Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2011/02?limit=200®isters=between&min-day=1&max-day=28&mode=atom2024-05-23T20:11:15-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2011/02/28/2011-4500.htmlNotice - Sunshine Act Meeting2011-02-28T00:00:00-08:002011-02-28T00:00:00-08:002011-4500Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-28/pdf/2011-4500.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/28/2011-4496.htmlNotice - Bio-Life Labs, Inc., BSI2000, Inc., Calais Resources, Inc., EGX Funds Transfer, Inc., Great Western Land Recreation, Inc. (a/k/a Great Western Land and Recreation, Inc.), and Id-CONFIRM, Inc., Order of Suspension of Trading2011-02-28T00:00:00-08:002011-02-28T00:00:00-08:002011-4496Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-28/pdf/2011-4496.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/28/2011-4391.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendments to Rule G-23, on Activities of Financial Advisors2011-02-28T00:00:00-08:002011-02-28T00:00:00-08:002011-4391Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-28/pdf/2011-4391.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/28/2011-2696.htmlProposed Rule - Registration and Regulation of Security-Based Swap Execution Facilities2011-02-28T00:00:00-08:002011-02-28T00:00:00-08:002011-2696Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-28/pdf/2011-2696.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/25/2011-4289.htmlNotice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Providing Participants With a New Optional Settlement Web Interface2011-02-25T00:00:00-08:002011-02-25T00:00:00-08:002011-4289Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-25/pdf/2011-4289.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/25/2011-4227.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Price List2011-02-25T00:00:00-08:002011-02-25T00:00:00-08:002011-4227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-25/pdf/2011-4227.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/25/2011-4226.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Price List2011-02-25T00:00:00-08:002011-02-25T00:00:00-08:002011-4226Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-25/pdf/2011-4226.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/25/2011-4216.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and To Amend the FINRA Rule 9520 Series (Eligibility Proceedings)2011-02-25T00:00:00-08:002011-02-25T00:00:00-08:002011-4216Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-25/pdf/2011-4216.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4161.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Disapprove a Proposed Rule Change as Modified by Amendment No. 2 to Amend EDGX Rules 11.9 and 11.5 Regarding Step-up Orders2011-02-24T00:00:00-08:002011-02-24T00:00:00-08:002011-4161Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-24/pdf/2011-4161.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4158.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Disapprove a Proposed Rule Change as Modified by Amendment No. 2 to Amend EDGA Rules 11.9 and 11.5 Regarding Step-up Orders2011-02-24T00:00:00-08:002011-02-24T00:00:00-08:002011-4158Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-24/pdf/2011-4158.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4134.htmlNotice - Proposed Collection; Comment Request2011-02-24T00:00:00-08:002011-02-24T00:00:00-08:002011-4134Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-24/pdf/2011-4134.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4117.htmlNotice - Self-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing of Proposed Rule Change To Amend The NASDAQ OMX Group, Inc. By-Laws2011-02-24T00:00:00-08:002011-02-24T00:00:00-08:002011-4117Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-24/pdf/2011-4117.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4075.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change To Permit the Listing of $0.50 and $1 Strike Price Increments on Certain Options Used To Calculate Volatility Indexes2011-02-24T00:00:00-08:002011-02-24T00:00:00-08:002011-4075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-24/pdf/2011-4075.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/23/2011-4078.htmlNotice - Sunshine Act Meeting2011-02-23T00:00:00-08:002011-02-23T00:00:00-08:002011-4078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-23/pdf/2011-4078.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/23/2011-3984.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the WisdomTree Asia Local Debt Fund2011-02-23T00:00:00-08:002011-02-23T00:00:00-08:002011-3984Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-23/pdf/2011-3984.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/23/2011-3983.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Adopt Supplemental Rule (a) to Chapter 4 Relating to Proxy Voting2011-02-23T00:00:00-08:002011-02-23T00:00:00-08:002011-3983Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-23/pdf/2011-3983.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/23/2011-3982.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend an Exchange Rule Relating to Giving Proxies2011-02-23T00:00:00-08:002011-02-23T00:00:00-08:002011-3982Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-23/pdf/2011-3982.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3826.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, Entitled “Order Execution”2011-02-22T00:00:00-08:002011-02-22T00:00:00-08:002011-3826Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-22/pdf/2011-3826.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3824.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of FactorShares Funds2011-02-22T00:00:00-08:002011-02-22T00:00:00-08:002011-3824Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-22/pdf/2011-3824.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3801.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC to Expand the $2.50 Strike Price Program2011-02-22T00:00:00-08:002011-02-22T00:00:00-08:002011-3801Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-22/pdf/2011-3801.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3800.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Motions in Arbitration2011-02-22T00:00:00-08:002011-02-22T00:00:00-08:002011-3800Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-22/pdf/2011-3800.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3799.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Promissory Note Proceedings2011-02-22T00:00:00-08:002011-02-22T00:00:00-08:002011-3799Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-22/pdf/2011-3799.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/18/2011-3691.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish and Adopt Fees for the New Short Sale Monitor Service and BX Data Add-On2011-02-18T00:00:00-08:002011-02-18T00:00:00-08:002011-3691Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-18/pdf/2011-3691.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/18/2011-3690.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish and Adopt Fees for the New Short Sale Monitor Service and Nasdaq Data Add-On2011-02-18T00:00:00-08:002011-02-18T00:00:00-08:002011-3690Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-18/pdf/2011-3690.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/18/2011-3689.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish and Adopt Fees for the New Short Sale Monitor Service and PSX Data Add-On2011-02-18T00:00:00-08:002011-02-18T00:00:00-08:002011-3689Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-18/pdf/2011-3689.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/18/2011-3646.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Cease Operating NYSE MatchPoint Effective February 28, 2011 and Contemporaneously Delete the Text of Rule 1500, Which Governs MatchPoint's Functionality2011-02-18T00:00:00-08:002011-02-18T00:00:00-08:002011-3646Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-18/pdf/2011-3646.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3645.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Additional Routing Option2011-02-17T00:00:00-08:002011-02-17T00:00:00-08:002011-3645Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3645.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3644.htmlNotice - Public Availability of the Securities and Exchange Commission FY 2010 Service Contract Inventory2011-02-17T00:00:00-08:002011-02-17T00:00:00-08:002011-3644Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3644.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3584.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Routing Option SOLV and Corresponding Fees2011-02-17T00:00:00-08:002011-02-17T00:00:00-08:002011-3584Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3584.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3583.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise an Optional Depth Data Enterprise License Fee for Broker-Dealer Distribution of Depth-of-Book Data2011-02-17T00:00:00-08:002011-02-17T00:00:00-08:002011-3583Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3583.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3582.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance the Investor Support Program2011-02-17T00:00:00-08:002011-02-17T00:00:00-08:002011-3582Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3582.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3581.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook2011-02-17T00:00:00-08:002011-02-17T00:00:00-08:002011-3581Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3581.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3554.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the CFLEX Surcharge Fee Cap2011-02-17T00:00:00-08:002011-02-17T00:00:00-08:002011-3554Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3554.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3494.htmlNotice - Capital International, Inc., et al.;2011-02-16T00:00:00-08:002011-02-16T00:00:00-08:002011-3494Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3494.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3471.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a New Standard To Communicate Corporate Action Events to Participants2011-02-16T00:00:00-08:002011-02-16T00:00:00-08:002011-3471Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3471.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3441.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of the SPDR Nuveen S&P High Yield Municipal Bond ETF2011-02-16T00:00:00-08:002011-02-16T00:00:00-08:002011-3441Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3441.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3422.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Fees for Complex Orders2011-02-16T00:00:00-08:002011-02-16T00:00:00-08:002011-3422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3422.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3417.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Schedule and Circular Regarding Trading Permit Holder Application and Other Related Fees2011-02-16T00:00:00-08:002011-02-16T00:00:00-08:002011-3417Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3417.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3416.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Disapproving Proposed Rule Change To Amend FINRA Rule 6140 (Other Trading Practices)2011-02-16T00:00:00-08:002011-02-16T00:00:00-08:002011-3416Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3416.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3259.htmlProposed Rule - Security Ratings2011-02-16T00:00:00-08:002011-02-16T00:00:00-08:002011-3259Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3259.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3451.htmlNotice - Sunshine Act Meeting2011-02-15T00:00:00-08:002011-02-15T00:00:00-08:002011-3451Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3451.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3317.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program2011-02-15T00:00:00-08:002011-02-15T00:00:00-08:002011-3317Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3317.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3316.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program2011-02-15T00:00:00-08:002011-02-15T00:00:00-08:002011-3316Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3316.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3315.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Expanding Its Short Term Option Program2011-02-15T00:00:00-08:002011-02-15T00:00:00-08:002011-3315Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3315.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3314.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Orders From Nasdaq Options Services2011-02-15T00:00:00-08:002011-02-15T00:00:00-08:002011-3314Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3314.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3272.htmlNotice - Riverside Casualty, Inc.; Notice of Application2011-02-15T00:00:00-08:002011-02-15T00:00:00-08:002011-3272Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3272.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3271.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of the Teucrium WTI Crude Oil Fund2011-02-15T00:00:00-08:002011-02-15T00:00:00-08:002011-3271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3271.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3270.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center2011-02-15T00:00:00-08:002011-02-15T00:00:00-08:002011-3270Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3270.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3188.htmlNotice - Proposed Collection; Comment Request2011-02-14T00:00:00-08:002011-02-14T00:00:00-08:002011-3188Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-14/pdf/2011-3188.pdfhttps://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3187.htmlNotice - Proposed Collection; Comment Request2011-02-14T00:00:00-08:002011-02-14T00:00:00-08:002011-3187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-02-14/pdf/2011-3187.pdf