Securities and Exchange Commission October 12, 2012 – Federal Register Recent Federal Regulation Documents

Results 1 - 21 of 21
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing From an Affiliated Exchange
Document Number: 2012-25130
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25130.html
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Document Number: 2012-25116
Type: Proposed Rule
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is proposing to amend rule 206(3)-3T under the Investment Advisers Act of 1940, a temporary rule that establishes an alternative means for investment advisers that are registered with the Commission as broker-dealers to meet the requirements of section 206(3) of the Investment Advisers Act when they act in a principal capacity in transactions with certain of their advisory clients. The amendment would extend the date on which rule 206(3)-3T will sunset from December 31, 2012 to December 31, 2014.
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25116.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer the ACT Reject Scan and Assess a Related Fee
Document Number: 2012-25106
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25106.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 4758(a)(1)(A) To Reflect a Change in Its Routing Functionality To Allow Routable Orders To Simultaneously Execute Against Exchange Available Shares and Route to Other Markets for Execution of the Remainder of the Order
Document Number: 2012-25105
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25105.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 3315(a)(1)(A) To Reflect a Change in Its Routing Functionality To Allow Routable Orders to Simultaneously Execute Against Exchange Available Shares and Route to Other Markets for Execution of the Remainder of the Order
Document Number: 2012-25104
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25104.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise CDS Procedures Related to Clearing Certainty Requirements
Document Number: 2012-25103
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25103.html
Submission for OMB Review; Comment Request
Document Number: 2012-25092
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25092.html
Submission for OMB Review; Comment Request
Document Number: 2012-25091
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25091.html
Submission for OMB Review; Comment Request
Document Number: 2012-25090
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25090.html
Submission for OMB Review; Comment Request
Document Number: 2012-25089
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25089.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice and Notice of No Objection To Replace The Options Clearing Corporation's Credit Facility
Document Number: 2012-25088
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25088.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to NYSE Arca Rule 6.8 Adopting a Pilot Program Eliminating Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund,1
Document Number: 2012-25087
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25087.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Pilot Program To Eliminate Position and Exercise Limits in SPY Options
Document Number: 2012-25086
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25086.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Position Limits for SPY Options on a Pilot Basis
Document Number: 2012-25085
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25085.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing From an Affiliated Exchange
Document Number: 2012-25084
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25084.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing From an Affiliated Exchange
Document Number: 2012-25083
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25083.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Assessed Under Rule 7003(a)
Document Number: 2012-25082
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25082.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for Singly Listed Options
Document Number: 2012-25081
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25081.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Closing Rotation Procedures for S&P 500 Index Options
Document Number: 2012-25080
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25080.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Rules Related To Legal Segregation With Operational Commingling
Document Number: 2012-25079
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25079.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Comply With CFTC Part 22 Regulations
Document Number: 2012-25078
Type: Notice
Date: 2012-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25078.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.