Department: SECURITIES AND EXCHANGE COMMISSION
Years: 20002001200220032004200520062007200820092010201120122013[FR Doc 2012-31221] 1.Temporary Rule Regarding Principal Trades With Certain Advisory Clients
The Securities and Exchange Commission is amending rule 206(3)3T under the Investment Advisers Act of 1940, a temporary rule that establishes an alternative means for investment advisers who are registered with the Commission as brokerdealers to meet the requirements of section 206(3) of the Investment Advisers Act when they act in a principal
Published: 2012-12-31 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-31162] 2.Decimalization Roundtable
The staff of the Securities and Exchange Commission will host a one day roundtable to discuss the impact of tick sizes on small and midsized companies, market professionals, investors, and U.S. securities markets.
The roundtable discussion will be held in Room L006 (the multi purpose room) of the Securities and Exchange Commission headquarters
Published: 2012-12-28 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-31153] 3.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 the Substance of the Proposed Rule Change
NASDAQ proposes to modify Chapter XV, entitled ``Options Pricing,'' governing pricing for NASDAQ members using the
Published: 2012-12-28 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-31129] 4.Self-Regulatory Organizations; Proposed Rule Changes:
[[Page 76312]]
with the Securities and Exchange Commission (``Commission'') the
advance notice described in Items I and II below, which Items have been
prepared primarily by FICC. This publication serves as notice of no
objection to the advance notice and solicits comments on the advance notice from interested persons.
\1\ 12 U.S.C. 5465(e)(1).
Published: 2012-12-27 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30893] 5.Applications:
Summary of Application: Applicants request an Order that would permit (a) series of certain openend management investment companies to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds,
Published: 2012-12-26 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-31022] 6.Comment Request
Extension:
Form NMFP, OMB Control No. 32350657, SEC File No. 270604.
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 (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved
Published: 2012-12-26 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-31151] 7.Trading Suspension Orders:
By the Commission.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 201231151 Filed 122112; 4:15 pm]
BILLING CODE 801101P
Published: 2012-12-26 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30889] 8.Orders Granting Limited Exemptions from Exchange Act Rules:
[[Page 76107]]
of at least 50,000 shares (``Creation Units'').
The Trust is registered with the Commission under the Investment Company Act of 1940, as amended (``1940 Act'') as an openend management investment company. Each Fund seeks to track the performance of a particular underlying index (``Index''), which for each Fund is comprised of
Published: 2012-12-26 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30892] 9.Comment Request
Extension: Rule 38a1.
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 (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.
Rule 38a1
Published: 2012-12-26 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-31023] 10.Orders Suspending Trading:
By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 201231023 Filed 122012; 4:15 pm]
BILLING CODE 801101P
Published: 2012-12-26 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-31030] 11.Sunshine Act Meeting
Published: 2012-12-26 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-31020] 12.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 purpose of the proposed rule change is to adopt new rules that will provide the basis for ICC to clear additional
Published: 2012-12-26 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30790] 13.Comment Request
Extension:
Rule 17Ad13; SEC File No. 270263; OMB Control No. 32350275.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for approval of extension of
Published: 2012-12-21 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30791] 14.Comment Request
Extension:
Appendix F to Rule 15c31; SEC File No. 270440; OMB Control No. 32350496.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in Appendix
Published: 2012-12-21 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30789] 15.Comment Request
Extension:
Rule 17g4; SEC File No. 270566; OMB Control No. 32350627.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in Rule 17g4 (17 CFR
Published: 2012-12-21 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30794] 16.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 extend the temporary suspension of those aspects of Rules 36.20Equities
Published: 2012-12-21 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30649] 17.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)(iii).
\4\ 17 CFR 240.19b4(f)(4)(i).
I. SelfRegulatory Organization's Statement of Terms of Substance of the Proposed Rule Change
As discussed below, this rule change will make
Published: 2012-12-20 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30553] 18.Orders Granting Conditional Exemptions under Securities Exchange Act of
The Securities and Exchange Commission (``SEC'' or ``Commission'') is issuing an order granting conditional exemptive relief from compliance with certain provisions of the Securities Exchange Act of 1934 (``Exchange Act'') in connection with a program to commingle and portfolio margin customer positions in cleared credit default swaps (``CDS''),
Published: 2012-12-19 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30665] 19.Orders Suspending Trading:
By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 201230665 Filed 121712; 11:15 am]
BILLING CODE 801101P
Published: 2012-12-19 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30499] 20.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 amend Commentary .02 to NYSE Arca Options Rule 6.72 in order to extend the
Published: 2012-12-19 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30551] 21.Applications:
Summary of Application: Applicants request an order that would permit: (a) series of certain openend management investment companies to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption
Published: 2012-12-19 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30552] 22.Sunshine Act Meeting
Dated: December 13, 2012.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 201230552 Filed 121412; 4:15 pm]
BILLING CODE 801101P
Published: 2012-12-18 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc C1-2012-29218] 23.Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make
Correction
In notice document 201229218 appearing on pages 71850 through 71852 in the issue of Tuesday, December 4, 2012, make the following correction:
[[Page 74896]]
On page 71850, in the first column, the release number should read as set forth above.
[FR Doc. C1201229218 Filed 121712; 8:45 am]
BILLING CODE 150105P
Published: 2012-12-18 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30380] 24.Applications:
Applicants: Cambria Investment Management, L.P. (``Cambria'') and Cambria ETF Trust (the ``Trust'').
Summary of Application: Applicants request an order that permits: (a)
Activelymanaged series of certain openend management investment
companies to issue shares (``Shares'') redeemable in large aggregations
only (``Creation Units''); (b) secondary
Published: 2012-12-18 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
[FR Doc 2012-30427] 25.Order Granting Exemptions From Certain Rules of Regulation SHO Related to
I. Introduction
Hurricane Sandy made landfall along the midAtlantic Coast on October 29, 2012. The Depository Trust & Clearing Corporation (``DTCC'') reported that its headquarters location in lower Manhattan sustained significant water damage as a result of storm flooding. In particular, DTCC reported that significant flooding and water damage
Published: 2012-12-18 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION
Years: 20002001200220032004200520062007200820092010201120122013