Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/10?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T07:41:15-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2012/10/31/2012-26740.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the Pring Turner Business Cycle ETF Under NYSE Arca Equities Rule 8.6002012-10-31T00:00:00-07:002012-10-31T00:00:00-07:002012-26740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-31/pdf/2012-26740.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/31/2012-26724.htmlNotice - Privacy Act of 1974: Systems of Records.2012-10-31T00:00:00-07:002012-10-31T00:00:00-07:002012-26724Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-31/pdf/2012-26724.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/31/2012-26712.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-10-31T00:00:00-07:002012-10-31T00:00:00-07:002012-26712Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-31/pdf/2012-26712.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/31/2012-26711.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Accelerated Approval of Proposed Rule Change To Accommodate Equity Options That Have a Unit of Trading of 10 Shares2012-10-31T00:00:00-07:002012-10-31T00:00:00-07:002012-26711Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-31/pdf/2012-26711.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26715.htmlNotice - Sunshine Act Meeting Notice2012-10-30T00:00:00-07:002012-10-30T00:00:00-07:002012-26715Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26715.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26642.htmlNotice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt and Amend Certain Rules That Are Applicable to Security Futures2012-10-30T00:00:00-07:002012-10-30T00:00:00-07:002012-26642Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26642.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26641.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Change the Monthly Cost for Option Trading Permits2012-10-30T00:00:00-07:002012-10-30T00:00:00-07:002012-26641Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26641.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26640.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to the Complex Order Auction Process2012-10-30T00:00:00-07:002012-10-30T00:00:00-07:002012-26640Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26640.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26639.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the iShares Sovereign Screened Global Bond Fund2012-10-30T00:00:00-07:002012-10-30T00:00:00-07:002012-26639Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26639.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26638.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to the Complex Order Auction Process2012-10-30T00:00:00-07:002012-10-30T00:00:00-07:002012-26638Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26638.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26589.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To List and Trade Units of the Sprott Physical Platinum and Palladium Trust Pursuant to NYSE Arca Equities Rule 8.2012012-10-30T00:00:00-07:002012-10-30T00:00:00-07:002012-26589Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26589.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26560.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change Regarding the Valuation of Securities on Deposit2012-10-30T00:00:00-07:002012-10-30T00:00:00-07:002012-26560Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26560.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26609.htmlNotice - Chimera Energy Corporation; Order of Suspension of Trading2012-10-29T00:00:00-07:002012-10-29T00:00:00-07:002012-26609Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-29/pdf/2012-26609.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26541.htmlNotice - Proposed Collection; Comment Request2012-10-29T00:00:00-07:002012-10-29T00:00:00-07:002012-26541Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-29/pdf/2012-26541.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26540.htmlNotice - PNC Capital Advisors, LLC, et al.; Notice of Application2012-10-29T00:00:00-07:002012-10-29T00:00:00-07:002012-26540Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-29/pdf/2012-26540.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26470.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Increase Position and Exercise Limits for EEM Options2012-10-29T00:00:00-07:002012-10-29T00:00:00-07:002012-26470Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-29/pdf/2012-26470.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26469.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Fees for New Optional Wireless Connectivity for Co-located Clients2012-10-29T00:00:00-07:002012-10-29T00:00:00-07:002012-26469Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-29/pdf/2012-26469.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26506.htmlNotice - In the Matter of China Voice Holding Corp., China Yongxin Pharmaceuticals, Inc., Creative Technologies Holdings, Inc., Crestek, Inc., Crys*Tel Telecommunications.com, Inc. (n/k/a Fleet Management Solutions, Inc.), CSI Computer Specialists, Inc., and CST Entertainment, Inc. (n/k/a Legacy Holding, Inc.); Order of Suspension of Trading2012-10-26T00:00:00-07:002012-10-26T00:00:00-07:002012-26506Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26506.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26503.htmlNotice - MedLink International, Inc.; Order of Suspension of Trading2012-10-26T00:00:00-07:002012-10-26T00:00:00-07:002012-26503Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26503.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26399.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions2012-10-26T00:00:00-07:002012-10-26T00:00:00-07:002012-26399Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26399.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26344.htmlNotice - Legg Mason ETF Trust, et al.; Notice of Application2012-10-26T00:00:00-07:002012-10-26T00:00:00-07:002012-26344Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26344.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26341.htmlNotice - Neuberger Berman Alternative Funds, et al.; Notice of Application2012-10-26T00:00:00-07:002012-10-26T00:00:00-07:002012-26341Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26341.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26340.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving a Proposed Rule Change To Amend the Real-Time Transaction Reporting System Information System and Subscription Service2012-10-26T00:00:00-07:002012-10-26T00:00:00-07:002012-26340Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26340.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26339.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)2012-10-26T00:00:00-07:002012-10-26T00:00:00-07:002012-26339Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26339.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26338.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of “Money Market Instrument” in FINRA Rule 6710(o)2012-10-26T00:00:00-07:002012-10-26T00:00:00-07:002012-26338Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26338.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26402.htmlNotice - Sunshine Act Meeting Notice.2012-10-25T00:00:00-07:002012-10-25T00:00:00-07:002012-26402Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-25/pdf/2012-26402.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26357.htmlNotice - In the Matter of Fearless International, Inc., Glassmaster Company, Global Entertainment Holdings/Equities, Inc., Global Realty Development Corp., Global Roaming Distribution, Inc., and Gottaplay Interactive, Inc.; Order of Suspension of Trading2012-10-25T00:00:00-07:002012-10-25T00:00:00-07:002012-26357Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-25/pdf/2012-26357.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26279.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Weekly Program2012-10-25T00:00:00-07:002012-10-25T00:00:00-07:002012-26279Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-25/pdf/2012-26279.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26254.htmlNotice - Proposed Collection; Comment Request2012-10-25T00:00:00-07:002012-10-25T00:00:00-07:002012-26254Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-25/pdf/2012-26254.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26253.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Global Corporate Bond Fund of the WisdomTree Trust2012-10-25T00:00:00-07:002012-10-25T00:00:00-07:002012-26253Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-25/pdf/2012-26253.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26234.htmlNotice - Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to the Investment Advisers Act of 19402012-10-25T00:00:00-07:002012-10-25T00:00:00-07:002012-26234Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-25/pdf/2012-26234.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26163.htmlNotice - Trust for Professional Managers and Collins Capital Investments, LLC; Notice of Application2012-10-24T00:00:00-07:002012-10-24T00:00:00-07:002012-26163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26163.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26148.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Adopt a Designated Primary Market-Maker Program2012-10-24T00:00:00-07:002012-10-24T00:00:00-07:002012-26148Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26148.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26147.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 Update the Contract Reference Obligation ISINs Associated With Eight Single Name Contracts2012-10-24T00:00:00-07:002012-10-24T00:00:00-07:002012-26147Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26147.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26146.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Maker Fees for Certain Complex Orders Executed on the Exchange2012-10-24T00:00:00-07:002012-10-24T00:00:00-07:002012-26146Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26146.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26145.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 To Add a New Paragraph (c)(3) Addressing the Authority of the Exchange or Archipelago Securities LLC To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account for Arca Securities2012-10-24T00:00:00-07:002012-10-24T00:00:00-07:002012-26145Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26145.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26144.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17-Equities To Add a New Paragraph (c)(3) Addressing the Authority of the Exchange or Archipelago Securities LLC To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account for Arca Securities2012-10-24T00:00:00-07:002012-10-24T00:00:00-07:002012-26144Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26144.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26143.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 102.01 and 103.00 of the Exchange's Listed Company Manual To Permit the Consideration of Stockholders and Trading Volume in the Company's Home Country Market or Primary Trading Market Outside the United States, Provided Such Market is a Regulated Stock Exchange, When Determining the Qualification for Initial Listing Under Section 102.01 of a Company From Outside North America2012-10-24T00:00:00-07:002012-10-24T00:00:00-07:002012-26143Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26143.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/23/2012-26149.htmlNotice - Sunshine Act Meeting2012-10-23T00:00:00-07:002012-10-23T00:00:00-07:002012-26149Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-23/pdf/2012-26149.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25879.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Rules To Clarify the Handling of Zero Displayed Reserve Orders During Crossed Markets and To Add a Definition of a Primary Peg Order2012-10-22T00:00:00-07:002012-10-22T00:00:00-07:002012-25879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-22/pdf/2012-25879.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25871.htmlNotice - Medley Capital Corporation, et al.2012-10-22T00:00:00-07:002012-10-22T00:00:00-07:002012-25871Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-22/pdf/2012-25871.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25866.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Assess a Monthly Fee for Subscription to the QView Service2012-10-22T00:00:00-07:002012-10-22T00:00:00-07:002012-25866Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-22/pdf/2012-25866.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25865.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Assess a Monthly Fee for Subscription to the QView Service2012-10-22T00:00:00-07:002012-10-22T00:00:00-07:002012-25865Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-22/pdf/2012-25865.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25864.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend CME Rule 971 To Require FCM Clearing Members To Provide Certain View-Only Access2012-10-22T00:00:00-07:002012-10-22T00:00:00-07:002012-25864Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-22/pdf/2012-25864.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/19/2012-25937.htmlNotice - Sunshine Act Meeting2012-10-19T00:00:00-07:002012-10-19T00:00:00-07:002012-25937Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-19/pdf/2012-25937.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/19/2012-25739.htmlNotice - Submission for OMB Review; Comment Request2012-10-19T00:00:00-07:002012-10-19T00:00:00-07:002012-25739Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-19/pdf/2012-25739.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/19/2012-25738.htmlNotice - Submission for OMB Review; Comment Request2012-10-19T00:00:00-07:002012-10-19T00:00:00-07:002012-25738Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-19/pdf/2012-25738.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/19/2012-25736.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Certain Disclosure Requirements To Require Listed Companies To Publicly Describe the Specific Basis and Concern Identified by Nasdaq When a Company Does Not Meet a Listing Standard and Give Nasdaq the Authority To Make Such Public Announcement When a Listed Company Fails To Do so2012-10-19T00:00:00-07:002012-10-19T00:00:00-07:002012-25736Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-19/pdf/2012-25736.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/18/2012-25654.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Phlx's Fee Schedule Governing Order Execution on Its NASDAQ OMX PSX Facility2012-10-18T00:00:00-07:002012-10-18T00:00:00-07:002012-25654Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-18/pdf/2012-25654.pdfhttps://regulations.justia.com/regulations/fedreg/2012/10/18/2012-25653.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX's Fee Schedule Governing Order Execution and Routing2012-10-18T00:00:00-07:002012-10-18T00:00:00-07:002012-25653Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-10-18/pdf/2012-25653.pdf