Thursday, April 19, 2012

TFOG 4/19/12 Treasury / IRS Rulemaking, SBA, SEC + SROs in overview

TFOG- 4/19/12 - a scan of some of the Rules Today from Our Government with Impact on Financials:



Treasury / IRS - Final Rule - Guidance on Reporting Interest to Non Resident Aliens

2012-9520



Treasury / IRS - Prop Rule - Examples of Program Related Investments:


2012-9468


Small Business Administration - Final Rule - Small Business Investment Companies - Energy Saving Qualified Investments


2012-9454



From the SEC on SROs in overview:


Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders 
Pages 23521-23524 [FR DOC# 2012-9404]
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Option Fees 
Pages 23528-23531 [FR DOC# 2012-9406]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(h)(4) To Make Passive Liquidity Orders in Exchange-Listed Securities Available to All Users, Regardless of Whether a Lead Market Maker Is Assigned to the Security 
Pages 23534-23536 [FR DOC# 2012-9409]

Self-Regulatory Organizations; Proposed Rule Changes:
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing 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 
Pages 23524-23527 [FR DOC# 2012-9405]

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1014 
Pages 23531-23532 [FR DOC# 2012-9407]

Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of a Proposed Rule Change Amending NYSE Amex Rule 476A To Update Its “List of Equities Rule Violations and Fines Applicable Thereto” 
Pages 23532-23534 [FR DOC# 2012-9408]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(t) To Provide for Limit-on-Open Orders and Market-on-Open Orders 
Pages 23536-23538 [FR DOC# 2012-9410]



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