<![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/2011/05/12?registers=between Tue, 24 Jun 2025 13:51:59 -0700 Tue, 24 Jun 2025 13:51:59 -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/2011/05/12?registers=between Notice - Order of Suspension of Trading; In the Matter of Diversified Investors Corp. (n/k/a Diverse Holdings Corp.), Drew Resources (n/k/a Galloway Energy, Inc.), DTI Medical Corp., DTLL, Inc. (n/k/a Solstice Resorts, Inc.), and Dunn's Supply Store, Inc. https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11760.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11760.html Thu, 12 May 2011 00:00:00 -0700 2011-11760 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11760.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Extend a Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11681.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11681.html Thu, 12 May 2011 00:00:00 -0700 2011-11681 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11681.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change Related to the Individual Trading Pause Pilot and CBSX Market-Maker Quoting Obligations https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11680.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11680.html Thu, 12 May 2011 00:00:00 -0700 2011-11680 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11680.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Extend a Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11675.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11675.html Thu, 12 May 2011 00:00:00 -0700 2011-11675 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11675.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Change To Add All NMS Stocks to the Single Securities Circuit Breaker Pilot Program https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11674.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11674.html Thu, 12 May 2011 00:00:00 -0700 2011-11674 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11674.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Its Rules To Extend a Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility to All NMS Stocks and To Make Conforming Changes to Market Maker Quoting Obligations https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11673.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11673.html Thu, 12 May 2011 00:00:00 -0700 2011-11673 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11673.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11 To Include Additional Securities in the Pilot by Which Such Rule Operates and Amending NYSE Arca Equities Rule 7.23 To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 7.11 https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11672.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11672.html Thu, 12 May 2011 00:00:00 -0700 2011-11672 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11672.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Rule 3100(a)(4) To Include Additional Securities in the Pilot by Which Such Rule Operates https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11669.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11669.html Thu, 12 May 2011 00:00:00 -0700 2011-11669 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11669.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11627.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11627.html Thu, 12 May 2011 00:00:00 -0700 2011-11627 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11627.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11626.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11626.html Thu, 12 May 2011 00:00:00 -0700 2011-11626 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11626.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11625.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11625.html Thu, 12 May 2011 00:00:00 -0700 2011-11625 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11625.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11624.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11624.html Thu, 12 May 2011 00:00:00 -0700 2011-11624 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11624.pdf Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Provide Flexibility to the Options Clearing Corporation With Respect to Its Obligations To Pay Settlement Amounts to Clearing Members Generally as Well as in Emergency Situations https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11623.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11623.html Thu, 12 May 2011 00:00:00 -0700 2011-11623 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11623.pdf Notice - PennantPark Investment Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11622.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11622.html Thu, 12 May 2011 00:00:00 -0700 2011-11622 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11622.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Midpoint Peg Post-Only Order https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11619.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11619.html Thu, 12 May 2011 00:00:00 -0700 2011-11619 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11619.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGA Rules 11.13 and 11.14 https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11618.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11618.html Thu, 12 May 2011 00:00:00 -0700 2011-11618 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11618.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGX Rules 11.13 and 11.14 https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11617.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11617.html Thu, 12 May 2011 00:00:00 -0700 2011-11617 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11617.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend IM-4120-3 To Include Additional Securities in the Pilot by Which Such Rule Operates and Amend Rule 4613(a) To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Price Move Percentages That Trigger a Circuit Breaker Pilot Pause https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11616.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11616.html Thu, 12 May 2011 00:00:00 -0700 2011-11616 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11616.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4120(a)(11) To Include Additional Securities in the Pilot by Which Such Rule Operates and Amend Rule 4613(a) To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 4120(a)(11) https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11615.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11615.html Thu, 12 May 2011 00:00:00 -0700 2011-11615 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11615.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and FINRA Rule 6272 (Character of Quotations) To Include all NMS Stocks https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11614.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11614.html Thu, 12 May 2011 00:00:00 -0700 2011-11614 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11614.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change by International Securities Exchange to Amend ISE Rule 2102 https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11613.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11613.html Thu, 12 May 2011 00:00:00 -0700 2011-11613 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11613.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Rule 80C-NYSE Amex Equities To Include Additional Securities in the Pilot by Which Such Rule Operates and Amending Rule 104-NYSE Amex Equities To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 80C https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11612.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11612.html Thu, 12 May 2011 00:00:00 -0700 2011-11612 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11612.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 80C To Include Additional Securities in the Pilot by Which Such Rule Operates and Amending Rule 104 To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 80C https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11611.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11611.html Thu, 12 May 2011 00:00:00 -0700 2011-11611 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11611.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Create a Listing Market on the Exchange https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11610.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11610.html Thu, 12 May 2011 00:00:00 -0700 2011-11610 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11610.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Treatment of Customer Orders and the Prohibition Against Trading Ahead of Customer Orders https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11585.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11585.html Thu, 12 May 2011 00:00:00 -0700 2011-11585 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11585.pdf Notice - Self-Regulatory Organizations; The NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Establish a Qualified Contingent Cross Order for Execution on the Floor of the Exchange https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11584.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11584.html Thu, 12 May 2011 00:00:00 -0700 2011-11584 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11584.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11583.html https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11583.html Thu, 12 May 2011 00:00:00 -0700 2011-11583 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-05-12/pdf/2011-11583.pdf