Securities and Exchange Commission September 17, 2012 – Federal Register Recent Federal Regulation Documents

Results 1 - 12 of 12
Sunshine Act Meeting.
Document Number: 2012-22968
Type: Notice
Date: 2012-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/17/2012-22968.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rule 4626-Limitation of Liability
Document Number: 2012-22846
Type: Notice
Date: 2012-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/17/2012-22846.html
Prudential Investment Portfolios 3, et al.; Notice of Application
Document Number: 2012-22792
Type: Notice
Date: 2012-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: The requested order would permit certain registered open-end management investment companies that operate as ``funds of funds'' to acquire shares of certain registered open-end management investment companies and unit investment trusts (``UITs'') that are within and outside the same group of investment companies as the acquiring investment companies.
https://regulations.justia.com/regulations/fedreg/2012/09/17/2012-22792.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Amendments to the Rules
Document Number: 2012-22791
Type: Notice
Date: 2012-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/17/2012-22791.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to NOM
Document Number: 2012-22790
Type: Notice
Date: 2012-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/17/2012-22790.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols
Document Number: 2012-22789
Type: Notice
Date: 2012-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/17/2012-22789.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Complex Order Auctions
Document Number: 2012-22788
Type: Notice
Date: 2012-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/17/2012-22788.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Complex Order Auctions
Document Number: 2012-22787
Type: Notice
Date: 2012-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/17/2012-22787.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Administrative Oversight in SR-OCC-2012-10
Document Number: 2012-22786
Type: Notice
Date: 2012-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/17/2012-22786.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols
Document Number: 2012-22785
Type: Notice
Date: 2012-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/17/2012-22785.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain NYSE Arca Equities Rules To Replace References to “NYSE Amex” With “NYSE MKT” Reflecting the Recent Name Change of NYSE Amex LLC to NYSE MKT LLC
Document Number: 2012-22725
Type: Notice
Date: 2012-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/17/2012-22725.html
Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Standard No. 16, Communications With Audit Committees and Related and Transitional Amendments to PCAOB Standards
Document Number: 2012-22632
Type: Notice
Date: 2012-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/17/2012-22632.html
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