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

Results 1 - 50 of 162
Sunshine Act Meeting
Document Number: 2012-24064
Type: Notice
Date: 2012-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/28/2012-24064.html
Titan Resources International, Corp.; Order of Suspension of Trading
Document Number: 2012-24050
Type: Notice
Date: 2012-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/28/2012-24050.html
Northern Trust Investments, Inc., et al.; Notice of Application
Document Number: 2012-23858
Type: Notice
Date: 2012-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/28/2012-23858.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Accommodate Recently Proposed Equity Options That Have a Unit of Trading of 10 Shares
Document Number: 2012-23857
Type: Notice
Date: 2012-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/28/2012-23857.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Additional Series of Credit Default Index Swaps Available for Clearing
Document Number: 2012-23856
Type: Notice
Date: 2012-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/28/2012-23856.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Relating to the Clearance and Settlement of Over-the-Counter Options
Document Number: 2012-23816
Type: Notice
Date: 2012-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23816.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Members the Ability To Pay a Regulatory Fine Pursuant to an Installment Plan
Document Number: 2012-23798
Type: Notice
Date: 2012-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23798.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 13.9
Document Number: 2012-23769
Type: Notice
Date: 2012-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23769.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 13.9
Document Number: 2012-23768
Type: Notice
Date: 2012-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23768.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend Rule G-34 on CUSIP Numbers, New Issue, and Market Information Requirements
Document Number: 2012-23767
Type: Notice
Date: 2012-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23767.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 1203(a) and 1205(b) of the NYSE MKT Company Guide (“Company Guide”) To Increase the Fees Applicable to Issuers Requesting Review of a Determination To Limit or Prohibit the Continued Listing of Their Securities on the Exchange
Document Number: 2012-23766
Type: Notice
Date: 2012-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23766.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Document Number: 2012-23765
Type: Notice
Date: 2012-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23765.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Small Order Preference Priority Overlay
Document Number: 2012-23764
Type: Notice
Date: 2012-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23764.html
Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of a Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC in Order To Reflect Changes to the Capital Structure of the Company
Document Number: 2012-23763
Type: Notice
Date: 2012-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23763.html
Sunshine Act Meeting
Document Number: 2012-23762
Type: Notice
Date: 2012-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23762.html
Extension of Temporary Registration of Municipal Advisors
Document Number: 2012-23688
Type: Rule
Date: 2012-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is amending interim final temporary Rule 15Ba2-6T, which provides for the temporary registration of municipal advisors under the Securities Exchange Act of 1934 (``Exchange Act''), as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), to extend the date on which Rule 15Ba2-6T (and consequently Form MA-T) will sunset from September 30, 2012, to September 30, 2013. Under the amendment, all temporary registrations submitted pursuant to Rule 15Ba2-6T also will expire no later than September 30, 2013.
https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23688.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Amending Commentary .07 to NYSE Arca Options Rule 6.4 To Expand the Number of Expirations Available Under the Short Term Option Series Program (“STOS Program”), To Allow for the Exchange To Delist any Series in the STOS That Do Not Have Open Interest and To Expand the Number of Series in STOS Under Limited Circumstances
Document Number: 2012-23637
Type: Notice
Date: 2012-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23637.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1, Amending Rule 903(h) and Related Commentary .10 To Expand the Number of Expirations Available Under the Short Term Option Series Program (“STOS Program”), To Allow for the Exchange To Delist Any Series in the STOS That Do Not Have Open Interest and To Expand the Number of Series in STOS Under Limited Circumstances
Document Number: 2012-23636
Type: Notice
Date: 2012-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23636.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis
Document Number: 2012-23635
Type: Notice
Date: 2012-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23635.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Amend the NYSE Amex Options LLC Members Agreement To Empower the Volume Dispute Committee To Establish Principles for Determining Whether the Exchange Has Experienced a Bona Fide Systems Problem and To Adjust Certain Volume Measurements Accordingly
Document Number: 2012-23634
Type: Notice
Date: 2012-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23634.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the iShares Short Maturity Bond Fund
Document Number: 2012-23633
Type: Notice
Date: 2012-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23633.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2012-23632
Type: Notice
Date: 2012-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23632.html
Proposed Collection; Comment Request
Document Number: 2012-23601
Type: Notice
Date: 2012-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23601.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend BATS Rule 14.11, Entitled “Other Securities”
Document Number: 2012-23564
Type: Notice
Date: 2012-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23564.html
Submission for OMB Review; Comment Request
Document Number: 2012-23541
Type: Notice
Date: 2012-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23541.html
Submission for OMB Review; Comment Request
Document Number: 2012-23540
Type: Notice
Date: 2012-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23540.html
Proposed Collection; Comment Request
Document Number: 2012-23539
Type: Notice
Date: 2012-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23539.html
Submission for OMB Review; Comment Request
Document Number: 2012-23538
Type: Notice
Date: 2012-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23538.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Increase the Maximum Term for LEAPS to Fifteen Years
Document Number: 2012-23537
Type: Notice
Date: 2012-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23537.html
Sunshine Act Meeting
Document Number: 2012-23575
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23575.html
Neuberger Berman Alternative Funds, et al.; Notice of Application
Document Number: 2012-23483
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23483.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Twelve Funds of the Direxion Shares ETF Trust II Under NYSE Arca Equities Rule 8.200
Document Number: 2012-23461
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23461.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the PowerShares S&P 500 Downside Hedged Portfolio Under NYSE Arca Equities Rule 8.600
Document Number: 2012-23459
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23459.html
Financial Investors Trust, et al.; Notice of Application
Document Number: 2012-23450
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23450.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete FINRA Rule 7064A (Late Fees)
Document Number: 2012-23449
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23449.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Acceptance of Additional Interest Rate Swaps for Clearing
Document Number: 2012-23440
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23440.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rules Regarding Requests for Data Related to Exchange Reviews
Document Number: 2012-23439
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23439.html
Factor Advisors, LLC, et al.; Notice of Application
Document Number: 2012-23317
Type: Notice
Date: 2012-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/21/2012-23317.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the Price Improvement Period
Document Number: 2012-23289
Type: Notice
Date: 2012-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/21/2012-23289.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Strike Price Intervals in the Short Term Options Program
Document Number: 2012-23288
Type: Notice
Date: 2012-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/21/2012-23288.html
Enwin Resources, Inc., Order of Suspension of Trading
Document Number: 2012-23316
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23316.html
Drucker, Inc., DynaMotive Energy Systems Corp., and Gate to Wire Solutions, Inc., Order of Suspension of Trading
Document Number: 2012-23315
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23315.html
China Mobile Media Technology, Inc., Order of Suspension of Trading
Document Number: 2012-23314
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23314.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposes [sic] To Amend Commentary .06 to NYSE Arca Options Rule 6.4 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration.
Document Number: 2012-23237
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23237.html
Proposed Collection; Comment Request
Document Number: 2012-23233
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23233.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Commentary .04 to NYSE Amex Options Rule 903 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration
Document Number: 2012-23204
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23204.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal of Proposed Rule Change and Amendments Nos. 1, 2, 3 and 4 Thereto, To Require Members To Provide Customers in TRACE-Eligible Debt Securities With Additional, Transaction-Specific Disclosures and To Notify Customers of the Availability of a Disclosure Document
Document Number: 2012-23182
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23182.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Electronic Firm Fee Discount
Document Number: 2012-23181
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23181.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, To Add an Index Option Product for Trading on the Exchange
Document Number: 2012-23180
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23180.html
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
Document Number: 2012-23179
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23179.html
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