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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-02T16:05:20-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2012/08/31/2012-21592.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt a Retail Price Improvement Program 2012-08-31T00:00:00-07:00 2012-08-31T00:00:00-07:00 2012-21592 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-31/pdf/2012-21592.pdf https://regulations.justia.com/regulations/fedreg/2012/08/31/2012-21494.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to the Auction Process Under Options Clearing Corporation Rule 1104 2012-08-31T00:00:00-07:00 2012-08-31T00:00:00-07:00 2012-21494 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-31/pdf/2012-21494.pdf https://regulations.justia.com/regulations/fedreg/2012/08/31/2012-21493.html Notice - 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) 2012-08-31T00:00:00-07:00 2012-08-31T00:00:00-07:00 2012-21493 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-31/pdf/2012-21493.pdf https://regulations.justia.com/regulations/fedreg/2012/08/31/2012-21487.html Notice - Proposed Collection; Comment Request 2012-08-31T00:00:00-07:00 2012-08-31T00:00:00-07:00 2012-21487 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-31/pdf/2012-21487.pdf https://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21391.html Notice - 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 .02 2012-08-30T00:00:00-07:00 2012-08-30T00:00:00-07:00 2012-21391 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21391.pdf https://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21390.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 6.47, “Crossing” Orders-OX 2012-08-30T00:00:00-07:00 2012-08-30T00:00:00-07:00 2012-21390 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21390.pdf https://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21389.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving a Proposed Rule Change To Amend EDGX Rules To Add the Route Peg Order 2012-08-30T00:00:00-07:00 2012-08-30T00:00:00-07:00 2012-21389 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21389.pdf https://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21388.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving a Proposed Rule Change To Amend EDGA Rules To Add the Route Peg Order 2012-08-30T00:00:00-07:00 2012-08-30T00:00:00-07:00 2012-21388 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21388.pdf https://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21387.html Notice - Technology and Trading Roundtable 2012-08-30T00:00:00-07:00 2012-08-30T00:00:00-07:00 2012-21387 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21387.pdf https://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21386.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Offer Certain Proprietary Options Data Products 2012-08-30T00:00:00-07:00 2012-08-30T00:00:00-07:00 2012-21386 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21386.pdf https://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21385.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Offer Certain Proprietary Options Data Products 2012-08-30T00:00:00-07:00 2012-08-30T00:00:00-07:00 2012-21385 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21385.pdf https://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21313.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2012-08-29T00:00:00-07:00 2012-08-29T00:00:00-07:00 2012-21313 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21313.pdf https://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21274.html Notice - 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 NOM 2012-08-29T00:00:00-07:00 2012-08-29T00:00:00-07:00 2012-21274 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21274.pdf https://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21258.html Notice - Proposed Collection; Comment Request 2012-08-29T00:00:00-07:00 2012-08-29T00:00:00-07:00 2012-21258 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21258.pdf https://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21257.html Notice - Proposed Collection; Comment Request 2012-08-29T00:00:00-07:00 2012-08-29T00:00:00-07:00 2012-21257 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21257.pdf https://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21256.html Notice - 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 LLC 2012-08-29T00:00:00-07:00 2012-08-29T00:00:00-07:00 2012-21256 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21256.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21259.html Notice - Sunshine Act Meeting 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21259 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21259.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21173.html Notice - 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 8.600 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21173 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21173.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21116.html Notice - Proposed Collection; Comment Request 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21116 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21116.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21115.html Notice - Proposed Collection; Comment Request 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21115 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21115.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21114.html Notice - Proposed Collection; Comment Request 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21114 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21114.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21113.html Notice - Proposed Collection; Comment Request 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21113 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21113.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21112.html Notice - Proposed Collection; Comment Request 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21112 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21112.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21111.html Notice - 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 Mechanisms 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21111 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21111.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21110.html Notice - 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 Mechanisms 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21110 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21110.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21109.html Notice - 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 Access 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21109 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21109.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21108.html Notice - 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 Access 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21108 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21108.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21107.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Updates to Its Custody Service 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21107 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21107.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21106.html Notice - 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 Program 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21106 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21106.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21105.html Notice - 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 Actions 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21105 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21105.pdf https://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21104.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2012-08-28T00:00:00-07:00 2012-08-28T00:00:00-07:00 2012-21104 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21104.pdf https://regulations.justia.com/regulations/fedreg/2012/08/27/2012-20971.html Notice - 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 Members 2012-08-27T00:00:00-07:00 2012-08-27T00:00:00-07:00 2012-20971 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-27/pdf/2012-20971.pdf https://regulations.justia.com/regulations/fedreg/2012/08/27/2012-20970.html Notice - 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 Brokers 2012-08-27T00:00:00-07:00 2012-08-27T00:00:00-07:00 2012-20970 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-27/pdf/2012-20970.pdf https://regulations.justia.com/regulations/fedreg/2012/08/27/2012-20969.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rule 1014 2012-08-27T00:00:00-07:00 2012-08-27T00:00:00-07:00 2012-20969 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-27/pdf/2012-20969.pdf https://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20859.html Notice - ReconTrust Company, N.A., et al.; Notice of Application and Temporary Order 2012-08-24T00:00:00-07:00 2012-08-24T00:00:00-07:00 2012-20859 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20859.pdf https://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20855.html Notice - 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 LLC 2012-08-24T00:00:00-07:00 2012-08-24T00:00:00-07:00 2012-20855 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20855.pdf https://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20854.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Terminate Revenue Sharing Agreement 2012-08-24T00:00:00-07:00 2012-08-24T00:00:00-07:00 2012-20854 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20854.pdf https://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20853.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Terminate Revenue Sharing Agreement 2012-08-24T00:00:00-07:00 2012-08-24T00:00:00-07:00 2012-20853 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20853.pdf https://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20839.html Notice - 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 Changes 2012-08-24T00:00:00-07:00 2012-08-24T00:00:00-07:00 2012-20839 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20839.pdf https://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20827.html Notice - Submission for OMB Review; Comment Request 2012-08-24T00:00:00-07:00 2012-08-24T00:00:00-07:00 2012-20827 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20827.pdf https://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20826.html Notice - Submission for OMB Review; Comment Request 2012-08-24T00:00:00-07:00 2012-08-24T00:00:00-07:00 2012-20826 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20826.pdf https://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20825.html Notice - Submission for OMB Review; Comment Request 2012-08-24T00:00:00-07:00 2012-08-24T00:00:00-07:00 2012-20825 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20825.pdf https://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20824.html Notice - Submission for OMB Review; Comment Request 2012-08-24T00:00:00-07:00 2012-08-24T00:00:00-07:00 2012-20824 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20824.pdf https://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20823.html Notice - 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 Contracts 2012-08-24T00:00:00-07:00 2012-08-24T00:00:00-07:00 2012-20823 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20823.pdf https://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20822.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules To Provide for Clearing of Additional Markit CDX North American Investment Grade Indices 2012-08-24T00:00:00-07:00 2012-08-24T00:00:00-07:00 2012-20822 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20822.pdf https://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20818.html Notice - 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 Organizations 2012-08-24T00:00:00-07:00 2012-08-24T00:00:00-07:00 2012-20818 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20818.pdf https://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20817.html Notice - 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 RISKS 2012-08-24T00:00:00-07:00 2012-08-24T00:00:00-07:00 2012-20817 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20817.pdf https://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20901.html Notice - Sunshine Act Meeting 2012-08-23T00:00:00-07:00 2012-08-23T00:00:00-07:00 2012-20901 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20901.pdf https://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20900.html Notice - Sunshine Act Meeting 2012-08-23T00:00:00-07:00 2012-08-23T00:00:00-07:00 2012-20900 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20900.pdf https://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20758.html Notice - Submission for OMB Review; Comment Request; Correction 2012-08-23T00:00:00-07:00 2012-08-23T00:00:00-07:00 2012-20758 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20758.pdf https://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20714.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Regarding Treasury Securities Options 2012-08-23T00:00:00-07:00 2012-08-23T00:00:00-07:00 2012-20714 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20714.pdf https://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20713.html Notice - 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 8.600 2012-08-23T00:00:00-07:00 2012-08-23T00:00:00-07:00 2012-20713 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20713.pdf https://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20712.html Notice - 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 Solicitation 2012-08-23T00:00:00-07:00 2012-08-23T00:00:00-07:00 2012-20712 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20712.pdf https://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20711.html Notice - 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 PSX 2012-08-23T00:00:00-07:00 2012-08-23T00:00:00-07:00 2012-20711 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20711.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20594.html Notice - 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 Book 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20594 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20594.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20593.html Notice - 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 Order 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20593 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20593.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20592.html Notice - 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 Order 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20592 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20592.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20591.html Notice - 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 Schedule 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20591 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20591.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20577.html Notice - 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; Correction 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20577 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20577.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20576.html Notice - 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 Service 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20576 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20576.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20575.html Notice - 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 Fund 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20575 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20575.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20574.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Automatic Order Handling Process 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20574 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20574.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20573.html Notice - 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 Process 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20573 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20573.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20572.html Notice - 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 Fees 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20572 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20572.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20571.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20571 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20571.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20570.html Notice - 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 Fees 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20570 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20570.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20569.html Notice - 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 Fees 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20569 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20569.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20568.html Notice - 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 Fees 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20568 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20568.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20567.html Notice - 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 Fees 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20567 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20567.pdf https://regulations.justia.com/regulations/fedreg/2012/08/22/2012-20566.html Notice - 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 Swaps 2012-08-22T00:00:00-07:00 2012-08-22T00:00:00-07:00 2012-20566 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-22/pdf/2012-20566.pdf https://regulations.justia.com/regulations/fedreg/2012/08/21/2012-20451.html Notice - Public Availability of the Securities and Exchange Commission's FY 2011 Service Contract Inventory 2012-08-21T00:00:00-07:00 2012-08-21T00:00:00-07:00 2012-20451 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-21/pdf/2012-20451.pdf https://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20484.html Notice - Star Entertainment Group, Inc., Order of Suspension of Trading 2012-08-20T00:00:00-07:00 2012-08-20T00:00:00-07:00 2012-20484 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20484.pdf https://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20409.html Notice - 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 1934 2012-08-20T00:00:00-07:00 2012-08-20T00:00:00-07:00 2012-20409 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20409.pdf https://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20399.html Notice - Advisory Committee on Small and Emerging Companies; Meeting 2012-08-20T00:00:00-07:00 2012-08-20T00:00:00-07:00 2012-20399 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20399.pdf https://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20398.html Notice - 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 Pass 2012-08-20T00:00:00-07:00 2012-08-20T00:00:00-07:00 2012-20398 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20398.pdf https://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20321.html Notice - LoCorr Fund Management, LLC and LoCorr Investment Trust; Notice of Application 2012-08-20T00:00:00-07:00 2012-08-20T00:00:00-07:00 2012-20321 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20321.pdf https://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20320.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. To Amend BATS Rules Related to Price Sliding Functionality 2012-08-20T00:00:00-07:00 2012-08-20T00:00:00-07:00 2012-20320 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20320.pdf https://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20319.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Y-Exchange, Inc. To Amend BYX Rules Related to Price Sliding Functionality 2012-08-20T00:00:00-07:00 2012-08-20T00:00:00-07:00 2012-20319 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20319.pdf https://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20318.html Notice - 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) 2012-08-20T00:00:00-07:00 2012-08-20T00:00:00-07:00 2012-20318 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20318.pdf https://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20317.html Notice - 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 NES 2012-08-20T00:00:00-07:00 2012-08-20T00:00:00-07:00 2012-20317 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20317.pdf https://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20316.html Notice - 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 Interact 2012-08-20T00:00:00-07:00 2012-08-20T00:00:00-07:00 2012-20316 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20316.pdf https://regulations.justia.com/regulations/fedreg/2012/08/20/2012-20089.html Rule - Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions; Correction 2012-08-20T00:00:00-07:00 2012-08-20T00:00:00-07:00 2012-20089 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-08-20/pdf/2012-20089.pdf https://regulations.justia.com/regulations/fedreg/2012/08/17/C1-2012-19356.html 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 2012-08-17T00:00:00-07:00 2012-08-17T00:00:00-07:00 C1-2012-19356 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-17/pdf/C1-2012-19356.pdf https://regulations.justia.com/regulations/fedreg/2012/08/17/2012-20400.html Notice - Sunshine Act Meeting 2012-08-17T00:00:00-07:00 2012-08-17T00:00:00-07:00 2012-20400 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-17/pdf/2012-20400.pdf https://regulations.justia.com/regulations/fedreg/2012/08/17/2012-20264.html Notice - IndexIQ Advisors LLC and IndexIQ Active ETF Trust; Notice of Application 2012-08-17T00:00:00-07:00 2012-08-17T00:00:00-07:00 2012-20264 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-17/pdf/2012-20264.pdf https://regulations.justia.com/regulations/fedreg/2012/08/17/2012-20263.html Notice - 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” 2012-08-17T00:00:00-07:00 2012-08-17T00:00:00-07:00 2012-20263 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-17/pdf/2012-20263.pdf https://regulations.justia.com/regulations/fedreg/2012/08/17/2012-20262.html Notice - 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 Centers 2012-08-17T00:00:00-07:00 2012-08-17T00:00:00-07:00 2012-20262 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-17/pdf/2012-20262.pdf https://regulations.justia.com/regulations/fedreg/2012/08/17/2012-20261.html Notice - 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 Obligations 2012-08-17T00:00:00-07:00 2012-08-17T00:00:00-07:00 2012-20261 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-17/pdf/2012-20261.pdf https://regulations.justia.com/regulations/fedreg/2012/08/16/2012-20099.html Notice - Submission for OMB Review; Comment Request 2012-08-16T00:00:00-07:00 2012-08-16T00:00:00-07:00 2012-20099 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-16/pdf/2012-20099.pdf https://regulations.justia.com/regulations/fedreg/2012/08/16/2012-20098.html Notice - Submission for OMB Review; Comment Request 2012-08-16T00:00:00-07:00 2012-08-16T00:00:00-07:00 2012-20098 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-16/pdf/2012-20098.pdf https://regulations.justia.com/regulations/fedreg/2012/08/15/2012-20040.html Notice - 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 Functionality 2012-08-15T00:00:00-07:00 2012-08-15T00:00:00-07:00 2012-20040 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-20040.pdf https://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19986.html Notice - 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 Options 2012-08-15T00:00:00-07:00 2012-08-15T00:00:00-07:00 2012-19986 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19986.pdf https://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19985.html Notice - 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 Products 2012-08-15T00:00:00-07:00 2012-08-15T00:00:00-07:00 2012-19985 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19985.pdf https://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19984.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing in Select Symbols and Multiply Listed Options 2012-08-15T00:00:00-07:00 2012-08-15T00:00:00-07:00 2012-19984 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19984.pdf https://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19983.html Notice - 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 Security 2012-08-15T00:00:00-07:00 2012-08-15T00:00:00-07:00 2012-19983 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19983.pdf https://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19982.html Notice - 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 Security 2012-08-15T00:00:00-07:00 2012-08-15T00:00:00-07:00 2012-19982 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19982.pdf https://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19981.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearing Arrangements 2012-08-15T00:00:00-07:00 2012-08-15T00:00:00-07:00 2012-19981 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19981.pdf https://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19980.html Notice - 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 System 2012-08-15T00:00:00-07:00 2012-08-15T00:00:00-07:00 2012-19980 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19980.pdf https://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19979.html Notice - 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 Exchange 2012-08-15T00:00:00-07:00 2012-08-15T00:00:00-07:00 2012-19979 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19979.pdf https://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19978.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2012-08-15T00:00:00-07:00 2012-08-15T00:00:00-07:00 2012-19978 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19978.pdf https://regulations.justia.com/regulations/fedreg/2012/08/15/2012-19958.html Notice - 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 Directors 2012-08-15T00:00:00-07:00 2012-08-15T00:00:00-07:00 2012-19958 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-19958.pdf https://regulations.justia.com/regulations/fedreg/2012/08/13/2012-19790.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of iShares Copper Trust Pursuant to NYSE Arca Equities Rule 8.201 2012-08-13T00:00:00-07:00 2012-08-13T00:00:00-07:00 2012-19790 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-19790.pdf https://regulations.justia.com/regulations/fedreg/2012/08/13/2012-19743.html Notice - 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 Methodology 2012-08-13T00:00:00-07:00 2012-08-13T00:00:00-07:00 2012-19743 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-19743.pdf https://regulations.justia.com/regulations/fedreg/2012/08/13/2012-19742.html Notice - 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 Program 2012-08-13T00:00:00-07:00 2012-08-13T00:00:00-07:00 2012-19742 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-19742.pdf https://regulations.justia.com/regulations/fedreg/2012/08/13/2012-19741.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule 2012-08-13T00:00:00-07:00 2012-08-13T00:00:00-07:00 2012-19741 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-19741.pdf https://regulations.justia.com/regulations/fedreg/2012/08/13/2012-19740.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule 2012-08-13T00:00:00-07:00 2012-08-13T00:00:00-07:00 2012-19740 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-19740.pdf https://regulations.justia.com/regulations/fedreg/2012/08/13/2012-19739.html Notice - 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 Better 2012-08-13T00:00:00-07:00 2012-08-13T00:00:00-07:00 2012-19739 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-19739.pdf https://regulations.justia.com/regulations/fedreg/2012/08/13/2012-18003.html Rule - Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping 2012-08-13T00:00:00-07:00 2012-08-13T00:00:00-07:00 2012-18003 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-08-13/pdf/2012-18003.pdf https://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19667.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Phlx's Fee Schedule Governing Order Execution on its NASDAQ OMX PSX Facility 2012-08-10T00:00:00-07:00 2012-08-10T00:00:00-07:00 2012-19667 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19667.pdf https://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19629.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Fee Schedule Governing Order Routing 2012-08-10T00:00:00-07:00 2012-08-10T00:00:00-07:00 2012-19629 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19629.pdf https://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19614.html Notice - 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 Manual 2012-08-10T00:00:00-07:00 2012-08-10T00:00:00-07:00 2012-19614 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19614.pdf https://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19613.html Notice - 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 Class 2012-08-10T00:00:00-07:00 2012-08-10T00:00:00-07:00 2012-19613 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19613.pdf https://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19612.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change To Increase the Maximum Term for LEAPS to Fifteen Years 2012-08-10T00:00:00-07:00 2012-08-10T00:00:00-07:00 2012-19612 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19612.pdf https://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19611.html Notice - 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 SM 2012-08-10T00:00:00-07:00 2012-08-10T00:00:00-07:00 2012-19611 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19611.pdf https://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19610.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee 2012-08-10T00:00:00-07:00 2012-08-10T00:00:00-07:00 2012-19610 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19610.pdf https://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19609.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee 2012-08-10T00:00:00-07:00 2012-08-10T00:00:00-07:00 2012-19609 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19609.pdf https://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19608.html Notice - 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 Services 2012-08-10T00:00:00-07:00 2012-08-10T00:00:00-07:00 2012-19608 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19608.pdf https://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19607.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX's Fee Schedule Governing Order Routing 2012-08-10T00:00:00-07:00 2012-08-10T00:00:00-07:00 2012-19607 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19607.pdf https://regulations.justia.com/regulations/fedreg/2012/08/10/2012-19579.html Notice - 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 2012-08-10T00:00:00-07:00 2012-08-10T00:00:00-07:00 2012-19579 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19579.pdf https://regulations.justia.com/regulations/fedreg/2012/08/09/2012-19604.html Notice - Sunshine Act Meeting Notice 2012-08-09T00:00:00-07:00 2012-08-09T00:00:00-07:00 2012-19604 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-09/pdf/2012-19604.pdf https://regulations.justia.com/regulations/fedreg/2012/08/09/2012-19489.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Price Improvement Period 2012-08-09T00:00:00-07:00 2012-08-09T00:00:00-07:00 2012-19489 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-09/pdf/2012-19489.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19416.html 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” 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19416 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19416.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19415.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19415 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19415.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19382.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19382 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19382.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19381.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19381 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19381.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19366.html Notice - BlackRock Preferred Partners LLC, et al.; Notice of Application 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19366 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19366.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19365.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19365 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19365.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19364.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19364 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19364.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19363.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19363 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19363.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19362.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19362 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19362.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19361.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19361 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19361.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19360.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19360 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19360.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19359.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19359 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19359.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19358.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19358 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19358.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19357.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19357 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19357.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19356.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19356 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19356.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19355.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19355 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19355.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19354.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19354 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19354.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19353.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19353 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19353.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19352.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19352 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19352.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19351.html 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 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19351 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19351.pdf https://regulations.justia.com/regulations/fedreg/2012/08/08/2012-19350.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 14.11, Entitled “Other Securities” 2012-08-08T00:00:00-07:00 2012-08-08T00:00:00-07:00 2012-19350 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19350.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19340.html Notice - Sunshine Act Meeting Notice 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19340 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19340.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19294.html Notice - 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 Company 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19294 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19294.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19293.html Notice - 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, 2013 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19293 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19293.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19292.html Notice - 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, 2013 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19292 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19292.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19290.html Notice - 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, 2013 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19290 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19290.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19289.html Notice - 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, 2013 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19289 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19289.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19288.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Temporary Rule 6.83 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19288 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19288.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19287.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update References in Rules 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19287 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19287.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19286.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19286 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19286.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19217.html Notice - 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. 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19217 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19217.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19216.html Notice - 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 Amount 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19216 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19216.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19215.html Notice - 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 Amount 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19215 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19215.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19214.html Notice - 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, 2013 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19214 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19214.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19213.html Notice - 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, 2013 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19213 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19213.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19212.html Notice - 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 Feed 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19212 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19212.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19211.html Notice - 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 Feed 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19211 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19211.pdf https://regulations.justia.com/regulations/fedreg/2012/08/07/2012-19210.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the STARTM 2012-08-07T00:00:00-07:00 2012-08-07T00:00:00-07:00 2012-19210 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-07/pdf/2012-19210.pdf https://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19209.html Notice - Sunshine Act Meetings 2012-08-06T00:00:00-07:00 2012-08-06T00:00:00-07:00 2012-19209 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19209.pdf https://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19145.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Distribution of Auction Messages 2012-08-06T00:00:00-07:00 2012-08-06T00:00:00-07:00 2012-19145 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19145.pdf https://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19144.html Notice - 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 Exchange 2012-08-06T00:00:00-07:00 2012-08-06T00:00:00-07:00 2012-19144 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19144.pdf https://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19085.html Notice - Proposed Collection; Comment Request 2012-08-06T00:00:00-07:00 2012-08-06T00:00:00-07:00 2012-19085 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19085.pdf https://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19084.html Notice - Proposed Collection; Comment Request 2012-08-06T00:00:00-07:00 2012-08-06T00:00:00-07:00 2012-19084 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19084.pdf https://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19083.html Notice - Proposed Collection; Comment Request 2012-08-06T00:00:00-07:00 2012-08-06T00:00:00-07:00 2012-19083 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19083.pdf https://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19082.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule for Trading on BOX 2012-08-06T00:00:00-07:00 2012-08-06T00:00:00-07:00 2012-19082 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19082.pdf https://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19081.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reformat the Schedule of Fees 2012-08-06T00:00:00-07:00 2012-08-06T00:00:00-07:00 2012-19081 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19081.pdf https://regulations.justia.com/regulations/fedreg/2012/08/06/2012-19075.html Notice - Proposed Collection; Comment Request 2012-08-06T00:00:00-07:00 2012-08-06T00:00:00-07:00 2012-19075 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-06/pdf/2012-19075.pdf https://regulations.justia.com/regulations/fedreg/2012/08/03/2012-19030.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2012-08-03T00:00:00-07:00 2012-08-03T00:00:00-07:00 2012-19030 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-19030.pdf https://regulations.justia.com/regulations/fedreg/2012/08/03/2012-19000.html Notice - 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 Rule 2012-08-03T00:00:00-07:00 2012-08-03T00:00:00-07:00 2012-19000 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-19000.pdf https://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18999.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Port Fees 2012-08-03T00:00:00-07:00 2012-08-03T00:00:00-07:00 2012-18999 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18999.pdf https://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18998.html Notice - 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 Warrants 2012-08-03T00:00:00-07:00 2012-08-03T00:00:00-07:00 2012-18998 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18998.pdf https://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18973.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2012-08-03T00:00:00-07:00 2012-08-03T00:00:00-07:00 2012-18973 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18973.pdf https://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18972.html Notice - 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 Rule 2012-08-03T00:00:00-07:00 2012-08-03T00:00:00-07:00 2012-18972 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18972.pdf https://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18971.html Notice - 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 Warrants 2012-08-03T00:00:00-07:00 2012-08-03T00:00:00-07:00 2012-18971 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18971.pdf https://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18970.html Notice - 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 Rules 2012-08-03T00:00:00-07:00 2012-08-03T00:00:00-07:00 2012-18970 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18970.pdf https://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18969.html Notice - 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, 2013 2012-08-03T00:00:00-07:00 2012-08-03T00:00:00-07:00 2012-18969 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18969.pdf https://regulations.justia.com/regulations/fedreg/2012/08/03/2012-18968.html Notice - 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, 2013 2012-08-03T00:00:00-07:00 2012-08-03T00:00:00-07:00 2012-18968 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-03/pdf/2012-18968.pdf https://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18894.html Notice - 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 Program 2012-08-02T00:00:00-07:00 2012-08-02T00:00:00-07:00 2012-18894 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18894.pdf https://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18893.html Notice - 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 NOM 2012-08-02T00:00:00-07:00 2012-08-02T00:00:00-07:00 2012-18893 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18893.pdf https://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18892.html Notice - 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 Options 2012-08-02T00:00:00-07:00 2012-08-02T00:00:00-07:00 2012-18892 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18892.pdf https://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18843.html Notice - 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 Changes 2012-08-02T00:00:00-07:00 2012-08-02T00:00:00-07:00 2012-18843 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18843.pdf https://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18842.html Notice - 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 Reviews 2012-08-02T00:00:00-07:00 2012-08-02T00:00:00-07:00 2012-18842 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18842.pdf https://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18841.html Notice - 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 Volatility 2012-08-02T00:00:00-07:00 2012-08-02T00:00:00-07:00 2012-18841 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18841.pdf https://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18839.html Notice - 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 Reviews 2012-08-02T00:00:00-07:00 2012-08-02T00:00:00-07:00 2012-18839 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18839.pdf https://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18838.html Notice - 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 Volatility 2012-08-02T00:00:00-07:00 2012-08-02T00:00:00-07:00 2012-18838 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18838.pdf https://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18822.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 20.6, Entitled “Obvious Error” 2012-08-02T00:00:00-07:00 2012-08-02T00:00:00-07:00 2012-18822 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18822.pdf https://regulations.justia.com/regulations/fedreg/2012/08/02/2012-18821.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Trading Floor Qualification Examination 2012-08-02T00:00:00-07:00 2012-08-02T00:00:00-07:00 2012-18821 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-02/pdf/2012-18821.pdf https://regulations.justia.com/regulations/fedreg/2012/08/01/2012-18790.html Notice - 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 Ports 2012-08-01T00:00:00-07:00 2012-08-01T00:00:00-07:00 2012-18790 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-01/pdf/2012-18790.pdf https://regulations.justia.com/regulations/fedreg/2012/08/01/2012-18754.html Notice - 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 Fees 2012-08-01T00:00:00-07:00 2012-08-01T00:00:00-07:00 2012-18754 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-01/pdf/2012-18754.pdf https://regulations.justia.com/regulations/fedreg/2012/08/01/2012-18753.html Notice - 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 Schedule 2012-08-01T00:00:00-07:00 2012-08-01T00:00:00-07:00 2012-18753 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-01/pdf/2012-18753.pdf https://regulations.justia.com/regulations/fedreg/2012/08/01/2012-18704.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4626-Limitation of Liability 2012-08-01T00:00:00-07:00 2012-08-01T00:00:00-07:00 2012-18704 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-01/pdf/2012-18704.pdf https://regulations.justia.com/regulations/fedreg/2012/08/01/2012-18703.html Notice - 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 Agreement 2012-08-01T00:00:00-07:00 2012-08-01T00:00:00-07:00 2012-18703 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-08-01/pdf/2012-18703.pdf https://regulations.justia.com/regulations/fedreg/2012/08/01/2012-17918.html Rule - Consolidated Audit Trail 2012-08-01T00:00:00-07:00 2012-08-01T00:00:00-07:00 2012-17918 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-08-01/pdf/2012-17918.pdf