Agency: Securities and Exchange Commission
Years: 20002001200220032004200520062007200820092010201120122013[FR Doc 2011-33578] 1.Self-Regulatory Organizations; Proposed Rule Changes:
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change
The Exchange proposes to amend YSE Amex Equities Rule 500 to extend the operation of the pilot program that allows Nasdaq
Published: 2011-12-30 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-33513] 2.Comment Request
Extension:
Regulation AC; OMB Control No. 32350575; SEC File No. 270517.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in the following rule: Regulation
Published: 2011-12-29 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-33361] 3.Self-Regulatory Organizations; Proposed Rule Changes:
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A).
\4\ 17 CFR 240.19b4(f)(2).
I. SelfRegulatory Organization's Statement of Terms of Substance of the Proposed Rule Change
CME is proposing to establish a new fee schedule that would
Published: 2011-12-29 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-33333] 4.Net Worth Standard for Accredited Investors
We are adopting amendments to the accredited investor standards in our rules under the Securities Act of 1933 to implement the requirements of the DoddFrank Wall Street Reform and Consumer Protection Act. The Act requires the definitions of ``accredited investor'' in our Securities Act rules to exclude the value of a person's primary residence for
Published: 2011-12-29 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-33217] 5.Self-Regulatory Organizations; Proposed Rule Changes:
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ 17 CFR 240.19b4(f)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change
FINRA is proposing to extend the pilot program in FINRA Rule 6730(e)(4) to October 26,
Published: 2011-12-28 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-33148] 6.Mine Safety Disclosure
We are adopting amendments to our rules to implement Section 1503 of the DoddFrank Wall Street Reform and Consumer Protection Act. Section 1503(a) of the Act requires issuers that are operators, or that have a subsidiary that is an operator, of a coal or other mine to disclose in their periodic reports filed with the Commission information
Published: 2011-12-28 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-33045] 7.Self-Regulatory Organizations; Proposed Rule Changes:
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change
The Exchange proposes to amend Rule 452NYSE Amex Equities and corresponding Section 723 of the NYSE Amex Company Guide
Published: 2011-12-27 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-33146] 8.Extension of Temporary Registration of Municipal Advisors
The Securities and Exchange Commission (``Commission'') is amending interim final temporary Rule 15Ba26T, which provides for the temporary registration of municipal advisors under the Securities Exchange Act of 1934 (``Exchange Act''), as amended by the DoddFrank Wall Street Reform and Consumer Protection Act (``DoddFrank Act''), to extend the
Published: 2011-12-27 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32915] 9.Comment Request
Extension:
Rule 11a11(T), OMB Control No. 32350478, SEC File No. 270428.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (``PRA'')(44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for approval of extension of
Published: 2011-12-23 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32935] 10.Applications:
Summary of Application: Applicants request an order that permits: (a) Certain openend management investment companies or series thereof to issue shares (``Shares'') redeemable in large aggregations only (``Creation Unit Aggregations''); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay
Published: 2011-12-23 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32899] 11.Intention to Cancel Registrations:
--------------------------------------------------------------------------- \1\ Section 203A of the Act generally prohibits an investment adviser from registering with the Commission unless it meets certain requirements. See Advisers Act section 203A(a)(2)(B)(ii) (amended by the DoddFrank Wall Street Reform and Consumer Protection Act, Public
Published: 2011-12-23 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32878] 12.Self-Regulatory Organizations; Proposed Rule Changes:
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change
The Exchange proposes to list and trade shares of the following under NYSE Arca Equities Rule
Published: 2011-12-23 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32920] 13.Comment Request
Extension:
Rule 24b1, OMB Control No. 32350194, SEC File No. 270205.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for approval of extension of the existing
Published: 2011-12-23 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32919] 14.Comment Request
Extension:
Rule 19d2, OMB Control No. 32350205, SEC File No. 270204.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (``PRA'') (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for extension of the existing
Published: 2011-12-23 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32921] 15.Comment Request
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (``PRA''), 44 U.S.C. Sections 35013520, the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit the existing collection of information to the Office of Management
Published: 2011-12-23 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32918] 16.Comment Request
Extension:
Rule 15c27, SEC File No. 270420, OMB Control No. 32350479.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (``PRA'') (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for approval of extension of the
Published: 2011-12-23 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32917] 17.Comment Request
Extension:
Rule 15c17, SEC File No. 270146, OMB Control No. 32350134.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (``PRA'')(44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for approval of extension of the
Published: 2011-12-23 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32916] 18.Comment Request
Extension:
Rule 15c16, SEC File No. 270423, OMB Control No. 32350472.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (``PRA'') (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (Commission) has submitted to the Office of Management and Budget (``OMB'') a request for approval of extension of the
Published: 2011-12-23 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32753] 19.Program for Allocation of Regulatory Responsibilities:
[[Page 79715]]
(``Commission'') has issued an Order, pursuant to Section 17(d) of the
Securities Exchange Act of 1934 (``Act''),\1\ approving and declaring
effective an amendment to the plan for allocating regulatory
responsibility (``Plan'') filed pursuant to Rule 17d2 of the Act,\2\
by and among BATS Exchange, Inc. (``BATS''), BATS YExchange,
Published: 2011-12-22 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32748] 20.Self-Regulatory Organizations; Proposed Rule Changes:
--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change
The ISE proposes to amend its rules relating to a pilot program to quote and to trade certain options in pennies (``Penny
Published: 2011-12-22 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32665] 21.s Data Center
I. Introduction
On October 14, 2011, NYSE Arca, Inc. (``NYSE Arca'' or the ``Exchange'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ a proposed rule change to expand the scope of potential ``Users'' of its
Published: 2011-12-21 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2011-32575] 22.Meetings:
The Securities and Exchange Commission Advisory Committee on
Small and Emerging Companies is providing notice that it will hold a
public telephone meeting on Friday, January 6, 2012, beginning at 1
p.m. Members of the public may attend the meeting by listening to the
Webcast accessible on the Commission's Web site at Published: 2011-12-21
SECURITIES AND EXCHANGE COMMISSION :
SECURITIES AND EXCHANGE COMMISSION --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1). The Exchange proposes to amend Chapter V, Section 33 (Penny Pilot
Program) of the Rules of the Boston Options Exchange Published: 2011-12-21
SECURITIES AND EXCHANGE COMMISSION :
SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission is today publishing a
list of rules to be reviewed pursuant to Section 610 of the Regulatory
Flexibility Act. The list is published to provide the public with
notice that these rules are scheduled for review by the agency and to
invite public comment on them. Published: 2011-12-21
SECURITIES AND EXCHANGE COMMISSION :
SECURITIES AND EXCHANGE COMMISSION Published: 2011-12-20
SECURITIES AND EXCHANGE COMMISSION :
SECURITIES AND EXCHANGE COMMISSION [FR Doc
2011-32661] 23.Self-Regulatory Organizations; Proposed Rule Changes:
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change[FR Doc
2011-32537] 24.List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
[FR Doc
2011-32601] 25.Sunshine Act Meeting