Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2012/11/15?limit=200®isters=between&mode=atom2024-10-04T20:36:20-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27867.htmlNotice - Sunshine Act Meeting2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27867Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27867.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27779.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Assessed Under Section VII. C. of the Pricing Schedule2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27779Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27779.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27778.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Assessed Under Rule 7003(a)2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27778Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27778.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27777.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 and .07 to NYSE Arca Rule 6.4 Regarding Strike Price Intervals for Classes in the Short Term Option Series Program2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27777Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27777.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27775.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary to Exchange Rule 903 Regarding Strike Price Intervals for Classes in the Short Term Option Series Program2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27775.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27765.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Repeal the Changes Described in SR-FINRA-2011-0192012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27765.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27763.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend EDGX Rule 11.5(c) To Add the Edge Market CloseSM2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27763.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27720.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of Proposed Rule Change, as Modified by 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 Series in the STOS Program That Do Not Have Open Interest, and To Expand the Number of Series in the STOS Program Under Limited Circumstances2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27720Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27720.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27719.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend 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 Series in the STOS Program That Do Not Have Open Interest, and To Expand the Number of Series in the STOS Program Under Limited Circumstances2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27719Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27719.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27718.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Deleting NYSE MKT Rules 95(c) and (d)-Equities and Related Supplementary Material2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27718Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27718.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27717.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Deleting NYSE Rules 95(c) and (d) and Related Supplementary Material2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27717Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27717.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27716.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Options Regulatory Fee and To Revise the Circumstances Under Which NYSE Amex Options LLC Will Collect the Options Regulatory Fee2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27716Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27716.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27715.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Single-Sided Orders Fees and Rebates2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27715Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27715.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27714.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Its Fee Schedule To Increase Its DEA Fees2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27714Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27714.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27713.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Its Fee Schedule To Amend Its Institutional Broker Credits2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27713Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27713.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27712.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Relating to Pricing Applicable to Electronic Transactions in Non-Penny Pilot Issues2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27712Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27712.pdf