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

Results 1 - 50 of 167
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 8.600
Document Number: 2012-26740
Type: Notice
Date: 2012-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/31/2012-26740.html
Privacy Act of 1974: Systems of Records.
Document Number: 2012-26724
Type: Notice
Date: 2012-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission (``Commission'' or ``SEC'') proposes to establish a new system of records, ``Backup Care Employee and Family Records (SEC-66).'' Additionally, two existing systems of records are being revised: ``Freedom of Information Act Requests (SEC-24)'' last published in the Federal Register Volume 62, Number 176 on Thursday, September 11, 1997 and ``Child Care Subsidy Program (SEC-41)'', last published in the Federal Register Volume 65, Number 155 on Thursday, August 10, 2000.
https://regulations.justia.com/regulations/fedreg/2012/10/31/2012-26724.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: 2012-26712
Type: Notice
Date: 2012-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/31/2012-26712.html
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 Shares
Document Number: 2012-26711
Type: Notice
Date: 2012-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/31/2012-26711.html
Sunshine Act Meeting Notice
Document Number: 2012-26715
Type: Notice
Date: 2012-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26715.html
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 Futures
Document Number: 2012-26642
Type: Notice
Date: 2012-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26642.html
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 Permits
Document Number: 2012-26641
Type: Notice
Date: 2012-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26641.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to the Complex Order Auction Process
Document Number: 2012-26640
Type: Notice
Date: 2012-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26640.html
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 Fund
Document Number: 2012-26639
Type: Notice
Date: 2012-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26639.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to the Complex Order Auction Process
Document Number: 2012-26638
Type: Notice
Date: 2012-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26638.html
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 8.201
Document Number: 2012-26589
Type: Notice
Date: 2012-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26589.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change Regarding the Valuation of Securities on Deposit
Document Number: 2012-26560
Type: Notice
Date: 2012-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26560.html
Chimera Energy Corporation; Order of Suspension of Trading
Document Number: 2012-26609
Type: Notice
Date: 2012-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26609.html
Proposed Collection; Comment Request
Document Number: 2012-26541
Type: Notice
Date: 2012-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26541.html
PNC Capital Advisors, LLC, et al.; Notice of Application
Document Number: 2012-26540
Type: Notice
Date: 2012-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26540.html
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 Options
Document Number: 2012-26470
Type: Notice
Date: 2012-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26470.html
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 Clients
Document Number: 2012-26469
Type: Notice
Date: 2012-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26469.html
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 Trading
Document Number: 2012-26506
Type: Notice
Date: 2012-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26506.html
MedLink International, Inc.; Order of Suspension of Trading
Document Number: 2012-26503
Type: Notice
Date: 2012-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26503.html
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 Transactions
Document Number: 2012-26399
Type: Notice
Date: 2012-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26399.html
Legg Mason ETF Trust, et al.; Notice of Application
Document Number: 2012-26344
Type: Notice
Date: 2012-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26344.html
Neuberger Berman Alternative Funds, et al.; Notice of Application
Document Number: 2012-26341
Type: Notice
Date: 2012-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26341.html
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 Service
Document Number: 2012-26340
Type: Notice
Date: 2012-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26340.html
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)
Document Number: 2012-26339
Type: Notice
Date: 2012-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26339.html
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)
Document Number: 2012-26338
Type: Notice
Date: 2012-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26338.html
Sunshine Act Meeting Notice.
Document Number: 2012-26402
Type: Notice
Date: 2012-10-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26402.html
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 Trading
Document Number: 2012-26357
Type: Notice
Date: 2012-10-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26357.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Weekly Program
Document Number: 2012-26279
Type: Notice
Date: 2012-10-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26279.html
Proposed Collection; Comment Request
Document Number: 2012-26254
Type: Notice
Date: 2012-10-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26254.html
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 Trust
Document Number: 2012-26253
Type: Notice
Date: 2012-10-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26253.html
Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to the Investment Advisers Act of 1940
Document Number: 2012-26234
Type: Notice
Date: 2012-10-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26234.html
Trust for Professional Managers and Collins Capital Investments, LLC; Notice of Application
Document Number: 2012-26163
Type: Notice
Date: 2012-10-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26163.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Adopt a Designated Primary Market-Maker Program
Document Number: 2012-26148
Type: Notice
Date: 2012-10-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26148.html
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 Contracts
Document Number: 2012-26147
Type: Notice
Date: 2012-10-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26147.html
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 Exchange
Document Number: 2012-26146
Type: Notice
Date: 2012-10-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26146.html
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 Securities
Document Number: 2012-26145
Type: Notice
Date: 2012-10-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26145.html
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 Securities
Document Number: 2012-26144
Type: Notice
Date: 2012-10-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26144.html
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 America
Document Number: 2012-26143
Type: Notice
Date: 2012-10-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26143.html
Sunshine Act Meeting
Document Number: 2012-26149
Type: Notice
Date: 2012-10-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/23/2012-26149.html
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 Order
Document Number: 2012-25879
Type: Notice
Date: 2012-10-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25879.html
Medley Capital Corporation, et al.
Document Number: 2012-25871
Type: Notice
Date: 2012-10-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: The Company requests an order to permit it to adhere to a modified asset coverage requirement.
https://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25871.html
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 Service
Document Number: 2012-25866
Type: Notice
Date: 2012-10-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25866.html
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 Service
Document Number: 2012-25865
Type: Notice
Date: 2012-10-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25865.html
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 Access
Document Number: 2012-25864
Type: Notice
Date: 2012-10-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25864.html
Sunshine Act Meeting
Document Number: 2012-25937
Type: Notice
Date: 2012-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/19/2012-25937.html
Submission for OMB Review; Comment Request
Document Number: 2012-25739
Type: Notice
Date: 2012-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/19/2012-25739.html
Submission for OMB Review; Comment Request
Document Number: 2012-25738
Type: Notice
Date: 2012-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/19/2012-25738.html
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 so
Document Number: 2012-25736
Type: Notice
Date: 2012-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/19/2012-25736.html
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 Facility
Document Number: 2012-25654
Type: Notice
Date: 2012-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/18/2012-25654.html
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 Routing
Document Number: 2012-25653
Type: Notice
Date: 2012-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/10/18/2012-25653.html
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