades Data Product2012-07-19T00:00:00-07:002012-07-19T00:00:00-07:002012-17550Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17550.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17549.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Amending Its Rules To Reflect the Merger of Archipelago Holdings, Inc. (“Archipelago Holdings”), An Intermediate Holding Company, Into and With NYSE Group, Inc., Thereby Eliminating Archipelago Holdings From the Ownership Structure of the Exchange2012-07-19T00:00:00-07:002012-07-19T00:00:00-07:002012-17549Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17549.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17548.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change With Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. (“NASDAQ OMX”) July 13, 2012.2012-07-19T00:00:00-07:002012-07-19T00:00:00-07:002012-17548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17548.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17547.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc. (“NASDAQ OMX”)2012-07-19T00:00:00-07:002012-07-19T00:00:00-07:002012-17547Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17547.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17481.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services2012-07-18T00:00:00-07:002012-07-18T00:00:00-07:002012-17481Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17481.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17449.htmlRule - Securities Act Industry Guides2012-07-18T00:00:00-07:002012-07-18T00:00:00-07:002012-17449Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17449.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17421.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.2012-07-18T00:00:00-07:002012-07-18T00:00:00-07:002012-17421Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17421.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17420.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Defining a Primary Specialist in Each Options Class and Modifying the Specialist Entitlement Accordingly2012-07-18T00:00:00-07:002012-07-18T00:00:00-07:002012-17420Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17420.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17419.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule for Professional Customers and Broker-Dealers To Increase the Transaction Fee for Electronic Executions and Introduce Volume-Based Tiers for Certain Electronic Executions That Would Be Charged a Lower per Contract Rate2012-07-18T00:00:00-07:002012-07-18T00:00:00-07:002012-17419Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17419.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17418.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the NYSE Arca Options Fee Schedule To Increase the Posted Liquidity Credit for Market Makers2012-07-18T00:00:00-07:002012-07-18T00:00:00-07:002012-17418Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17418.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17411.htmlRule - Technical Amendment to Rules for the Temporary Registration of Municipal Advisors2012-07-18T00:00:00-07:002012-07-18T00:00:00-07:002012-17411Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17411.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17422.htmlNotice - Sunshine Act Meeting2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17422.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17351.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price To Comply Order2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17351.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17349.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Relating to Market Maker Incentive Programs for Certain Exchange-Traded Products2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17349Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17349.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17348.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Continuous Electronic Quotes2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17348Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17348.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17347.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Continuous Quotes2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17347Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17347.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17336.htmlNotice - AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc.; Notice of Application2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17336Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17336.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17335.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price To Comply Order2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17335Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17335.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17334.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to PSX Rule 3301(f)(8) Concerning the Processing of the Price To Comply Order2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17334Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17334.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17333.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to the Transaction Fees and Credits Within Its Price List2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17333Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17333.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17332.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees for Certain Orders Executed on the Exchange2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17332Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17332.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17331.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees for Certain Complex Orders Executed on the Exchange2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17331Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17331.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17330.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX Options Routing2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17330Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17330.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17329.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the AdvisorShares Active Bear ETF2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17329Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17329.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17328.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees and Rebates for Certain Complex Orders Executed on the Exchange2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17328Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17328.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17327.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17327Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17327.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17326.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to BX Options2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17326Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17326.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17273.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates in Penny Pilot Options2012-07-17T00:00:00-07:002012-07-17T00:00:00-07:002012-17273Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17273.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17344.htmlNotice - In the Matter of Alternative Energy Sources, Inc., Arlington Hospitality, Inc., Consolidated Oil & Gas, Inc., CSMG Technologies, Inc., Dakotah, Incorporated, and DelSite, Inc.; Order of Suspension of Trading2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17344Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17344.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17274.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Date for Non-Display of Primary Pegged Orders With an Offset Amount2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17274Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17274.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17261.htmlRule - Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17261Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17261.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17219.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting Facility2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17219Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17219.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17208.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend OCC's By-Laws and Rules To Terminate OCC's Pledge Program2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17208Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17208.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17207.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend OCC's Schedule of Fees to Eliminate Fees for Certain Educational Brochures2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17207Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17207.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17206.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Fee Schedule2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17206.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17205.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Phlx's Fee Schedule Governing Order Execution on Its NASDAQ OMX PSX Facility2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17205.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17203.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX's Fee Schedule Governing Order Routing2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17203.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17202.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17202Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17202.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17200.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Market Maker Peg Order Available to Exchange Market Makers2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17200Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17200.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17199.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Market Maker Peg Order Available to Exchange Market Makers2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17199Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17199.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17198.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 Schedule2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17198Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17198.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17197.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 Schedule2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17197Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17197.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17176.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT LLC Rule 440A-Equities, Which Addresses Telemarketing, and Adopting New NYSE MKT LLC Rule 3230-Equities, To Conform to FINRA's Telemarketing Rule2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17176Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17176.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17175.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 440A and Interpretation 440A/01, Which Address Telemarketing, and Adopting New NYSE Rule 3230 To Conform to FINRA's Telemarketing Rule2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17175Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17175.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17174.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Rule Text of NYSE Arca Equities Rule 9.20(b), Which Addresses Telemarketing, and Adopting New Rule Text to NYSE Arca Equities Rule 9.20(b) to Conform to FINRA's Telemarketing Rule2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17174Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17174.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17173.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Rule Text of NYSE Arca Rule 9.20(b), Which Addresses Telemarketing, and Adopting New Rule Text to NYSE Arca Rule 9.20(b) To Conform to FINRA's Telemarketing Rule2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17173Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17173.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17171.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT LLC Rule 428(a), Which Addresses Telephone Solicitation, and Amending NYSE MKT LLC Rule 429, Which Addresses Telemarketing, To Adopt New Rule Text To Conform to FINRA's Telemarketing Rule2012-07-16T00:00:00-07:002012-07-16T00:00:00-07:002012-17171Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17171.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/13/C1-2012-16375.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.2 Regarding Market-Maker Registration Cost2012-07-13T00:00:00-07:002012-07-13T00:00:00-07:00C1-2012-16375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/C1-2012-16375.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17096.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale2012-07-13T00:00:00-07:002012-07-13T00:00:00-07:002012-17096Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17096.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17076.htmlNotice - Submission for OMB Review; Comment Request2012-07-13T00:00:00-07:002012-07-13T00:00:00-07:002012-17076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17076.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17075.htmlNotice - Submission for OMB Review; Comment Request2012-07-13T00:00:00-07:002012-07-13T00:00:00-07:002012-17075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17075.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17074.htmlNotice - Submission for OMB Review; Comment Request2012-07-13T00:00:00-07:002012-07-13T00:00:00-07:002012-17074Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17074.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17073.htmlNotice - Submission for OMB Review; Comment Request2012-07-13T00:00:00-07:002012-07-13T00:00:00-07:002012-17073Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17073.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17072.htmlNotice - Submission for OMB Review; Comment Request2012-07-13T00:00:00-07:002012-07-13T00:00:00-07:002012-17072Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17072.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17071.htmlNotice - Submission for OMB Review; Comment Request2012-07-13T00:00:00-07:002012-07-13T00:00:00-07:002012-17071Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17071.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17070.htmlNotice - IndexIQ Advisors LLC and IndexIQ Active ETF Trust; Notice of Application2012-07-13T00:00:00-07:002012-07-13T00:00:00-07:002012-17070Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17070.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/13/2012-16233.htmlRule - Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations2012-07-13T00:00:00-07:002012-07-13T00:00:00-07:002012-16233Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-16233.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/12/2012-17126.htmlNotice - Sunshine Act Meeting2012-07-12T00:00:00-07:002012-07-12T00:00:00-07:002012-17126Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-12/pdf/2012-17126.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/12/2012-16992.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Rules Relating to Interest Rate Swaps Clearing2012-07-12T00:00:00-07:002012-07-12T00:00:00-07:002012-16992Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-12/pdf/2012-16992.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16991.htmlNotice - Sunshine Act Meeting2012-07-11T00:00:00-07:002012-07-11T00:00:00-07:002012-16991Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16991.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16881.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Implement a Disaster Recovery Facility2012-07-11T00:00:00-07:002012-07-11T00:00:00-07:002012-16881Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16881.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16880.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules for the June 20, 2012 Index Maturity2012-07-11T00:00:00-07:002012-07-11T00:00:00-07:002012-16880Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16880.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16879.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Fee Schedule Governing Order Routing2012-07-11T00:00:00-07:002012-07-11T00:00:00-07:002012-16879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16879.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16878.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish TradeInfo BX and BX Options Maintenance Tool and Related Fees2012-07-11T00:00:00-07:002012-07-11T00:00:00-07:002012-16878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16878.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16877.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange To Amend ISE Rule 715 To Reflect a Modification in the Functionality of the Add Liquidity Order2012-07-11T00:00:00-07:002012-07-11T00:00:00-07:002012-16877Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16877.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16876.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Distributor Fees for Two Related Options Market Data Products2012-07-11T00:00:00-07:002012-07-11T00:00:00-07:002012-16876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16876.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16875.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Functioning of the Post-Only Order in NASDAQ OMX PSX2012-07-11T00:00:00-07:002012-07-11T00:00:00-07:002012-16875Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16875.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16770.htmlNotice - AQR Capital Management, LLC, et al.; Notice of Application2012-07-10T00:00:00-07:002012-07-10T00:00:00-07:002012-16770Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16770.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16769.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Order Granting Approval to 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, and Granting Exemptions Pursuant to Rule 612(c) of Regulation NMS2012-07-10T00:00:00-07:002012-07-10T00:00:00-07:002012-16769Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16769.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16768.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Exchange Rules Related to Floor Official Duties and Responsibilities in the Exchange's Marketplace2012-07-10T00:00:00-07:002012-07-10T00:00:00-07:002012-16768Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16768.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16767.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Exchange Rules Related to Floor Official Duties and Responsibilities in the Exchange's Marketplace2012-07-10T00:00:00-07:002012-07-10T00:00:00-07:002012-16767Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16767.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16766.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change To Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements2012-07-10T00:00:00-07:002012-07-10T00:00:00-07:002012-16766Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16766.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16765.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change With Respect to the Authority of the Exchange or NASDAQ Execution Services to Cancel Orders When a Technical or System Issue Occurs on the Exchange's NASDAQ OMX PSX Facility and To Describe the Operation of an Error Account for NES2012-07-10T00:00:00-07:002012-07-10T00:00:00-07:002012-16765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16765.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16764.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program2012-07-10T00:00:00-07:002012-07-10T00:00:00-07:002012-16764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16764.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16763.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 Schedule2012-07-10T00:00:00-07:002012-07-10T00:00:00-07:002012-16763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16763.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16762.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Transaction and Routing Fees2012-07-10T00:00:00-07:002012-07-10T00:00:00-07:002012-16762Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16762.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16790.htmlNotice - Qiao Xing Universal Resources, Inc., and Qiao Xing Mobile Communication Co., Ltd.; Order of Suspension of Trading2012-07-09T00:00:00-07:002012-07-09T00:00:00-07:002012-16790Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16790.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16771.htmlNotice - Sunshine Act Meeting2012-07-09T00:00:00-07:002012-07-09T00:00:00-07:002012-16771Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16771.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16653.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Clarify the Ability of the Government Securities Division To Use Implied Volatility Indicators as Part of the Volatility Model in Its Clearing Fund Formula2012-07-09T00:00:00-07:002012-07-09T00:00:00-07:002012-16653Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16653.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16626.htmlNotice - Gladstone Capital Corporation, et al.; Notice of Application2012-07-09T00:00:00-07:002012-07-09T00:00:00-07:002012-16626Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16626.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16625.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Adjustment Panel Voting2012-07-09T00:00:00-07:002012-07-09T00:00:00-07:002012-16625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16625.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16624.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Changes To Amend EDGA Rules Regarding Market Access2012-07-09T00:00:00-07:002012-07-09T00:00:00-07:002012-16624Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16624.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16623.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Changes To Amend EDGX Rules Regarding Market Access2012-07-09T00:00:00-07:002012-07-09T00:00:00-07:002012-16623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16623.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16551.htmlNotice - Sunshine Act Meeting2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16551.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16538.htmlNotice - In the Matter of Apogee Technology, Inc.; Order of Suspension of Trading2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16538Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16538.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16525.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Increase the Monthly Fee per Amex Trading Permit for Order Flow Providers and Clearing Members and Make a Conforming Change to the Current Text in the Fee Schedule2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16525Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16525.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16524.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of iShares Strategic Beta U.S. Large Cap Fund and iShares Strategic Beta U.S. Small Cap Fund Under NYSE Arca Equities Rule 8.6002012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16524Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16524.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16523.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NSX Fee and Rebate Schedule2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16523Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16523.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16470.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange's Automated Improvement Mechanism2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16470Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16470.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16469.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange's Automated Improvement Mechanism2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16469Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16469.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16449.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule for Trading on BOX2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16449Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16449.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16440.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rules 14.2 and 14.3 To Adopt Additional Listing Requirements for Reverse Merger Companies and To Align BATS Rules With the Rules of Other Self-Regulatory Organizations2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16440Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16440.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16439.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 Schedule2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16439Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16439.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16436.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Simultaneous Routing Functionality2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16436Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16436.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16435.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Simultaneous Routing Functionality2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16435Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16435.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16409.htmlRule - Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”; Correction2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16409Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16409.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16404.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, the NASDAQ OMX Group, Inc. (“NASDAQ OMX”)2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16404Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16404.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16403.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Changes To Amend EDGA Rules To Add the Route Peg Order2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16403Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16403.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16402.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Changes To Amend EDGX Rules To Add the Route Peg Order2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16402Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16402.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16377.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Correcting Various NASDAQ Options Market Rules2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16377Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16377.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16376.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Applicable to a New Version of the NASDAQ TotalView-ITCH Equities Depth Feed and Related Distributor and Administration Fees2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16376.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16375.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.2 Regarding Market-Maker Registration Cost2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16375.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16374.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC.; Order Approving a Proposed Rule Change for the NASDAQ Options Market To Accept Inbound Orders From NASDAQ OMX BX's New Options Market2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16374Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16374.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16373.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Accept Inbound Orders From NASDAQ OMX BX's New Options Market2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16373Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16373.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16372.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Excess Order Fee2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16372.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16371.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Add Rules Related to the Clearing of Emerging Markets Sovereign Index CDS2012-07-05T00:00:00-07:002012-07-05T00:00:00-07:002012-16371Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16371.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/C1-2012-15408.htmlRule - Listing Standards for Compensation Committees2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:00C1-2012-15408Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/C1-2012-15408.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16398.htmlNotice - In the Matter of AngelCiti Entertainment, Inc., BodyTel Scientific, Inc., Clearant, Inc., DataMetrics Corp., and Green Energy Group, Inc. (a/k/a eCom eCom.Com, Inc.); Order of Suspension of Trading2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16398Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16398.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16397.htmlNotice - In The Matter of China Medical Technologies, Inc.; Order of Suspension of Trading2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16397.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16225.htmlNotice - Proposed Collection; Comment Request2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16225.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16224.htmlNotice - Proposed Collection; Comment Request2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16224.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16223.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Terminate Revenue Sharing Agreement and Delete Associated Fee Schedule2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16223.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16222.htmlNotice - 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 Security2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16222Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16222.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16221.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16221Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16221.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16220.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change With Respect to the Authority of NASDAQ or NASDAQ Execution Services To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16220Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16220.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16219.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change With Respect to the Authority of the Exchange or NASDAQ Execution Services To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16219Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16219.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16218.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Commentary .07 to NYSE Amex Options Rule 904 To Eliminate Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund Which List and Trade Under the Symbol SPY2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16218Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16218.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16217.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading the Global Alpha & Beta ETF Pursuant to NYSE Arca Equities Rule 8.6002012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16217Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16217.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16216.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules To Update the Contract Reference Obligation ISIN Associated With One Single Name Contract2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16216Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16216.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16215.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Rule 11.13 Entitled “Order Execution,” Rule 21.9 Entitled “Order Routing” and Rule 27.2 Entitled “Order Protection”2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16215Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16215.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16214.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.13, Entitled “Order Execution”2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16214Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16214.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16213.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend the BOX Options Exchange LLC Limited Liability Company Agreement and the BOX Holdings Group LLC Limited Liability Company Agreement2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16213Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16213.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16212.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Excess Order Fee2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16212Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16212.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16211.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Excess Order Fee2012-07-03T00:00:00-07:002012-07-03T00:00:00-07:002012-16211Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16211.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16136.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Market Access Risk Management Service, EdgeRisk ControlsSM2012-07-02T00:00:00-07:002012-07-02T00:00:00-07:002012-16136Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16136.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16135.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Market Access Risk Management Service, EdgeRisk ControlsSM2012-07-02T00:00:00-07:002012-07-02T00:00:00-07:002012-16135Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16135.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16134.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Provide for Additional Co-Location Services and Establish Related Fees2012-07-02T00:00:00-07:002012-07-02T00:00:00-07:002012-16134Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16134.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16133.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Provide for Additional Co-location Services and Establish Related fees2012-07-02T00:00:00-07:002012-07-02T00:00:00-07:002012-16133Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16133.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16132.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending the New York Stock Exchange Price List To Provide for Additional Co-Location Services and Establish Related Fees2012-07-02T00:00:00-07:002012-07-02T00:00:00-07:002012-16132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16132.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16131.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending the NYSE MKT Price List To Provide for Additional Co-Location Services and Establish Related Fees2012-07-02T00:00:00-07:002012-07-02T00:00:00-07:002012-16131Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16131.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16130.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Provide for Additional Co-Location Services and Establish Related Fees2012-07-02T00:00:00-07:002012-07-02T00:00:00-07:002012-16130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16130.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16129.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Non-Substantive Technical Changes to the Supplemental Statement of Income Required To Be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)2012-07-02T00:00:00-07:002012-07-02T00:00:00-07:002012-16129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16129.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16090.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Changes That Would Affect Its Standard Portfolio Analysis of Risk Methodology for Certain Energy Futures Contracts2012-07-02T00:00:00-07:002012-07-02T00:00:00-07:002012-16090Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16090.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16089.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Establish “Benchmark Orders” Under NASDAQ Rule 4751(f)2012-07-02T00:00:00-07:002012-07-02T00:00:00-07:002012-16089Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16089.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16088.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Extend a Pilot Program That Permits BOX to Have No Minimum Size Requirement for Orders Entered Into the Price Improvement Period2012-07-02T00:00:00-07:002012-07-02T00:00:00-07:002012-16088Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16088.pdfhttps://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16079.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Establishment of a New Options Market, NASDAQ OMX BX Options2012-07-02T00:00:00-07:002012-07-02T00:00:00-07:002012-16079Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16079.pdf