Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/08?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T16:05:20-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2012/08/31/2012-21592.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt a Retail Price Improvement Program2012-08-31T00:00:00-07:002012-08-31T00:00:00-07:002012-21592Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-31/pdf/2012-21592.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/31/2012-21494.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to the Auction Process Under Options Clearing Corporation Rule 11042012-08-31T00:00:00-07:002012-08-31T00:00:00-07:002012-21494Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-31/pdf/2012-21494.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/31/2012-21493.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the First Trust CBOE S&P 500 VIX Tail Hedge Fund (Formerly, the First Trust CBOE VIX Tail Hedge Index Fund)2012-08-31T00:00:00-07:002012-08-31T00:00:00-07:002012-21493Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-31/pdf/2012-21493.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/31/2012-21487.htmlNotice - Proposed Collection; Comment Request2012-08-31T00:00:00-07:002012-08-31T00:00:00-07:002012-21487Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-31/pdf/2012-21487.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21391.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of iShares 2018 S&P AMT-Free Municipal Series and iShares 2019 S&P AMT-Free Municipal Series Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .022012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21391Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21391.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21390.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 6.47, “Crossing” Orders-OX2012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21390Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21390.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21389.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving a Proposed Rule Change To Amend EDGX Rules To Add the Route Peg Order2012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21389Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21389.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21388.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving a Proposed Rule Change To Amend EDGA Rules To Add the Route Peg Order2012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21388.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21387.htmlNotice - Technology and Trading Roundtable2012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21387Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21387.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21386.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Offer Certain Proprietary Options Data Products2012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21386Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21386.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21385.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Offer Certain Proprietary Options Data Products2012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21385Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21385.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21313.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-08-29T00:00:00-07:002012-08-29T00:00:00-07:002012-21313Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21313.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21274.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Market Maker Pre-Opening Obligations on NOM2012-08-29T00:00:00-07:002012-08-29T00:00:00-07:002012-21274Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21274.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21258.htmlNotice - Proposed Collection; Comment Request2012-08-29T00:00:00-07:002012-08-29T00:00:00-07:002012-21258Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21258.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21257.htmlNotice - Proposed Collection; Comment Request2012-08-29T00:00:00-07:002012-08-29T00:00:00-07:002012-21257Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21257.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21256.htmlNotice - Self-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership in The NASDAQ Stock Market LLC2012-08-29T00:00:00-07:002012-08-29T00:00:00-07:002012-21256Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21256.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21259.htmlNotice - Sunshine Act Meeting2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21259Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21259.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21173.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the RiverFront Strategic Income Fund Under NYSE Arca Equities Rule 8.6002012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21173Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21173.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21116.htmlNotice - Proposed Collection; Comment Request2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21116Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21116.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21115.htmlNotice - Proposed Collection; Comment Request2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21115Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21115.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21114.htmlNotice - Proposed Collection; Comment Request2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21114Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21114.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21113.htmlNotice - Proposed Collection; Comment Request2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21113Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21113.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21112.htmlNotice - Proposed Collection; Comment Request2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21112Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21112.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21111.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.40 To Expand the Existing Market Maker Risk Limitation Mechanism Making It Available for Orders From Market Makers as Well as Non-Market Maker OTP Firms and OTP Holders, and To Provide for Two Additional Risk Limitation Mechanisms2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21111Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21111.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21110.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 928NY To Expand the Existing Market Maker Risk Limitation Mechanism Making It Available for Orders From Market Makers as Well as Non-Market Maker ATP Holders, and To Provide for Two Additional Risk Limitation Mechanisms2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21110Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21110.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21109.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend EDGA Rules Regarding Market Access2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21109Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21109.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21108.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend EDGX Rules Regarding Market Access2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21108Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21108.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21107.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Updates to Its Custody Service2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21107.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21106.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Amend OCC's By-Laws and Rules To Terminate OCC's Pledge Program2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21106Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21106.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21105.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Existing Procedures as They Relate to Processing Mandatory Corporate Actions2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21105Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21105.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21104.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21104Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21104.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/27/2012-20971.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options LLC Limited Liability Company Agreement To Eliminate Certain Restrictions Relating to the Qualification of Founding Firm Advisory Committee Members2012-08-27T00:00:00-07:002012-08-27T00:00:00-07:002012-20971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-27/pdf/2012-20971.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/27/2012-20970.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Client Information About Agency Orders of Floor Brokers2012-08-27T00:00:00-07:002012-08-27T00:00:00-07:002012-20970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-27/pdf/2012-20970.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/27/2012-20969.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rule 10142012-08-27T00:00:00-07:002012-08-27T00:00:00-07:002012-20969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-27/pdf/2012-20969.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20859.htmlNotice - ReconTrust Company, N.A., et al.; Notice of Application and Temporary Order2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20859Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20859.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20855.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Certain Conforming Changes to Its Rules Following the Change in the Exchange's Name From NYSE Amex LLC (“NYSE Amex”) to NYSE MKT LLC2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20855Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20855.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20854.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Terminate Revenue Sharing Agreement2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20854.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20853.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Terminate Revenue Sharing Agreement2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20853Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20853.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20839.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, (1) Amending NYSE Rule 13 and NYSE MKT Rule 13-Equities to Establish New Order Types, (2) Amending NYSE Rule 115A and NYSE MKT Rule 115A-Equities to Delete Obsolete Text and to Clarify and Update the Description of The Allocation of Market and Limit Interest in Opening and Reopening Transactions, (3) Amending NYSE Rule 123C and NYSE MKT Rule 123C-Equities to Include Better-Priced G Orders in The Allocation of Orders in Closing Transactions, and (4) Making Other Technical and Conforming Changes2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20839.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20827.htmlNotice - Submission for OMB Review; Comment Request2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20827Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20827.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20826.htmlNotice - Submission for OMB Review; Comment Request2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20826Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20826.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20825.htmlNotice - Submission for OMB Review; Comment Request2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20825Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20825.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20824.htmlNotice - Submission for OMB Review; Comment Request2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20824Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20824.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20823.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Amend Schedule 502 of the ICE Clear Credit Rules To Provide for Clearing of Additional Single Name Investment Grade CDS Contracts2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20823Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20823.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20822.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules To Provide for Clearing of Additional Markit CDX North American Investment Grade Indices2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20822.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20818.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change to Amend BATS Rules 14.2 and 14.3 To Adopt Additional Listing Requirements for Reverse Merger Companies and To Align BATS Rules With the Rules of Other Self-Regulatory Organizations2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20818.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20817.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of Proposed Rule Change Adopting Rules Governing the Listing and Trading of New Products Known as DIVS, OWLS, and RISKS2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20817.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20901.htmlNotice - Sunshine Act Meeting2012-08-23T00:00:00-07:002012-08-23T00:00:00-07:002012-20901Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20901.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20900.htmlNotice - Sunshine Act Meeting2012-08-23T00:00:00-07:002012-08-23T00:00:00-07:002012-20900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20900.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20758.htmlNotice - Submission for OMB Review; Comment Request; Correction2012-08-23T00:00:00-07:002012-08-23T00:00:00-07:002012-20758Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20758.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20714.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Regarding Treasury Securities Options2012-08-23T00:00:00-07:002012-08-23T00:00:00-07:002012-20714Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20714.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20713.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of FlexShares Ready Access Variable Income Fund Under NYSE Arca Equities Rule 8.6002012-08-23T00:00:00-07:002012-08-23T00:00:00-07:002012-20713Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20713.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20712.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add Rule 3.21 Regarding Telephone Solicitation2012-08-23T00:00:00-07:002012-08-23T00:00:00-07:002012-20712Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20712.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20711.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Modify Exchange Rule 3307 To Institute a Five Millisecond Delay in the Execution Time of Marketable Orders on NASDAQ OMX PSX2012-08-23T00:00:00-07:002012-08-23T00:00:00-07:002012-20711Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20711.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20594.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove the Expired Pilot Under Rule 4753(c) From the NASDAQ Rule Book2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20594Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20594.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20593.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend EDGA Rules To Add the Route Peg Order2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20593Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20593.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20592.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend EDGX Rules To Add the Route Peg Order2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20592Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20592.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20591.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Making Technical, Non-Substantive Clarifications to its Fees Schedule2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20591Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20591.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20577.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Implement a Change in the Practices of The Depository Trust Company as They Relate to Post-Payable Adjustments; Correction2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20577Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20577.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20576.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance the Default Pricing Methodology Used by NSCC's Automated Customer Account Transfer Service2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20576.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20575.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Commentary .07 to NYSE Amex Options Rule 904 To Eliminate Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20575Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20575.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20574.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Automatic Order Handling Process2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20574.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20573.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Automatic Order Handling Process2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20573.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20572.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Provide for Additional Co-location Services and Establish Related Fees2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20572Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20572.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20571.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 Schedule2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20571Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20571.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20570.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Provide for Additional Co-location Services and Establish Related Fees2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20570Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20570.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20569.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Amending the New York Stock Exchange Price List To Provide for Additional Co-location Services and Establish Related Fees2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20569Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20569.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20568.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving a Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Provide for Additional Co-location Services and Establish Related Fees2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20568Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20568.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20567.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving a Proposed Rule Change Amending the NYSE MKT Price List To Provide for Additional Co-Location Services and Establish Related Fees2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20567Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20567.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20566.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Rules To Facilitate Customer Portfolio Margining of Interest Rate Futures and Interest Rate Swaps2012-08-22T00:00:00-07:002012-08-22T00:00:00-07:002012-20566Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20566.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/21/2012-20451.htmlNotice - Public Availability of the Securities and Exchange Commission's FY 2011 Service Contract Inventory2012-08-21T00:00:00-07:002012-08-21T00:00:00-07:002012-20451Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-21/pdf/2012-20451.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20484.htmlNotice - Star Entertainment Group, Inc., Order of Suspension of Trading2012-08-20T00:00:00-07:002012-08-20T00:00:00-07:002012-20484Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20484.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20409.htmlNotice - Miami International Securities Exchange, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 19342012-08-20T00:00:00-07:002012-08-20T00:00:00-07:002012-20409Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20409.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20399.htmlNotice - Advisory Committee on Small and Emerging Companies; Meeting2012-08-20T00:00:00-07:002012-08-20T00:00:00-07:002012-20399Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20399.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20398.htmlNotice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing Proposed Change To Move the Time at Which the Mortgage-Backed Securities Division Runs Its Daily Morning Pass2012-08-20T00:00:00-07:002012-08-20T00:00:00-07:002012-20398Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20398.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20321.htmlNotice - LoCorr Fund Management, LLC and LoCorr Investment Trust; Notice of Application2012-08-20T00:00:00-07:002012-08-20T00:00:00-07:002012-20321Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20321.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20320.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. To Amend BATS Rules Related to Price Sliding Functionality2012-08-20T00:00:00-07:002012-08-20T00:00:00-07:002012-20320Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20320.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20319.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Y-Exchange, Inc. To Amend BYX Rules Related to Price Sliding Functionality2012-08-20T00:00:00-07:002012-08-20T00:00:00-07:002012-20319Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20319.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20318.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Establish “Benchmark Orders” Under NASDAQ Rule 4751(f)2012-08-20T00:00:00-07:002012-08-20T00:00:00-07:002012-20318Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20318.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20317.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; 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 on the Exchange's NASDAQ OMX PSX Facility and To Describe the Operation of an Error Account for NES2012-08-20T00:00:00-07:002012-08-20T00:00:00-07:002012-20317Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20317.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20316.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Specify How MPL Orders With ALO Order Instructions May Interact2012-08-20T00:00:00-07:002012-08-20T00:00:00-07:002012-20316Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20316.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20089.htmlRule - Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions; Correction2012-08-20T00:00:00-07:002012-08-20T00:00:00-07:002012-20089Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20089.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/17/C1-2012-19356.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 Program2012-08-17T00:00:00-07:002012-08-17T00:00:00-07:00C1-2012-19356Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-17/pdf/C1-2012-19356.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/17/2012-20400.htmlNotice - Sunshine Act Meeting2012-08-17T00:00:00-07:002012-08-17T00:00:00-07:002012-20400Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-17/pdf/2012-20400.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/17/2012-20264.htmlNotice - IndexIQ Advisors LLC and IndexIQ Active ETF Trust; Notice of Application2012-08-17T00:00:00-07:002012-08-17T00:00:00-07:002012-20264Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-17/pdf/2012-20264.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/17/2012-20263.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Implement a New Fee for “Non-Display Applications”2012-08-17T00:00:00-07:002012-08-17T00:00:00-07:002012-20263Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-17/pdf/2012-20263.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/17/2012-20262.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Text of NSX Rule 11.15 To Clarify the Manner in Which Certain Orders are Routed by the Exchange to Other Market Centers2012-08-17T00:00:00-07:002012-08-17T00:00:00-07:002012-20262Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-17/pdf/2012-20262.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/17/2012-20261.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of Changes to Market-Makers' Continuous Quoting Obligations2012-08-17T00:00:00-07:002012-08-17T00:00:00-07:002012-20261Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-17/pdf/2012-20261.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/16/2012-20099.htmlNotice - Submission for OMB Review; Comment Request2012-08-16T00:00:00-07:002012-08-16T00:00:00-07:002012-20099Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-16/pdf/2012-20099.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/16/2012-20098.htmlNotice - Submission for OMB Review; Comment Request2012-08-16T00:00:00-07:002012-08-16T00:00:00-07:002012-20098Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-16/pdf/2012-20098.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/15/2012-20040.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Amend Rule 4758(a)(1)(A) To Reflect a Change in NASDAQ's Routing Functionality2012-08-15T00:00:00-07:002012-08-15T00:00:00-07:002012-20040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-20040.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19986.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the NYSE Amex Options Fee Schedule Regarding a Rebate for Order Flow Providers, an Increase in the Service Fee Applicable to Market Makers, and a Fee for Market Maker Executions of SPY Options2012-08-15T00:00:00-07:002012-08-15T00:00:00-07:002012-19986Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19986.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19985.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Changes to the NYSE Amex Options Fee Schedule Relating to the Monthly Cost for an Amex Trading Permit and Monthly Fees Relating to Trading in Premium Products2012-08-15T00:00:00-07:002012-08-15T00:00:00-07:002012-19985Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19985.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19984.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing in Select Symbols and Multiply Listed Options2012-08-15T00:00:00-07:002012-08-15T00:00:00-07:002012-19984Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19984.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19983.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security2012-08-15T00:00:00-07:002012-08-15T00:00:00-07:002012-19983Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19983.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19982.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security2012-08-15T00:00:00-07:002012-08-15T00:00:00-07:002012-19982Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19982.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19981.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearing Arrangements2012-08-15T00:00:00-07:002012-08-15T00:00:00-07:002012-19981Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19981.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19980.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enable The Depository Trust Company To Collect and Pass Through Certain Fees Owed by Participants to Transfer Agents in Connection With the Deposit and Withdrawal at Custodian System2012-08-15T00:00:00-07:002012-08-15T00:00:00-07:002012-19980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19980.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19979.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees for Certain Regular and Complex Orders Executed on the Exchange2012-08-15T00:00:00-07:002012-08-15T00:00:00-07:002012-19979Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19979.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19978.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2012-08-15T00:00:00-07:002012-08-15T00:00:00-07:002012-19978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19978.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19958.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Changes Amending NYSE Arca, Inc. Rule 3.2 and NYSE Arca Equities, Inc. Rule 3.2, Which Concern the Nomination and Election of Fair Representation Directors2012-08-15T00:00:00-07:002012-08-15T00:00:00-07:002012-19958Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19958.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/13/2012-19790.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of iShares Copper Trust Pursuant to NYSE Arca Equities Rule 8.2012012-08-13T00:00:00-07:002012-08-13T00:00:00-07:002012-19790Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-19790.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/13/2012-19743.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing of Proposed Rule Change Related to the Liquidity Factor of Its Credit Default Swap Margin Methodology2012-08-13T00:00:00-07:002012-08-13T00:00:00-07:002012-19743Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-19743.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/13/2012-19742.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Amendments to the NYSE MKT LLC Price List To Establish Pricing for the Retail Liquidity Program2012-08-13T00:00:00-07:002012-08-13T00:00:00-07:002012-19742Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-19742.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/13/2012-19741.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2012-08-13T00:00:00-07:002012-08-13T00:00:00-07:002012-19741Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-19741.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/13/2012-19740.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2012-08-13T00:00:00-07:002012-08-13T00:00:00-07:002012-19740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-19740.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/13/2012-19739.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expose Non-Customer Orders Subject to Automatic Rejection to Its Members for Potential Execution at the NBBO or Better2012-08-13T00:00:00-07:002012-08-13T00:00:00-07:002012-19739Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-19739.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/13/2012-18003.htmlRule - Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping2012-08-13T00:00:00-07:002012-08-13T00:00:00-07:002012-18003Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-18003.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19667.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Phlx's Fee Schedule Governing Order Execution on its NASDAQ OMX PSX Facility2012-08-10T00:00:00-07:002012-08-10T00:00:00-07:002012-19667Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19667.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19629.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Fee Schedule Governing Order Routing2012-08-10T00:00:00-07:002012-08-10T00:00:00-07:002012-19629Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19629.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19614.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reducing From 10 Days to Five Days the Shareholder Notification Period That Is a Condition to a Waiver of the NYSE's Shareholder Approval Requirements Pursuant to Section 312.05 of the Exchange's Listed Company Manual2012-08-10T00:00:00-07:002012-08-10T00:00:00-07:002012-19614Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19614.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19613.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change To Allow Competitive Market Makers To Use Their Membership Points To Enter Multiple Quotes in an Options Class2012-08-10T00:00:00-07:002012-08-10T00:00:00-07:002012-19613Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19613.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19612.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change To Increase the Maximum Term for LEAPS to Fifteen Years2012-08-10T00:00:00-07:002012-08-10T00:00:00-07:002012-19612Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19612.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19611.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change to Amend EDGX Rule 11.5(c) to add the Edge Market Close SM2012-08-10T00:00:00-07:002012-08-10T00:00:00-07:002012-19611Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19611.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19610.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee2012-08-10T00:00:00-07:002012-08-10T00:00:00-07:002012-19610Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19610.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19609.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee2012-08-10T00:00:00-07:002012-08-10T00:00:00-07:002012-19609Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19609.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19608.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services2012-08-10T00:00:00-07:002012-08-10T00:00:00-07:002012-19608Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19608.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19607.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX's Fee Schedule Governing Order Routing2012-08-10T00:00:00-07:002012-08-10T00:00:00-07:002012-19607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19607.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19579.htmlNotice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Implement a Change in the Practices of the Depository Trust Company as They Relate to Post-Payable Adjustments2012-08-10T00:00:00-07:002012-08-10T00:00:00-07:002012-19579Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19579.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/09/2012-19604.htmlNotice - Sunshine Act Meeting Notice2012-08-09T00:00:00-07:002012-08-09T00:00:00-07:002012-19604Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-09/pdf/2012-19604.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/09/2012-19489.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Price Improvement Period2012-08-09T00:00:00-07:002012-08-09T00:00:00-07:002012-19489Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-09/pdf/2012-19489.pdfhttps://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.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19340.htmlNotice - Sunshine Act Meeting Notice2012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19340Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19340.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19294.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC in Order To Reflect Changes to the Capital Structure of the Company2012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19294Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19294.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19293.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 80C-Equities, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, To Extend the Effective Date of the Pilot, Until February 4, 20132012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19293Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19293.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19292.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 128-Equities, Which Governs Clearly Erroneous Executions, To Extend the Effective Date of the Pilot by Which Portions of Such Rule Operate Until February 4, 20132012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19292Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19292.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19290.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 7.10, Which Governs Clearly Erroneous Executions, To Extend the Effective Date of the Pilot by Which Portions of Such Rule Operate Until February 4, 20132012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19290Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19290.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19289.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, To Extend the Effective Date of the Pilot Until February 4, 20132012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19289Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19289.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19288.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Temporary Rule 6.832012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19288Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19288.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19287.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update References in Rules2012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19287Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19287.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19286.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19286Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19286.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19217.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; Order Granting Approval of Proposed Rule Changes Amending Independence Policy of the Board of Directors of NYSE Euronext and Creating a New Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc., and NYSE Market, Inc.2012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19217Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19217.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19216.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of Non-Display of Primary Pegged Orders With an Offset Amount2012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19216Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19216.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19215.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Date of Non-Display of Primary Pegged Orders With an Offset Amount2012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19215Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19215.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19214.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, To Extend the Effective Date of the Pilot Until February 4, 20132012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19214Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19214.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19213.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Which Governs Clearly Erroneous Executions, to Extend the Effective Date of the Pilot by Which Portions of Such Rule Operate Until February 4, 20132012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19213Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19213.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19212.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Optional Attribution of Orders on the EDGX Book Feed2012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19212Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19212.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19211.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Optional Attribution of Orders on the EDGA Book Feed2012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19211Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19211.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19210.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the STARTM2012-08-07T00:00:00-07:002012-08-07T00:00:00-07:002012-19210Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19210.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19209.htmlNotice - Sunshine Act Meetings2012-08-06T00:00:00-07:002012-08-06T00:00:00-07:002012-19209Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19209.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19145.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Distribution of Auction Messages2012-08-06T00:00:00-07:002012-08-06T00:00:00-07:002012-19145Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19145.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19144.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Four New Order Types on the CBOE Stock Exchange2012-08-06T00:00:00-07:002012-08-06T00:00:00-07:002012-19144Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19144.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19085.htmlNotice - Proposed Collection; Comment Request2012-08-06T00:00:00-07:002012-08-06T00:00:00-07:002012-19085Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19085.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19084.htmlNotice - Proposed Collection; Comment Request2012-08-06T00:00:00-07:002012-08-06T00:00:00-07:002012-19084Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19084.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19083.htmlNotice - Proposed Collection; Comment Request2012-08-06T00:00:00-07:002012-08-06T00:00:00-07:002012-19083Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19083.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19082.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule for Trading on BOX2012-08-06T00:00:00-07:002012-08-06T00:00:00-07:002012-19082Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19082.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19081.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reformat the Schedule of Fees2012-08-06T00:00:00-07:002012-08-06T00:00:00-07:002012-19081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19081.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19075.htmlNotice - Proposed Collection; Comment Request2012-08-06T00:00:00-07:002012-08-06T00:00:00-07:002012-19075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19075.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/03/2012-19030.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services2012-08-03T00:00:00-07:002012-08-03T00:00:00-07:002012-19030Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-19030.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/03/2012-19000.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule2012-08-03T00:00:00-07:002012-08-03T00:00:00-07:002012-19000Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-19000.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18999.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Port Fees2012-08-03T00:00:00-07:002012-08-03T00:00:00-07:002012-18999Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18999.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18998.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for NMS Stocks Other Than Rights and Warrants2012-08-03T00:00:00-07:002012-08-03T00:00:00-07:002012-18998Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18998.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18973.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402012-08-03T00:00:00-07:002012-08-03T00:00:00-07:002012-18973Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18973.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18972.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule2012-08-03T00:00:00-07:002012-08-03T00:00:00-07:002012-18972Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18972.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18971.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for NMS Stocks Other Than Rights and Warrants2012-08-03T00:00:00-07:002012-08-03T00:00:00-07:002012-18971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18971.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18970.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Make Clarifying Changes to CME Rule 819 and Certain Chapter 8F Rules2012-08-03T00:00:00-07:002012-08-03T00:00:00-07:002012-18970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18970.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18969.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 To Extend the Pilot Program Until February 4, 20132012-08-03T00:00:00-07:002012-08-03T00:00:00-07:002012-18969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18969.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18968.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102 To Extend the Single Stock Circuit Breaker Pilot Program Until February 4, 20132012-08-03T00:00:00-07:002012-08-03T00:00:00-07:002012-18968Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18968.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18894.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the New York Stock Exchange LLC Price List To Establish Pricing for the Retail Liquidity Program2012-08-02T00:00:00-07:002012-08-02T00:00:00-07:002012-18894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18894.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18893.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Post-Only Order Type on NOM2012-08-02T00:00:00-07:002012-08-02T00:00:00-07:002012-18893Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18893.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18892.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Post-Only Order Type on BX Options2012-08-02T00:00:00-07:002012-08-02T00:00:00-07:002012-18892Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18892.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18843.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List To Change Certain Fees Relating to Trading Pursuant to Unlisted Trading Privileges of Securities Listed on the Nasdaq Stock Market LLC and Other Conforming Changes2012-08-02T00:00:00-07:002012-08-02T00:00:00-07:002012-18843Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18843.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18842.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to Clearly Erroneous Execution Reviews2012-08-02T00:00:00-07:002012-08-02T00:00:00-07:002012-18842Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18842.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18841.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility2012-08-02T00:00:00-07:002012-08-02T00:00:00-07:002012-18841Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18841.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18839.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to Clearly Erroneous Execution Reviews2012-08-02T00:00:00-07:002012-08-02T00:00:00-07:002012-18839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18839.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18838.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility2012-08-02T00:00:00-07:002012-08-02T00:00:00-07:002012-18838Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18838.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18822.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 20.6, Entitled “Obvious Error”2012-08-02T00:00:00-07:002012-08-02T00:00:00-07:002012-18822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18822.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18821.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Trading Floor Qualification Examination2012-08-02T00:00:00-07:002012-08-02T00:00:00-07:002012-18821Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18821.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/01/2012-18790.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Access to BONO and ITTO Ports2012-08-01T00:00:00-07:002012-08-01T00:00:00-07:002012-18790Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-01/pdf/2012-18790.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/01/2012-18754.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Terminate Revenue Sharing Agreement and Delete Associated Fees2012-08-01T00:00:00-07:002012-08-01T00:00:00-07:002012-18754Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-01/pdf/2012-18754.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/01/2012-18753.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Terminate Revenue Sharing Agreement and Delete Associated Fee Schedule2012-08-01T00:00:00-07:002012-08-01T00:00:00-07:002012-18753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-01/pdf/2012-18753.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/01/2012-18704.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4626-Limitation of Liability2012-08-01T00:00:00-07:002012-08-01T00:00:00-07:002012-18704Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-01/pdf/2012-18704.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/01/2012-18703.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend OCC's By-Laws To Allow the Corporation To Approve OCC's Form of Clearing Member Application and Form of Clearing Agreement2012-08-01T00:00:00-07:002012-08-01T00:00:00-07:002012-18703Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-01/pdf/2012-18703.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/01/2012-17918.htmlRule - Consolidated Audit Trail2012-08-01T00:00:00-07:002012-08-01T00:00:00-07:002012-17918Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-01/pdf/2012-17918.pdf