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 2024-05-22T20:08:21-07:00 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