<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/08/08?registers=between Sat, 11 May 2024 12:45:04 -0700 Sat, 11 May 2024 12:45:04 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/08/08?registers=between Notice - 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” https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19416.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19416.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19416 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19416.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the iShares Ultrashort Duration Bond Fund https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19415.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19415.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19415 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19415.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19382.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19382.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19382 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19382.pdf Notice - 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 Pilot https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19381.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19381.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19381 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19381.pdf Notice - BlackRock Preferred Partners LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19366.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19366.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19366 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19366.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19365.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19365.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19365 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19365.pdf Notice - 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 Providers https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19364.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19364.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19364 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19364.pdf Notice - 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 Makers https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19363.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19363.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19363 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19363.pdf Notice - 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 Indexes https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19362.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19362.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19362 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19362.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19361.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19361.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19361 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19361.pdf 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 https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19360.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19360.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19360 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19360.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19359.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19359.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19359 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19359.pdf Notice - 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 Executions https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19358.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19358.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19358 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19358.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19357.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19357.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19357 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19357.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19356.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19356.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19356 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19356.pdf Notice - 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 Breakers https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19355.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19355.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19355 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19355.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19354.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19354.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19354 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19354.pdf Notice - 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 Warrants https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19353.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19353.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19353 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19353.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19352.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19352.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19352 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19352.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19351.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19351.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19351 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19351.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 14.11, Entitled “Other Securities” https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19350.html https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19350.html Wed, 08 Aug 2012 00:00:00 -0700 2012-19350 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19350.pdf