<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2011/05/04?registers=between Sat, 28 Jun 2025 10:40:24 -0700 Sat, 28 Jun 2025 10:40:24 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2011/05/04?registers=between Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10897.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10897.html Wed, 04 May 2011 00:00:00 -0700 2011-10897 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10897.pdf Proposed Rule - Listing Standards for Compensation Committees https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10868.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10868.html Wed, 04 May 2011 00:00:00 -0700 2011-10868 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10868.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Limitation of Liability https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10859.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10859.html Wed, 04 May 2011 00:00:00 -0700 2011-10859 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10859.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the By-Laws of FINRA Regulation, Inc. With Regard to District Committees https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10857.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10857.html Wed, 04 May 2011 00:00:00 -0700 2011-10857 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10857.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter the CHX Fee Schedule Relating to the CHX Connect Service https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10856.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10856.html Wed, 04 May 2011 00:00:00 -0700 2011-10856 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10856.pdf Notice - Self-Regulatory Organizations; The Boston Stock Exchange Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the By-Laws of its Parent Corporation, the NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10855.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10855.html Wed, 04 May 2011 00:00:00 -0700 2011-10855 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10855.pdf Notice - Self-Regulatory Organizations; The Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10854.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10854.html Wed, 04 May 2011 00:00:00 -0700 2011-10854 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10854.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10852.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10852.html Wed, 04 May 2011 00:00:00 -0700 2011-10852 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10852.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to TRACE Reporting of Asset-Backed Securities https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10809.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10809.html Wed, 04 May 2011 00:00:00 -0700 2011-10809 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10809.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Inbound Router, as described in EDGA Rule 2.12(b) https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10808.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10808.html Wed, 04 May 2011 00:00:00 -0700 2011-10808 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10808.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Inbound Router, as Described in EDGX Rule 2.12(b) https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10807.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10807.html Wed, 04 May 2011 00:00:00 -0700 2011-10807 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10807.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Memo Segregation Function https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10806.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10806.html Wed, 04 May 2011 00:00:00 -0700 2011-10806 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10806.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing of Series With $0.50 and $1 Strike Price Increments on Certain Options Used To Calculate Volatility Indexes https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10805.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10805.html Wed, 04 May 2011 00:00:00 -0700 2011-10805 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10805.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Establishing Qualified Contingent Cross Orders https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10771.html https://regulations.justia.com/regulations/fedreg/2011/05/04/2011-10771.html Wed, 04 May 2011 00:00:00 -0700 2011-10771 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-04/pdf/2011-10771.pdf