Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/08/08?limit=200®isters=between&mode=atom2024-05-10T23:55:12-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19416.htmlNotice - Options Price Reporting Authority; Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Revise the Definition of the Term “Nonprofessional”2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19416Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19416.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19415.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the iShares Ultrashort Duration Bond Fund2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19415Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19415.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19382.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19382Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19382.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19381.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend the Effective Date of the Trading Pause Pilot2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19381Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19381.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19366.htmlNotice - BlackRock Preferred Partners LLC, et al.; Notice of Application2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19366.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19365.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal of Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19365Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19365.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19364.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Changes to the Credits Within the New York Stock Exchange Price List That Are Applicable to Supplemental Liquidity Providers2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19364Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19364.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19363.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Market Maker Peg Order Available to Exchange Market Makers2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19363Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19363.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19362.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on the MSCI EM and MSCI EAFE Indexes2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19362Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19362.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19361.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Rule Regarding Records of Written Complaints for the CBOE Stock Exchange2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19361Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19361.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19360.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 Schedule2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19360Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19360.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19359.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19359Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19359.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19358.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend Pilot Program Regarding Clearly Erroneous Executions2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19358Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19358.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19357.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of a CBSX Clearly Erroneous Policy Pilot Program2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19357Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19357.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19356.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of the CBSX Individual Stock Trading Pause Pilot Program2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19356Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19356.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19355.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Relating to Individual Securities Circuit Breakers2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19355.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19354.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Relating to Clearly Erroneous Transactions2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19354.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19353.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period of the Trading Pause for NMS Stocks Other Than Rights and Warrants2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19353.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19352.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19352Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19352.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19351.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of QAM Equity Hedge ETF Under NYSE Arca Equities Rule 8.6002012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19351.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19350.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 14.11, Entitled “Other Securities”2012-08-08T00:00:00-07:002012-08-08T00:00:00-07:002012-19350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19350.pdf