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

Results 101 - 150 of 2,063
Sunshine Act Meeting
Document Number: 2012-30552
Type: Notice
Date: 2012-12-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30552.html
Order Granting Exemptions From Certain Rules of Regulation SHO Related to Hurricane Sandy
Document Number: 2012-30427
Type: Notice
Date: 2012-12-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30427.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule
Document Number: 2012-30406
Type: Notice
Date: 2012-12-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30406.html
Extension of Dates for Certain Requirements and Amendment of Form 19b-4
Document Number: 2012-30389
Type: Rule
Date: 2012-12-18
Agency: Securities and Exchange Commission, Agencies and Commissions
On December 10, 2012, the Securities and Exchange Commission (``Commission'') published a document in the Federal Register to amend its regulations under the Securities Exchange Act of 1934 (``Exchange Act'') to extend the dates with respect to the requirements that designated clearing agencies for which the Commission is the supervisory agency file advance notices and clearing agencies file security-based swap submissions with the Commission in an electronic format to dedicated email addresses to December 10, 2013, and amend the General Instructions to Form 19b-4 to clarify the process for submitting advance notices and security-based swap submissions to the Commission. The document contained an error with respect to the placement and numbering of a footnote.
https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30389.html
Cambria Investment Management, L.P. and Cambria ETF Trust; Notice of Application
Document Number: 2012-30380
Type: Notice
Date: 2012-12-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30380.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the MIAX Options Fee Schedule
Document Number: 2012-30379
Type: Notice
Date: 2012-12-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30379.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Require Members To Report the Factor to TRACE in Asset-Backed Security Transactions (Except an Asset-Backed Security Traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission
Document Number: 2012-30378
Type: Notice
Date: 2012-12-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30378.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees
Document Number: 2012-30377
Type: Notice
Date: 2012-12-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30377.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Market Maker Pre-Opening Obligations on BOX
Document Number: 2012-30376
Type: Notice
Date: 2012-12-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30376.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of the Pring Turner Business Cycle ETF Under NYSE Arca Equities Rule 8.600
Document Number: 2012-30325
Type: Notice
Date: 2012-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30325.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Amend the NYSE Amex Options Fee Schedule for Professional Customers and Broker-Dealers To Modify Existing Volume-Based Tiers and the Associated Rate per Contract for Certain Electronic Executions
Document Number: 2012-30324
Type: Notice
Date: 2012-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30324.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategies
Document Number: 2012-30323
Type: Notice
Date: 2012-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30323.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule
Document Number: 2012-30321
Type: Notice
Date: 2012-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30321.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Allow Manual Orders Entered Into the Exchange's Electronic Order Capture System or Entered Into an Order Entry Device and Contemporaneously Recorded Into the EOC System To Qualify for the Manual Transaction Fee
Document Number: 2012-30290
Type: Notice
Date: 2012-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30290.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority To Direct the Appearance of Associated Person Witnesses and the Production of Documents Without Subpoenas
Document Number: 2012-30273
Type: Notice
Date: 2012-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30273.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Accommodate Certain Physically-Settled Options on U.S. Treasury Securities
Document Number: 2012-30272
Type: Notice
Date: 2012-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30272.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity
Document Number: 2012-30271
Type: Notice
Date: 2012-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30271.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule Change Regarding the Valuation of Securities on Deposit
Document Number: 2012-30270
Type: Notice
Date: 2012-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30270.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for SOX, OSX and HGX
Document Number: 2012-30269
Type: Notice
Date: 2012-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30269.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Position and Exercise Limits in EEM Options
Document Number: 2012-30268
Type: Notice
Date: 2012-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30268.html
Sunshine Act Meeting
Document Number: 2012-30326
Type: Notice
Date: 2012-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30326.html
In the Matter of the Hartcourt Companies, Inc., Hawksdale Financial Visions, Inc. (n/k/a Advanced Medical Institute, Inc.), Healthcare Providers Direct, Inc., Heartland Oil & Gas Corp., Hellenic Solutions Corp., and HIV-VAC, Inc. (n/k/a Grupo International, Inc.); Order of Suspension of Trading
Document Number: 2012-30301
Type: Notice
Date: 2012-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30301.html
Encore Clean Energy, Inc., Energy & Engine Technology Corp., Equity Media Holdings Corporation, eTotalSource, Inc., Extensions, Inc., Firepond, Inc., and GNC Energy Corporation; Order Withdrawing Trading Suspension as to Extensions, Inc.
Document Number: 2012-30299
Type: Notice
Date: 2012-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30299.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the NASDAQ Options Market (“NOM”) With Respect to the Authority of the Exchange or Nasdaq Options Services LLC (“NOS”) To Cancel Options Orders When a Technical or System Issue Occurs and To Describe the Operation of an Error Account for NOS
Document Number: 2012-30211
Type: Notice
Date: 2012-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30211.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change With Respect to the Authority of the Exchange or Nasdaq Options Services LLC (“NOS”) To Cancel Options Orders When a Technical or System Issue Occurs and To Describe the Operation of an Error Account for NOS
Document Number: 2012-30169
Type: Notice
Date: 2012-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30169.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposal with Respect to the Authority of the Exchange or Nasdaq Options Services LLC (“NOS”) To Cancel Options Orders when a Technical or System Issue Occurs and To Describe the Operation of an Error Account for NOS
Document Number: 2012-30168
Type: Notice
Date: 2012-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30168.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule
Document Number: 2012-30167
Type: Notice
Date: 2012-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30167.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule
Document Number: 2012-30166
Type: Notice
Date: 2012-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30166.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the iShares Sovereign Screened Global Bond Fund
Document Number: 2012-30165
Type: Notice
Date: 2012-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30165.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend and Adopt Several NASDAQ Rules To Reflect Changes to Rules of the Financial Industry Regulatory Authority (“FINRA”)
Document Number: 2012-30164
Type: Notice
Date: 2012-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30164.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(h)(7) To Permit PL Select Orders To Interact With Incoming Orders Larger Than the Size of the PL Select Order
Document Number: 2012-30163
Type: Notice
Date: 2012-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30163.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Establish Optional TRACE Data Delivery Services and Related Fees
Document Number: 2012-30106
Type: Notice
Date: 2012-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30106.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Payment for Order Flow Fees
Document Number: 2012-30104
Type: Notice
Date: 2012-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30104.html
T. Rowe Price Associates, Inc., et al.; Notice of Application
Document Number: 2012-30054
Type: Notice
Date: 2012-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30054.html
PNC Capital Advisors, LLC, et al.; Notice of Application
Document Number: 2012-30053
Type: Notice
Date: 2012-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30053.html
Lord, Abbett & Co. LLC, et al.; Notice of Application
Document Number: 2012-30052
Type: Notice
Date: 2012-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30052.html
Hatteras Variable Trust, et al.; Notice of Application
Document Number: 2012-30051
Type: Notice
Date: 2012-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30051.html
ING Investments, LLC, et al.; Notice of Application
Document Number: 2012-30050
Type: Notice
Date: 2012-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30050.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books)
Document Number: 2012-30049
Type: Notice
Date: 2012-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30049.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 952NY With Respect to Opening Trading in an Options Series
Document Number: 2012-30048
Type: Notice
Date: 2012-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30048.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing And Immediate Effectiveness of Proposed Rule Change to Allow for the Split-Price Priority Provisions to Apply to Open Outcry Trading of Cabinet Trades
Document Number: 2012-30047
Type: Notice
Date: 2012-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30047.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Modify the NYSE Amex Options Fee Schedule Regarding the Manner in Which Funds From Marketing Charges Are Controlled
Document Number: 2012-30046
Type: Notice
Date: 2012-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30046.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 903 To Provide That the Exchange May Not List Short Term Option Series Expirations That Coincide With the Expiration of Quarterly Option Series on the Same Class
Document Number: 2012-30045
Type: Notice
Date: 2012-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30045.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner in Which New York Stock Exchange LLC Calculates Certain Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by the Exchange on November 12, 2012
Document Number: 2012-29966
Type: Notice
Date: 2012-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29966.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Orders
Document Number: 2012-29965
Type: Notice
Date: 2012-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29965.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Document Number: 2012-29964
Type: Notice
Date: 2012-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29964.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Establish the Market Quality Program
Document Number: 2012-29960
Type: Notice
Date: 2012-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29960.html
Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Adjustments for Cash Dividends and Distributions in Respect of Options Overlying Less than 100 Shares To Accommodate the Trading of Mini Options
Document Number: 2012-29930
Type: Notice
Date: 2012-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29930.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: 2012-29929
Type: Notice
Date: 2012-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29929.html
Mutual of America Life Insurance Company, et al;
Document Number: 2012-29858
Type: Notice
Date: 2012-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29858.html
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