Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/08?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-22T20:08:21-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2012/08/31/2012-21592.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt a Retail Price Improvement Program2012-08-31T00:00:00-07:002012-08-31T00:00:00-07:002012-21592Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-31/pdf/2012-21592.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/31/2012-21494.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to the Auction Process Under Options Clearing Corporation Rule 11042012-08-31T00:00:00-07:002012-08-31T00:00:00-07:002012-21494Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-31/pdf/2012-21494.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/31/2012-21493.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the First Trust CBOE S&P 500 VIX Tail Hedge Fund (Formerly, the First Trust CBOE VIX Tail Hedge Index Fund)2012-08-31T00:00:00-07:002012-08-31T00:00:00-07:002012-21493Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-31/pdf/2012-21493.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/31/2012-21487.htmlNotice - Proposed Collection; Comment Request2012-08-31T00:00:00-07:002012-08-31T00:00:00-07:002012-21487Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-31/pdf/2012-21487.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21391.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of iShares 2018 S&P AMT-Free Municipal Series and iShares 2019 S&P AMT-Free Municipal Series Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .022012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21391Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21391.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21390.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 6.47, “Crossing” Orders-OX2012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21390Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21390.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21389.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving a Proposed Rule Change To Amend EDGX Rules To Add the Route Peg Order2012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21389Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21389.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21388.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving a Proposed Rule Change To Amend EDGA Rules To Add the Route Peg Order2012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21388.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21387.htmlNotice - Technology and Trading Roundtable2012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21387Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21387.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21386.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Offer Certain Proprietary Options Data Products2012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21386Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21386.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/30/2012-21385.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Offer Certain Proprietary Options Data Products2012-08-30T00:00:00-07:002012-08-30T00:00:00-07:002012-21385Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-30/pdf/2012-21385.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21313.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-08-29T00:00:00-07:002012-08-29T00:00:00-07:002012-21313Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21313.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21274.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Market Maker Pre-Opening Obligations on NOM2012-08-29T00:00:00-07:002012-08-29T00:00:00-07:002012-21274Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21274.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21258.htmlNotice - Proposed Collection; Comment Request2012-08-29T00:00:00-07:002012-08-29T00:00:00-07:002012-21258Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21258.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21257.htmlNotice - Proposed Collection; Comment Request2012-08-29T00:00:00-07:002012-08-29T00:00:00-07:002012-21257Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21257.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/29/2012-21256.htmlNotice - Self-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership in The NASDAQ Stock Market LLC2012-08-29T00:00:00-07:002012-08-29T00:00:00-07:002012-21256Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-29/pdf/2012-21256.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21259.htmlNotice - Sunshine Act Meeting2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21259Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21259.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21173.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the RiverFront Strategic Income Fund Under NYSE Arca Equities Rule 8.6002012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21173Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21173.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21116.htmlNotice - Proposed Collection; Comment Request2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21116Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21116.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21115.htmlNotice - Proposed Collection; Comment Request2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21115Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21115.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21114.htmlNotice - Proposed Collection; Comment Request2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21114Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21114.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21113.htmlNotice - Proposed Collection; Comment Request2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21113Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21113.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21112.htmlNotice - Proposed Collection; Comment Request2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21112Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21112.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21111.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.40 To Expand the Existing Market Maker Risk Limitation Mechanism Making It Available for Orders From Market Makers as Well as Non-Market Maker OTP Firms and OTP Holders, and To Provide for Two Additional Risk Limitation Mechanisms2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21111Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21111.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21110.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 928NY To Expand the Existing Market Maker Risk Limitation Mechanism Making It Available for Orders From Market Makers as Well as Non-Market Maker ATP Holders, and To Provide for Two Additional Risk Limitation Mechanisms2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21110Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21110.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21109.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend EDGA Rules Regarding Market Access2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21109Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21109.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21108.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend EDGX Rules Regarding Market Access2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21108Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21108.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21107.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Updates to Its Custody Service2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21107.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21106.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Amend OCC's By-Laws and Rules To Terminate OCC's Pledge Program2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21106Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21106.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21105.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Existing Procedures as They Relate to Processing Mandatory Corporate Actions2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21105Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21105.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/28/2012-21104.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-08-28T00:00:00-07:002012-08-28T00:00:00-07:002012-21104Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-28/pdf/2012-21104.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/27/2012-20971.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options LLC Limited Liability Company Agreement To Eliminate Certain Restrictions Relating to the Qualification of Founding Firm Advisory Committee Members2012-08-27T00:00:00-07:002012-08-27T00:00:00-07:002012-20971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-27/pdf/2012-20971.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/27/2012-20970.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Client Information About Agency Orders of Floor Brokers2012-08-27T00:00:00-07:002012-08-27T00:00:00-07:002012-20970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-27/pdf/2012-20970.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/27/2012-20969.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rule 10142012-08-27T00:00:00-07:002012-08-27T00:00:00-07:002012-20969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-27/pdf/2012-20969.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20859.htmlNotice - ReconTrust Company, N.A., et al.; Notice of Application and Temporary Order2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20859Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20859.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20855.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Certain Conforming Changes to Its Rules Following the Change in the Exchange's Name From NYSE Amex LLC (“NYSE Amex”) to NYSE MKT LLC2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20855Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20855.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20854.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Terminate Revenue Sharing Agreement2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20854.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20853.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Terminate Revenue Sharing Agreement2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20853Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20853.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20839.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, (1) Amending NYSE Rule 13 and NYSE MKT Rule 13-Equities to Establish New Order Types, (2) Amending NYSE Rule 115A and NYSE MKT Rule 115A-Equities to Delete Obsolete Text and to Clarify and Update the Description of The Allocation of Market and Limit Interest in Opening and Reopening Transactions, (3) Amending NYSE Rule 123C and NYSE MKT Rule 123C-Equities to Include Better-Priced G Orders in The Allocation of Orders in Closing Transactions, and (4) Making Other Technical and Conforming Changes2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20839.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20827.htmlNotice - Submission for OMB Review; Comment Request2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20827Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20827.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20826.htmlNotice - Submission for OMB Review; Comment Request2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20826Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20826.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20825.htmlNotice - Submission for OMB Review; Comment Request2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20825Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20825.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20824.htmlNotice - Submission for OMB Review; Comment Request2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20824Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20824.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20823.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Amend Schedule 502 of the ICE Clear Credit Rules To Provide for Clearing of Additional Single Name Investment Grade CDS Contracts2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20823Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20823.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20822.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules To Provide for Clearing of Additional Markit CDX North American Investment Grade Indices2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20822.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20818.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change to Amend BATS Rules 14.2 and 14.3 To Adopt Additional Listing Requirements for Reverse Merger Companies and To Align BATS Rules With the Rules of Other Self-Regulatory Organizations2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20818.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/24/2012-20817.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of Proposed Rule Change Adopting Rules Governing the Listing and Trading of New Products Known as DIVS, OWLS, and RISKS2012-08-24T00:00:00-07:002012-08-24T00:00:00-07:002012-20817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-24/pdf/2012-20817.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20901.htmlNotice - Sunshine Act Meeting2012-08-23T00:00:00-07:002012-08-23T00:00:00-07:002012-20901Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20901.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20900.htmlNotice - Sunshine Act Meeting2012-08-23T00:00:00-07:002012-08-23T00:00:00-07:002012-20900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20900.pdfhttps://regulations.justia.com/regulations/fedreg/2012/08/23/2012-20758.htmlNotice - Submission for OMB Review; Comment Request; Correction2012-08-23T00:00:00-07:002012-08-23T00:00:00-07:002012-20758Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-08-23/pdf/2012-20758.pdf