Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/07?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-03T11:58:57-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18789.html Notice - Sunshine Act Meeting 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18789 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18789.pdf https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18655.html Notice - 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 Schedule 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18655 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18655.pdf https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18602.html Notice - 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, 2013 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18602 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18602.pdf https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18601.html Notice - 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, 2013 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18601 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18601.pdf https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18600.html Notice - 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, 2013 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18600 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18600.pdf https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18599.html Notice - 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, 2013 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18599 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18599.pdf https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18598.html Notice - 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 Bulletin 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18598 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18598.pdf https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18561.html Notice - Capital Research and Management Company, et al.; Notice of Application 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18561 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18561.pdf https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18558.html Notice - Cash Account Trust, et al.; Notice of Application 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18558 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18558.pdf https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18553.html Notice - 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, 2013 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18553 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18553.pdf https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18551.html Notice - 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, 2013 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18551 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18551.pdf https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18550.html Notice - 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, 2013 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18550 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18550.pdf https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18549.html Notice - 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, 2013 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18549 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18549.pdf https://regulations.justia.com/regulations/fedreg/2012/07/31/2012-18548.html Notice - 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, 2013 2012-07-31T00:00:00-07:00 2012-07-31T00:00:00-07:00 2012-18548 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-31/pdf/2012-18548.pdf https://regulations.justia.com/regulations/fedreg/2012/07/30/2012-18449.html Notice - Saratoga Investment Corp., et al.; Notice of Application 2012-07-30T00:00:00-07:00 2012-07-30T00:00:00-07:00 2012-18449 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-30/pdf/2012-18449.pdf https://regulations.justia.com/regulations/fedreg/2012/07/30/2012-18448.html Notice - 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 Market 2012-07-30T00:00:00-07:00 2012-07-30T00:00:00-07:00 2012-18448 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-30/pdf/2012-18448.pdf https://regulations.justia.com/regulations/fedreg/2012/07/30/2012-18447.html Notice - Submission for OMB Review; Comment Request 2012-07-30T00:00:00-07:00 2012-07-30T00:00:00-07:00 2012-18447 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-30/pdf/2012-18447.pdf https://regulations.justia.com/regulations/fedreg/2012/07/30/2012-18446.html Notice - Submission for OMB Review; Comment Request 2012-07-30T00:00:00-07:00 2012-07-30T00:00:00-07:00 2012-18446 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-30/pdf/2012-18446.pdf https://regulations.justia.com/regulations/fedreg/2012/07/30/2012-18395.html Notice - Proposed Collection; Comment Request 2012-07-30T00:00:00-07:00 2012-07-30T00:00:00-07:00 2012-18395 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-30/pdf/2012-18395.pdf https://regulations.justia.com/regulations/fedreg/2012/07/27/2012-18355.html Notice - 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-2012-018 2012-07-27T00:00:00-07:00 2012-07-27T00:00:00-07:00 2012-18355 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-27/pdf/2012-18355.pdf https://regulations.justia.com/regulations/fedreg/2012/07/27/2012-18330.html Notice - 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 Brokers 2012-07-27T00:00:00-07:00 2012-07-27T00:00:00-07:00 2012-18330 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-27/pdf/2012-18330.pdf https://regulations.justia.com/regulations/fedreg/2012/07/27/2012-18329.html Notice - 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 Brokers 2012-07-27T00:00:00-07:00 2012-07-27T00:00:00-07:00 2012-18329 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-27/pdf/2012-18329.pdf https://regulations.justia.com/regulations/fedreg/2012/07/27/2012-18328.html Notice - 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”) 2012-07-27T00:00:00-07:00 2012-07-27T00:00:00-07:00 2012-18328 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-27/pdf/2012-18328.pdf https://regulations.justia.com/regulations/fedreg/2012/07/27/2012-18327.html Notice - 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”) 2012-07-27T00:00:00-07:00 2012-07-27T00:00:00-07:00 2012-18327 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-27/pdf/2012-18327.pdf https://regulations.justia.com/regulations/fedreg/2012/07/27/2012-18311.html Notice - 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) 2012-07-27T00:00:00-07:00 2012-07-27T00:00:00-07:00 2012-18311 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-27/pdf/2012-18311.pdf https://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18272.html Notice - Credit Suisse Asset Management, LLC, et al.; Notice of Application 2012-07-26T00:00:00-07:00 2012-07-26T00:00:00-07:00 2012-18272 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18272.pdf https://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18243.html Notice - 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 Options 2012-07-26T00:00:00-07:00 2012-07-26T00:00:00-07:00 2012-18243 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18243.pdf https://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18242.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2012-07-26T00:00:00-07:00 2012-07-26T00:00:00-07:00 2012-18242 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18242.pdf https://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18241.html Notice - P.E. Partners III, LLC, et al.; Notice of Application 2012-07-26T00:00:00-07:00 2012-07-26T00:00:00-07:00 2012-18241 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18241.pdf https://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18219.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Increase Position and Exercise Limits for EEM Options 2012-07-26T00:00:00-07:00 2012-07-26T00:00:00-07:00 2012-18219 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18219.pdf https://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18218.html Notice - 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 Telemarketing 2012-07-26T00:00:00-07:00 2012-07-26T00:00:00-07:00 2012-18218 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18218.pdf https://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18217.html Notice - 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 Telemarketing 2012-07-26T00:00:00-07:00 2012-07-26T00:00:00-07:00 2012-18217 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18217.pdf https://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18216.html Notice - 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 Type 2012-07-26T00:00:00-07:00 2012-07-26T00:00:00-07:00 2012-18216 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18216.pdf https://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18215.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2012-07-26T00:00:00-07:00 2012-07-26T00:00:00-07:00 2012-18215 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18215.pdf https://regulations.justia.com/regulations/fedreg/2012/07/26/2012-18194.html Notice - Order Extending Temporary Conditional Exemption in Connection With the Effectiveness of the Definition of Eligible Contract Participant 2012-07-26T00:00:00-07:00 2012-07-26T00:00:00-07:00 2012-18194 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-18194.pdf https://regulations.justia.com/regulations/fedreg/2012/07/26/2012-17444.html Notice - 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 ETFs 2012-07-26T00:00:00-07:00 2012-07-26T00:00:00-07:00 2012-17444 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-17444.pdf https://regulations.justia.com/regulations/fedreg/2012/07/25/2012-18165.html Notice - 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-2 2012-07-25T00:00:00-07:00 2012-07-25T00:00:00-07:00 2012-18165 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-18165.pdf https://regulations.justia.com/regulations/fedreg/2012/07/25/2012-18164.html Notice - 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 Product 2012-07-25T00:00:00-07:00 2012-07-25T00:00:00-07:00 2012-18164 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-18164.pdf https://regulations.justia.com/regulations/fedreg/2012/07/25/2012-18163.html Notice - 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 Options 2012-07-25T00:00:00-07:00 2012-07-25T00:00:00-07:00 2012-18163 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-18163.pdf https://regulations.justia.com/regulations/fedreg/2012/07/25/2012-18108.html Notice - 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 Orders 2012-07-25T00:00:00-07:00 2012-07-25T00:00:00-07:00 2012-18108 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-18108.pdf https://regulations.justia.com/regulations/fedreg/2012/07/25/2012-18107.html Notice - 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 8.201 2012-07-25T00:00:00-07:00 2012-07-25T00:00:00-07:00 2012-18107 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-18107.pdf https://regulations.justia.com/regulations/fedreg/2012/07/25/2012-18106.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Modify Its Corporate Governance Rules 2012-07-25T00:00:00-07:00 2012-07-25T00:00:00-07:00 2012-18106 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-18106.pdf https://regulations.justia.com/regulations/fedreg/2012/07/25/2012-17985.html Rule - 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; Correction 2012-07-25T00:00:00-07:00 2012-07-25T00:00:00-07:00

2012-17985 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-07-25/pdf/2012-17985.pdf https://regulations.justia.com/regulations/fedreg/2012/07/24/2012-18076.html Notice - Sunshine Act Meeting Notice 2012-07-24T00:00:00-07:00 2012-07-24T00:00:00-07:00 2012-18076 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-24/pdf/2012-18076.pdf https://regulations.justia.com/regulations/fedreg/2012/07/24/2012-17979.html Notice - 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 Services 2012-07-24T00:00:00-07:00 2012-07-24T00:00:00-07:00 2012-17979 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-24/pdf/2012-17979.pdf https://regulations.justia.com/regulations/fedreg/2012/07/24/2012-17978.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Amendments to Certain Rules Applicable to Stock Futures 2012-07-24T00:00:00-07:00 2012-07-24T00:00:00-07:00 2012-17978 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-24/pdf/2012-17978.pdf https://regulations.justia.com/regulations/fedreg/2012/07/23/2012-17966.html Notice - 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. 2012-07-23T00:00:00-07:00 2012-07-23T00:00:00-07:00 2012-17966 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-23/pdf/2012-17966.pdf https://regulations.justia.com/regulations/fedreg/2012/07/23/2012-17803.html Notice - 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) 2012-07-23T00:00:00-07:00 2012-07-23T00:00:00-07:00 2012-17803 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-23/pdf/2012-17803.pdf https://regulations.justia.com/regulations/fedreg/2012/07/23/2012-17763.html Rule - Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security 2012-07-23T00:00:00-07:00 2012-07-23T00:00:00-07:00

2012-17763 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-07-23/pdf/2012-17763.pdf https://regulations.justia.com/regulations/fedreg/2012/07/20/2012-17714.html Notice - 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 Classes 2012-07-20T00:00:00-07:00 2012-07-20T00:00:00-07:00 2012-17714 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-20/pdf/2012-17714.pdf https://regulations.justia.com/regulations/fedreg/2012/07/20/2012-17713.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Regarding Strike Price Intervals in the Short Term Option Program 2012-07-20T00:00:00-07:00 2012-07-20T00:00:00-07:00 2012-17713 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-20/pdf/2012-17713.pdf https://regulations.justia.com/regulations/fedreg/2012/07/20/2012-17666.html Notice - 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 System 2012-07-20T00:00:00-07:00 2012-07-20T00:00:00-07:00 2012-17666 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-20/pdf/2012-17666.pdf https://regulations.justia.com/regulations/fedreg/2012/07/20/2012-17665.html Notice - 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 System 2012-07-20T00:00:00-07:00 2012-07-20T00:00:00-07:00 2012-17665 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-20/pdf/2012-17665.pdf https://regulations.justia.com/regulations/fedreg/2012/07/20/2012-17664.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the Auction Process Under Options Clearing Corporation Rule 1104 2012-07-20T00:00:00-07:00 2012-07-20T00:00:00-07:00 2012-17664 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-20/pdf/2012-17664.pdf https://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17609.html Notice - Sunshine Act Meetings 2012-07-19T00:00:00-07:00 2012-07-19T00:00:00-07:00 2012-17609 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17609.pdf https://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17575.html Notice - The Dreyfus Corporation, et al.; Notice of Application 2012-07-19T00:00:00-07:00 2012-07-19T00:00:00-07:00 2012-17575 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17575.pdf https://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17574.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2012-07-19T00:00:00-07:00 2012-07-19T00:00:00-07:00 2012-17574 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17574.pdf https://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17573.html Notice - 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 Options 2012-07-19T00:00:00-07:00 2012-07-19T00:00:00-07:00 2012-17573 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17573.pdf https://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17552.html Notice - 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 Product 2012-07-19T00:00:00-07:00 2012-07-19T00:00:00-07:00 2012-17552 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17552.pdf https://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17551.html Notice - 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 Information 2012-07-19T00:00:00-07:00 2012-07-19T00:00:00-07:00 2012-17551 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17551.pdf https://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17550.html Notice - 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 Product 2012-07-19T00:00:00-07:00 2012-07-19T00:00:00-07:00 2012-17550 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17550.pdf https://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17549.html Notice - 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 Exchange 2012-07-19T00:00:00-07:00 2012-07-19T00:00:00-07:00 2012-17549 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17549.pdf https://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17548.html Notice - 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. 2012-07-19T00:00:00-07:00 2012-07-19T00:00:00-07:00 2012-17548 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17548.pdf https://regulations.justia.com/regulations/fedreg/2012/07/19/2012-17547.html Notice - 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”) 2012-07-19T00:00:00-07:00 2012-07-19T00:00:00-07:00 2012-17547 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17547.pdf https://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17481.html Notice - 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 Services 2012-07-18T00:00:00-07:00 2012-07-18T00:00:00-07:00 2012-17481 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17481.pdf https://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17449.html Rule - Securities Act Industry Guides 2012-07-18T00:00:00-07:00 2012-07-18T00:00:00-07:00

2012-17449 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17449.pdf https://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17421.html Notice - 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. 2012-07-18T00:00:00-07:00 2012-07-18T00:00:00-07:00 2012-17421 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17421.pdf https://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17420.html Notice - 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 Accordingly 2012-07-18T00:00:00-07:00 2012-07-18T00:00:00-07:00 2012-17420 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17420.pdf https://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17419.html Notice - 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 Rate 2012-07-18T00:00:00-07:00 2012-07-18T00:00:00-07:00 2012-17419 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17419.pdf https://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17418.html Notice - 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 Makers 2012-07-18T00:00:00-07:00 2012-07-18T00:00:00-07:00 2012-17418 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17418.pdf https://regulations.justia.com/regulations/fedreg/2012/07/18/2012-17411.html Rule - Technical Amendment to Rules for the Temporary Registration of Municipal Advisors 2012-07-18T00:00:00-07:00 2012-07-18T00:00:00-07:00

2012-17411 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-07-18/pdf/2012-17411.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17422.html Notice - Sunshine Act Meeting 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17422 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17422.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17351.html Notice - 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 Order 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17351 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17351.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17349.html Notice - 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 Products 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17349 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17349.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17348.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Continuous Electronic Quotes 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17348 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17348.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17347.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Continuous Quotes 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17347 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17347.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17336.html Notice - AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc.; Notice of Application 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17336 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17336.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17335.html Notice - 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 Order 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17335 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17335.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17334.html Notice - 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 Order 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17334 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17334.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17333.html Notice - 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 List 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17333 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17333.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17332.html Notice - 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 Exchange 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17332 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17332.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17331.html Notice - 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 Exchange 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17331 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17331.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17330.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX Options Routing 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17330 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17330.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17329.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the AdvisorShares Active Bear ETF 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17329 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17329.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17328.html Notice - 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 Exchange 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17328 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17328.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17327.html Notice - 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 XL 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17327 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17327.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17326.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to BX Options 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17326 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17326.pdf https://regulations.justia.com/regulations/fedreg/2012/07/17/2012-17273.html Notice - 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 Options 2012-07-17T00:00:00-07:00 2012-07-17T00:00:00-07:00 2012-17273 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17273.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17344.html Notice - 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 Trading 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17344 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17344.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17274.html Notice - 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 Amount 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17274 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17274.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17261.html Rule - Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00

2012-17261 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17261.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17219.html Notice - 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 Facility 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17219 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17219.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17208.html Notice - 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 Program 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17208 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17208.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17207.html Notice - 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 Brochures 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17207 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17207.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17206.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Fee Schedule 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17206 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17206.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17205.html Notice - 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 Facility 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17205 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17205.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17203.html Notice - 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 Routing 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17203 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17203.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17202.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17202 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17202.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17200.html Notice - 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 Makers 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17200 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17200.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17199.html Notice - 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 Makers 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17199 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17199.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17198.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17198 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17198.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17197.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17197 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17197.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17176.html Notice - 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 Rule 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17176 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17176.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17175.html Notice - 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 Rule 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17175 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17175.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17174.html Notice - 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 Rule 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17174 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17174.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17173.html Notice - 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 Rule 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17173 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17173.pdf https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17171.html Notice - 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 Rule 2012-07-16T00:00:00-07:00 2012-07-16T00:00:00-07:00 2012-17171 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17171.pdf https://regulations.justia.com/regulations/fedreg/2012/07/13/C1-2012-16375.html Notice - 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 Cost 2012-07-13T00:00:00-07:00 2012-07-13T00:00:00-07:00 C1-2012-16375 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/C1-2012-16375.pdf https://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17096.html Notice - 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 Sale 2012-07-13T00:00:00-07:00 2012-07-13T00:00:00-07:00 2012-17096 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17096.pdf https://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17076.html Notice - Submission for OMB Review; Comment Request 2012-07-13T00:00:00-07:00 2012-07-13T00:00:00-07:00 2012-17076 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17076.pdf https://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17075.html Notice - Submission for OMB Review; Comment Request 2012-07-13T00:00:00-07:00 2012-07-13T00:00:00-07:00 2012-17075 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17075.pdf https://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17074.html Notice - Submission for OMB Review; Comment Request 2012-07-13T00:00:00-07:00 2012-07-13T00:00:00-07:00 2012-17074 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17074.pdf https://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17073.html Notice - Submission for OMB Review; Comment Request 2012-07-13T00:00:00-07:00 2012-07-13T00:00:00-07:00 2012-17073 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17073.pdf https://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17072.html Notice - Submission for OMB Review; Comment Request 2012-07-13T00:00:00-07:00 2012-07-13T00:00:00-07:00 2012-17072 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17072.pdf https://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17071.html Notice - Submission for OMB Review; Comment Request 2012-07-13T00:00:00-07:00 2012-07-13T00:00:00-07:00 2012-17071 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17071.pdf https://regulations.justia.com/regulations/fedreg/2012/07/13/2012-17070.html Notice - IndexIQ Advisors LLC and IndexIQ Active ETF Trust; Notice of Application 2012-07-13T00:00:00-07:00 2012-07-13T00:00:00-07:00 2012-17070 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-17070.pdf https://regulations.justia.com/regulations/fedreg/2012/07/13/2012-16233.html Rule - 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 2012-07-13T00:00:00-07:00 2012-07-13T00:00:00-07:00

2012-16233 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-07-13/pdf/2012-16233.pdf https://regulations.justia.com/regulations/fedreg/2012/07/12/2012-17126.html Notice - Sunshine Act Meeting 2012-07-12T00:00:00-07:00 2012-07-12T00:00:00-07:00 2012-17126 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-12/pdf/2012-17126.pdf https://regulations.justia.com/regulations/fedreg/2012/07/12/2012-16992.html Notice - 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 Clearing 2012-07-12T00:00:00-07:00 2012-07-12T00:00:00-07:00 2012-16992 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-12/pdf/2012-16992.pdf https://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16991.html Notice - Sunshine Act Meeting 2012-07-11T00:00:00-07:00 2012-07-11T00:00:00-07:00 2012-16991 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16991.pdf https://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16881.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Implement a Disaster Recovery Facility 2012-07-11T00:00:00-07:00 2012-07-11T00:00:00-07:00 2012-16881 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16881.pdf https://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16880.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules for the June 20, 2012 Index Maturity 2012-07-11T00:00:00-07:00 2012-07-11T00:00:00-07:00 2012-16880 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16880.pdf https://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16879.html Notice - 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 Routing 2012-07-11T00:00:00-07:00 2012-07-11T00:00:00-07:00 2012-16879 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16879.pdf https://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16878.html Notice - 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 Fees 2012-07-11T00:00:00-07:00 2012-07-11T00:00:00-07:00 2012-16878 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16878.pdf https://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16877.html Notice - 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 Order 2012-07-11T00:00:00-07:00 2012-07-11T00:00:00-07:00 2012-16877 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16877.pdf https://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16876.html Notice - 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 Products 2012-07-11T00:00:00-07:00 2012-07-11T00:00:00-07:00 2012-16876 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16876.pdf https://regulations.justia.com/regulations/fedreg/2012/07/11/2012-16875.html Notice - 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 PSX 2012-07-11T00:00:00-07:00 2012-07-11T00:00:00-07:00 2012-16875 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-11/pdf/2012-16875.pdf https://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16770.html Notice - AQR Capital Management, LLC, et al.; Notice of Application 2012-07-10T00:00:00-07:00 2012-07-10T00:00:00-07:00 2012-16770 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16770.pdf https://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16769.html Notice - 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 NMS 2012-07-10T00:00:00-07:00 2012-07-10T00:00:00-07:00 2012-16769 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16769.pdf https://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16768.html Notice - 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 Marketplace 2012-07-10T00:00:00-07:00 2012-07-10T00:00:00-07:00 2012-16768 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16768.pdf https://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16767.html Notice - 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 Marketplace 2012-07-10T00:00:00-07:00 2012-07-10T00:00:00-07:00 2012-16767 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16767.pdf https://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16766.html Notice - 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 Requirements 2012-07-10T00:00:00-07:00 2012-07-10T00:00:00-07:00 2012-16766 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16766.pdf https://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16765.html Notice - 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 NES 2012-07-10T00:00:00-07:00 2012-07-10T00:00:00-07:00 2012-16765 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16765.pdf https://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16764.html Notice - 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 Program 2012-07-10T00:00:00-07:00 2012-07-10T00:00:00-07:00 2012-16764 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16764.pdf https://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16763.html Notice - 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 Schedule 2012-07-10T00:00:00-07:00 2012-07-10T00:00:00-07:00 2012-16763 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16763.pdf https://regulations.justia.com/regulations/fedreg/2012/07/10/2012-16762.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Transaction and Routing Fees 2012-07-10T00:00:00-07:00 2012-07-10T00:00:00-07:00 2012-16762 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-10/pdf/2012-16762.pdf https://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16790.html Notice - Qiao Xing Universal Resources, Inc., and Qiao Xing Mobile Communication Co., Ltd.; Order of Suspension of Trading 2012-07-09T00:00:00-07:00 2012-07-09T00:00:00-07:00 2012-16790 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16790.pdf https://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16771.html Notice - Sunshine Act Meeting 2012-07-09T00:00:00-07:00 2012-07-09T00:00:00-07:00 2012-16771 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16771.pdf https://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16653.html Notice - 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 Formula 2012-07-09T00:00:00-07:00 2012-07-09T00:00:00-07:00 2012-16653 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16653.pdf https://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16626.html Notice - Gladstone Capital Corporation, et al.; Notice of Application 2012-07-09T00:00:00-07:00 2012-07-09T00:00:00-07:00 2012-16626 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16626.pdf https://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16625.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Adjustment Panel Voting 2012-07-09T00:00:00-07:00 2012-07-09T00:00:00-07:00 2012-16625 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16625.pdf https://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16624.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Changes To Amend EDGA Rules Regarding Market Access 2012-07-09T00:00:00-07:00 2012-07-09T00:00:00-07:00 2012-16624 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16624.pdf https://regulations.justia.com/regulations/fedreg/2012/07/09/2012-16623.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Changes To Amend EDGX Rules Regarding Market Access 2012-07-09T00:00:00-07:00 2012-07-09T00:00:00-07:00 2012-16623 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-09/pdf/2012-16623.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16551.html Notice - Sunshine Act Meeting 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16551 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16551.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16538.html Notice - In the Matter of Apogee Technology, Inc.; Order of Suspension of Trading 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16538 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16538.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16525.html Notice - 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 Schedule 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16525 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16525.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16524.html Notice - 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 8.600 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16524 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16524.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16523.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NSX Fee and Rebate Schedule 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16523 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16523.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16470.html Notice - 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 Mechanism 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16470 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16470.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16469.html Notice - 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 Mechanism 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16469 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16469.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16449.html Notice - 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 BOX 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16449 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16449.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16440.html Notice - 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 Organizations 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16440 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16440.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16439.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16439 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16439.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16436.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Simultaneous Routing Functionality 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16436 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16436.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16435.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Simultaneous Routing Functionality 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16435 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16435.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16409.html Rule - Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”; Correction 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00

2012-16409 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16409.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16404.html Notice - 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”) 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16404 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16404.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16403.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Changes To Amend EDGA Rules To Add the Route Peg Order 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16403 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16403.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16402.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Changes To Amend EDGX Rules To Add the Route Peg Order 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16402 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16402.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16377.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Correcting Various NASDAQ Options Market Rules 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16377 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16377.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16376.html Notice - 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 Fees 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16376 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16376.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16375.html Notice - 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 Cost 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16375 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16375.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16374.html Notice - 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 Market 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16374 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16374.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16373.html Notice - 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 Market 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16373 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16373.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16372.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Excess Order Fee 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16372 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16372.pdf https://regulations.justia.com/regulations/fedreg/2012/07/05/2012-16371.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Add Rules Related to the Clearing of Emerging Markets Sovereign Index CDS 2012-07-05T00:00:00-07:00 2012-07-05T00:00:00-07:00 2012-16371 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-05/pdf/2012-16371.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/C1-2012-15408.html Rule - Listing Standards for Compensation Committees 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 C1-2012-15408 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/C1-2012-15408.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16398.html Notice - 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 Trading 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16398 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16398.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16397.html Notice - In The Matter of China Medical Technologies, Inc.; Order of Suspension of Trading 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16397 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16397.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16225.html Notice - Proposed Collection; Comment Request 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16225 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16225.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16224.html Notice - Proposed Collection; Comment Request 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16224 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16224.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16223.html Notice - 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 Schedule 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16223 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16223.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16222.html Notice - 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 Security 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16222 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16222.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16221.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16221 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16221.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16220.html Notice - 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 Account 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16220 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16220.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16219.html Notice - 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 Account 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16219 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16219.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16218.html Notice - 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 SPY 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16218 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16218.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16217.html Notice - 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 8.600 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16217 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16217.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16216.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules To Update the Contract Reference Obligation ISIN Associated With One Single Name Contract 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16216 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16216.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16215.html Notice - 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” 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16215 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16215.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16214.html Notice - 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” 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16214 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16214.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16213.html Notice - 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 Agreement 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16213 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16213.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16212.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Excess Order Fee 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16212 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16212.pdf https://regulations.justia.com/regulations/fedreg/2012/07/03/2012-16211.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Excess Order Fee 2012-07-03T00:00:00-07:00 2012-07-03T00:00:00-07:00 2012-16211 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-03/pdf/2012-16211.pdf https://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16136.html Notice - 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 ControlsSM 2012-07-02T00:00:00-07:00 2012-07-02T00:00:00-07:00 2012-16136 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16136.pdf https://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16135.html Notice - 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 ControlsSM 2012-07-02T00:00:00-07:00 2012-07-02T00:00:00-07:00 2012-16135 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16135.pdf https://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16134.html Notice - 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 Fees 2012-07-02T00:00:00-07:00 2012-07-02T00:00:00-07:00 2012-16134 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16134.pdf https://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16133.html Notice - 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 fees 2012-07-02T00:00:00-07:00 2012-07-02T00:00:00-07:00 2012-16133 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16133.pdf https://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16132.html Notice - 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 Fees 2012-07-02T00:00:00-07:00 2012-07-02T00:00:00-07:00 2012-16132 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16132.pdf https://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16131.html Notice - 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 Fees 2012-07-02T00:00:00-07:00 2012-07-02T00:00:00-07:00 2012-16131 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16131.pdf https://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16130.html Notice - 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 Fees 2012-07-02T00:00:00-07:00 2012-07-02T00:00:00-07:00 2012-16130 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16130.pdf https://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16129.html Notice - 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) 2012-07-02T00:00:00-07:00 2012-07-02T00:00:00-07:00 2012-16129 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16129.pdf https://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16090.html Notice - 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 Contracts 2012-07-02T00:00:00-07:00 2012-07-02T00:00:00-07:00 2012-16090 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16090.pdf https://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16089.html Notice - 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) 2012-07-02T00:00:00-07:00 2012-07-02T00:00:00-07:00 2012-16089 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16089.pdf https://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16088.html Notice - 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 Period 2012-07-02T00:00:00-07:00 2012-07-02T00:00:00-07:00 2012-16088 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16088.pdf https://regulations.justia.com/regulations/fedreg/2012/07/02/2012-16079.html Notice - 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 Options 2012-07-02T00:00:00-07:00 2012-07-02T00:00:00-07:00 2012-16079 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-02/pdf/2012-16079.pdf