Securities and Exchange Commission October 15, 2012 – Federal Register Recent Federal Regulation Documents

Results 1 - 12 of 12
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Update Its Rule 31.10-Corporate Governance-in Order To Comply With New Rule 10C-1 Under the Securities Exchange Act of 1934
Document Number: 2012-25283
Type: Notice
Date: 2012-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/15/2012-25283.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Schedule 502 of the ICC Rules
Document Number: 2012-25282
Type: Notice
Date: 2012-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/15/2012-25282.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Listing Rules for Compensation Committees To Comply With Rule 10C-1 Under the Exchange Act and Make Other Related Changes
Document Number: 2012-25281
Type: Notice
Date: 2012-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/15/2012-25281.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No.1, To Adopt Listing Standards Related to Certain Compensation Committee and Compensation Adviser Requirements
Document Number: 2012-25280
Type: Notice
Date: 2012-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/15/2012-25280.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Further That the Provisions of the Rule 800 Series Are Not Effective To Permit the Listing of Securities and Include a Reference on the Need To Comply With Rule 10C-1 Under the Securities Exchange Act of 1934 Should the Exchange List Equity Securities in the Future
Document Number: 2012-25279
Type: Notice
Date: 2012-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/15/2012-25279.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No.1, Amending Sections 303A.00, 303A.02(a) and 303A.05 of the Exchange's Listed Company Manual To Comply With the Requirements of Securities and Exchange Commission Rule 10C-1
Document Number: 2012-25278
Type: Notice
Date: 2012-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/15/2012-25278.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Modify the Listing Rules for Compensation Committees To Comply With Rule 10C-1 under the Exchange Act and Make Other Related Changes
Document Number: 2012-25223
Type: Notice
Date: 2012-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/15/2012-25223.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Sections 110, 801, 803 and 805 of the Exchange's Company Guide To Comply With the Requirements of Securities and Exchange Commission Rule 10C-1
Document Number: 2012-25222
Type: Notice
Date: 2012-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/15/2012-25222.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(k)(4) To Comply With the Requirements of Securities and Exchange Commission Rule 10C-1
Document Number: 2012-25221
Type: Notice
Date: 2012-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/15/2012-25221.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Certain Proprietary Options Market Data Products
Document Number: 2012-25220
Type: Notice
Date: 2012-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/15/2012-25220.html
Investor Advisory Committee
Document Number: 2012-25219
Type: Notice
Date: 2012-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a telephonic meeting on Friday, October 12, 2012. The meeting will begin at 12:00 p.m. (EDT) and end at 1:00 p.m. and will be open to the public via telephone at 1-866-606-4717, participant code 3877211. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The agenda for the meeting includes discussion of and voting on a recommendation from the Investor as Purchaser subcommittee regarding the Jumpstart Our Business Startups Act (JOBS Act) requirements on general solicitation and general advertising in Rule 506 private placements.
https://regulations.justia.com/regulations/fedreg/2012/10/15/2012-25219.html
Adoption of Updated EDGAR Filer Manual
Document Number: 2012-24998
Type: Rule
Date: 2012-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to support public dissemination of previously submitted draft registration statements either under the JOBS Act or the Division of Corporation Finance's foreign private issuer policy; support PDF as an official filing format for submission type 40-33 and 40-33/A; support changes in the beneficiary account and receiver American Bank Association number and name for fee payments made for filings; and allow a future period date up to the next business date for Form 8-K. The EDGAR system is scheduled to be upgraded to support this functionality on October 1, 2012.
https://regulations.justia.com/regulations/fedreg/2012/10/15/2012-24998.html
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