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/2011/06?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-04T10:48:39-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16567.htmlNotice - In the Matter of International Poultry Co., Inc. (n/k/a Carley Enterprises, Inc.), International Thoroughbred Breeders, Inc., Internet Marketing, Inc., Intrepid Technology & Resources, Inc., Ion Technology, Inc., Ionic Fuel Technology, Inc., Ipex, Inc. (n/k/a Salus Labs International, Inc.), Itemus, Inc., and ITIS Holdings, Inc. ; Order of Suspension of Trading2011-06-30T00:00:00-07:002011-06-30T00:00:00-07:002011-16567Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16567.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16467.htmlRule - Risk Management Controls for Brokers or Dealers With Market Access2011-06-30T00:00:00-07:002011-06-30T00:00:00-07:002011-16467Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16467.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16448.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operation of the Pilot Program That Allows Nasdaq Stock Market Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges2011-06-30T00:00:00-07:002011-06-30T00:00:00-07:002011-16448Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16448.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16433.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Regarding Co-Location Fees for Additional Power and Cable Options2011-06-30T00:00:00-07:002011-06-30T00:00:00-07:002011-16433Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16433.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16427.htmlNotice - Submission for OMB Review; Comment Request2011-06-30T00:00:00-07:002011-06-30T00:00:00-07:002011-16427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16427.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16426.htmlNotice - Submission for OMB Review; Comment Request2011-06-30T00:00:00-07:002011-06-30T00:00:00-07:002011-16426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16426.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16419.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402011-06-30T00:00:00-07:002011-06-30T00:00:00-07:002011-16419Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16419.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16418.htmlNotice - [Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Regarding Opening Index Option Months and Series2011-06-30T00:00:00-07:002011-06-30T00:00:00-07:002011-16418Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16418.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16417.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Formation of a Joint Venture Between the Exchange, Its Ultimate Parent NYSE Euronext, and Seven Other Entities To Operate an Electronic Trading Facility for Options Contracts2011-06-30T00:00:00-07:002011-06-30T00:00:00-07:002011-16417Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16417.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16403.htmlNotice - TIAA-CREF Funds, et al.; Notice of Application2011-06-30T00:00:00-07:002011-06-30T00:00:00-07:002011-16403Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16403.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16397.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Fee Discount Pilot Program for Large-Sized Foreign Currency Options2011-06-30T00:00:00-07:002011-06-30T00:00:00-07:002011-16397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16397.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16302.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving 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 Situations2011-06-29T00:00:00-07:002011-06-29T00:00:00-07:002011-16302Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16302.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16293.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to Amending the BOX Trading Rules To Establish Facilitation and Solicitation Auction Mechanisms2011-06-29T00:00:00-07:002011-06-29T00:00:00-07:002011-16293Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16293.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16243.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Reduce the Minimum Size of the Nominating and Governance Committee2011-06-29T00:00:00-07:002011-06-29T00:00:00-07:002011-16243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16243.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16232.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook2011-06-29T00:00:00-07:002011-06-29T00:00:00-07:002011-16232Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16232.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16229.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; National Stock Exchange, Inc.; NASDAX OMX PHLX LLC; Order Approving Proposed Rule Changes Relating To Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to All NMS Stocks2011-06-29T00:00:00-07:002011-06-29T00:00:00-07:002011-16229Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16229.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16228.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Text in Its Options Rules Governing the Use of Its Affiliate Broker-Dealer, Archipelago Securities LLC for Outbound Routing of Option Orders, and To Adopt Text in Its Options Rules To Permit the Exchange To Receive Inbound Routes of Option Orders From Arca Securities, Acting as the Outbound Router for NYSE Arca, Inc.2011-06-29T00:00:00-07:002011-06-29T00:00:00-07:002011-16228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16228.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16227.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Text in Its Options Rules Governing the Use of Its Affiliate Broker-Dealer, Archipelago Securities LLC for Outbound Routing of Option Orders, and To Adopt Text in Its Options Rules To Permit the Exchange To Receive Inbound Routes of Option Orders From Arca Securities, Acting as the Outbound Router for NYSE Amex LLC2011-06-29T00:00:00-07:002011-06-29T00:00:00-07:002011-16227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16227.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16225.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE Arca Equities Rule 7.41 to Codify Outbound and Inbound Routing Functions Performed by Its Affiliate Broker-dealer, Archipelago Securities LLC2011-06-29T00:00:00-07:002011-06-29T00:00:00-07:002011-16225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16225.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16224.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 To Codify Inbound Routing Functions Performed by Its Affiliate Broker-Dealer, Archipelago Securities LLC2011-06-29T00:00:00-07:002011-06-29T00:00:00-07:002011-16224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16224.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16223.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17-NYSE Amex Equities To Codify Inbound Routing Functions Performed by Its Affiliate Broker-Dealer, Archipelago Securities LLC2011-06-29T00:00:00-07:002011-06-29T00:00:00-07:002011-16223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16223.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16117.htmlRule - Family Offices2011-06-29T00:00:00-07:002011-06-29T00:00:00-07:002011-16117Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16117.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16230.htmlNotice - Sunshine Act Meeting2011-06-28T00:00:00-07:002011-06-28T00:00:00-07:002011-16230Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16230.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16148.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols2011-06-28T00:00:00-07:002011-06-28T00:00:00-07:002011-16148Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16148.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16142.htmlNotice - Russell Exchange Traded Funds Trust, et al.; Notice of Application2011-06-28T00:00:00-07:002011-06-28T00:00:00-07:002011-16142Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16142.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16133.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Reduce the Minimum Size of the Nominating and Governance Committee2011-06-28T00:00:00-07:002011-06-28T00:00:00-07:002011-16133Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16133.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16085.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Order Timer2011-06-28T00:00:00-07:002011-06-28T00:00:00-07:002011-16085Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16085.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16075.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change to Trade Options on the CBOE Silver ETF Volatility Index2011-06-28T00:00:00-07:002011-06-28T00:00:00-07:002011-16075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16075.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16033.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Appointments to Competitive Market Makers2011-06-28T00:00:00-07:002011-06-28T00:00:00-07:002011-16033Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16033.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/27/2011-16086.htmlNotice - Sunshine Act Meeting2011-06-27T00:00:00-07:002011-06-27T00:00:00-07:002011-16086Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-16086.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/27/2011-16006.htmlNotice - Proposed Collection; Comment Request2011-06-27T00:00:00-07:002011-06-27T00:00:00-07:002011-16006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-16006.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/27/2011-16005.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities That Are Part of a Distribution and Transfers of Equity Securities To Create or Redeem Instruments Such as ADRs and ETFs2011-06-27T00:00:00-07:002011-06-27T00:00:00-07:002011-16005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-16005.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/27/2011-15965.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements2011-06-27T00:00:00-07:002011-06-27T00:00:00-07:002011-15965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-15965.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/27/2011-15964.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Certain Disclosure Requirements in Nasdaq's Corporate Governance Rules with Similar Disclosure Requirements in the Commission's Rules2011-06-27T00:00:00-07:002011-06-27T00:00:00-07:002011-15964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-15964.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/27/2011-15916.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 47632011-06-27T00:00:00-07:002011-06-27T00:00:00-07:002011-15916Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-15916.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/27/2011-15341.htmlProposed Rule - Broker-Dealer Reports2011-06-27T00:00:00-07:002011-06-27T00:00:00-07:002011-15341Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-15341.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/24/2011-15850.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Allow for an Expansion of OCC's Internal Cross-Margining Program To Include the Ability of a Pair of Affiliated Clearing Members To Establish an Internal Non-Proprietary Cross-Margining Account2011-06-24T00:00:00-07:002011-06-24T00:00:00-07:002011-15850Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-24/pdf/2011-15850.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/24/2011-15806.htmlNotice - Submission for OMB Review; Comment Request2011-06-24T00:00:00-07:002011-06-24T00:00:00-07:002011-15806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-24/pdf/2011-15806.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/24/2011-15805.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency2011-06-24T00:00:00-07:002011-06-24T00:00:00-07:002011-15805Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-24/pdf/2011-15805.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/24/2011-15776.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to a Remote Specialist Fee2011-06-24T00:00:00-07:002011-06-24T00:00:00-07:002011-15776Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-24/pdf/2011-15776.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15829.htmlNotice - In the Matter of Animal Cloning Sciences, Inc. (n/k/a Bancorp Energy, Inc.): Order of Suspension of Trading2011-06-23T00:00:00-07:002011-06-23T00:00:00-07:002011-15829Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15829.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15825.htmlNotice - In the Matter of Shiming U.S., Inc., Si Mei Te Food Ltd. (f/k/a China Discovery Acquisition Corp.), Sierra International Group, Inc., and SJ Electronics, Inc.; Order of Suspension of Trading2011-06-23T00:00:00-07:002011-06-23T00:00:00-07:002011-15825Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15825.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15824.htmlNotice - Sunshine Act Meeting2011-06-23T00:00:00-07:002011-06-23T00:00:00-07:002011-15824Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15824.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15730.htmlNotice - Submission for OMB Review; Comment Request2011-06-23T00:00:00-07:002011-06-23T00:00:00-07:002011-15730Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15730.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15674.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Disapproving Proposed Rule Change To Adopt Additional Criteria for Listing Companies That Have Indicated Their Business Plan Is To Buy and Hold Commodities2011-06-23T00:00:00-07:002011-06-23T00:00:00-07:002011-15674Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15674.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15671.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Anti-Internalization Functionality for Registered Market Makers on the NASDAQ Options Market2011-06-23T00:00:00-07:002011-06-23T00:00:00-07:002011-15671Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15671.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15670.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Content Outline for the Proprietary Traders Examination Program (Series 56)2011-06-23T00:00:00-07:002011-06-23T00:00:00-07:002011-15670Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15670.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15666.htmlNotice - Proposed Collection; Comment Request2011-06-23T00:00:00-07:002011-06-23T00:00:00-07:002011-15666Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15666.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15665.htmlNotice - Submission for OMB Review; Comment Request2011-06-23T00:00:00-07:002011-06-23T00:00:00-07:002011-15665Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15665.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15664.htmlNotice - Proposed Collection; Comment Request2011-06-23T00:00:00-07:002011-06-23T00:00:00-07:002011-15664Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15664.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15659.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide an Interpretation to Rule 401 To Allow Clearing Members To Use OCC Systems To Update Certain Non-critical Trade Data With Respect to Exchange Transactions Involving Securities Options2011-06-23T00:00:00-07:002011-06-23T00:00:00-07:002011-15659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15659.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15640.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change To Increase the Position Limit for Options on the Standard and Poor's® Depositary Receipts (SPDRs®)2011-06-23T00:00:00-07:002011-06-23T00:00:00-07:002011-15640Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15640.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15608.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Madrona Forward Domestic ETF, Madrona Forward International ETF, and Madrona Forward Global Bond ETF2011-06-22T00:00:00-07:002011-06-22T00:00:00-07:002011-15608Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15608.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15606.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 5.30 and 5.32 To Permit the Exchange To List Flexible Exchange Options on Index and Equity Securities That Are Eligible for Non-FLEX Options Trading, and That Have Non-FLEX Options on Such Index and Equity Securities Listed and Traded on at Least One National Securities Exchange, Even if the Exchange Does Not List Such Non-FLEX Options2011-06-22T00:00:00-07:002011-06-22T00:00:00-07:002011-15606Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15606.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15605.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 903G To Permit the Exchange To List Flexible Exchange Options on Index and Equity Securities That Are Eligible for Non-FLEX Options Trading, and That Have Non-FLEX Options on Such Index and Equity Securities Listed and Traded on at Least One National Securities Exchange, Even if the Exchange Does Not List Such Non-FLEX Options2011-06-22T00:00:00-07:002011-06-22T00:00:00-07:002011-15605Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15605.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15604.htmlNotice - Self-Regulatory Organizations; The NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Establishing a Qualified Contingent Cross Order for Execution on the Floor of the Exchange2011-06-22T00:00:00-07:002011-06-22T00:00:00-07:002011-15604Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15604.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15555.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Several Rules in Connection With Trading System Enhancements2011-06-22T00:00:00-07:002011-06-22T00:00:00-07:002011-15555Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15555.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15554.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade the Meidell Tactical Advantage ETF2011-06-22T00:00:00-07:002011-06-22T00:00:00-07:002011-15554Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15554.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15553.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Minor Rule Plan2011-06-22T00:00:00-07:002011-06-22T00:00:00-07:002011-15553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15553.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15552.htmlNotice - Highmark Funds and Highmark Capital Management, Inc.2011-06-22T00:00:00-07:002011-06-22T00:00:00-07:002011-15552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15552.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15450.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Establishing a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook2011-06-22T00:00:00-07:002011-06-22T00:00:00-07:002011-15450Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15450.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15432.htmlRule - Temporary Exemptions and Other Temporary Relief, Together With Information on Compliance Dates for New Provisions of the Securities Exchange Act of 1934 Applicable to Security-Based Swaps2011-06-22T00:00:00-07:002011-06-22T00:00:00-07:002011-15432Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15432.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/21/2011-15372.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing of Opening Orders2011-06-21T00:00:00-07:002011-06-21T00:00:00-07:002011-15372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-21/pdf/2011-15372.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15396.htmlNotice - In the Matter of: BP International, Inc., CyGene Laboratories, Inc., Delek Resources, Inc., Flooring America, Inc., International Diversified Industries, Inc., Nova Biogenetics, Inc., and Tube Media Corp. (The); Order of Suspension of Trading2011-06-20T00:00:00-07:002011-06-20T00:00:00-07:002011-15396Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15396.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15392.htmlNotice - In the Matter of: SHC Corp. (f/k/a Victormaxx Technologies, Inc.), Shells Seafood Restaurants, Inc., SI Restructuring, Inc. (f/k/a Schlotzsky's, Inc.), SLS Industries, Inc., Softlock.com, Inc. (n/k/a The Cap One Group, Inc.), Solar Satellite Communication, Inc., and Sonoran Energy, Inc.; Order of Suspension of Trading2011-06-20T00:00:00-07:002011-06-20T00:00:00-07:002011-15392Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15392.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15281.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Sales Value Fee2011-06-20T00:00:00-07:002011-06-20T00:00:00-07:002011-15281Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15281.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15280.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Sales Value Fee2011-06-20T00:00:00-07:002011-06-20T00:00:00-07:002011-15280Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15280.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15278.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Order Spread Protection Feature2011-06-20T00:00:00-07:002011-06-20T00:00:00-07:002011-15278Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15278.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15265.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2011-06-20T00:00:00-07:002011-06-20T00:00:00-07:002011-15265Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15265.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15174.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Analytic Reporting Service2011-06-20T00:00:00-07:002011-06-20T00:00:00-07:002011-15174Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15174.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15173.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program2011-06-20T00:00:00-07:002011-06-20T00:00:00-07:002011-15173Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15173.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15271.htmlNotice - Sunshine Act Meeting2011-06-17T00:00:00-07:002011-06-17T00:00:00-07:002011-15271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15271.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15196.htmlNotice - Voice One Corp.; Order of Suspension of Trading2011-06-17T00:00:00-07:002011-06-17T00:00:00-07:002011-15196Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15196.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15058.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Order Granting Approval of Proposed Rule Change Establishing Qualified Contingent Cross Orders2011-06-17T00:00:00-07:002011-06-17T00:00:00-07:002011-15058Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15058.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15041.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Adopt a Monthly Fee Cap and Related Service Fee for All Member Firm Proprietary Transactions Executed in Open Outcry and To Increase Both the Existing Monthly Fee Cap and a Related Trading Volume Threshold Applicable to Market Makers2011-06-17T00:00:00-07:002011-06-17T00:00:00-07:002011-15041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15041.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15040.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Establish a New Fee Designed To Encourage Efficient Use of Bandwidth by ATP Firms and To Rename a Related Existing Fee2011-06-17T00:00:00-07:002011-06-17T00:00:00-07:002011-15040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15040.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15039.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Trade Single Stock Dividend Options2011-06-17T00:00:00-07:002011-06-17T00:00:00-07:002011-15039Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15039.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15030.htmlRule - Delegation of Authority to the Director of Its Division of Enforcement2011-06-17T00:00:00-07:002011-06-17T00:00:00-07:002011-15030Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15030.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15015.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding BONO SM2011-06-17T00:00:00-07:002011-06-17T00:00:00-07:002011-15015Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15015.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/16/2011-15056.htmlNotice - Samaritan Pharmaceuticals, Inc., Seaena, Inc., Seirios International, Inc. (f/k/a Exactly Sportswear, Inc.), et al.; Order of Suspension of Trading2011-06-16T00:00:00-07:002011-06-16T00:00:00-07:002011-15056Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-15056.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/16/2011-15055.htmlNotice - In the Matter of Dawn Technologies, Inc., Distinctive Devices, Inc., Haber, Inc., and Independence Brewing Co.; Order of Suspension of Trading2011-06-16T00:00:00-07:002011-06-16T00:00:00-07:002011-15055Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-15055.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14988.htmlNotice - Submission for OMB Review; Comment Request2011-06-16T00:00:00-07:002011-06-16T00:00:00-07:002011-14988Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-14988.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14903.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Routing Fees2011-06-16T00:00:00-07:002011-06-16T00:00:00-07:002011-14903Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-14903.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14895.htmlNotice - Allianz Life Insurance Company of North America, et al; Notice of Application2011-06-16T00:00:00-07:002011-06-16T00:00:00-07:002011-14895Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-14895.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14894.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Rule Concerning the CHX Book Feed2011-06-16T00:00:00-07:002011-06-16T00:00:00-07:002011-14894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-14894.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14859.htmlNotice - Country Investors Life Assurance Company, et al.2011-06-16T00:00:00-07:002011-06-16T00:00:00-07:002011-14859Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-14859.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14986.htmlNotice - Apparel America, Inc. (n/k/a HSK Industries, Inc.), Decora Industries, Inc., Diversicon Holdings Corp., Flagship Global Health, Inc., Integrated Transportation Network Group, Inc., and Premier Wealth Management, Inc. (a/k/a Premiere Wealth Management, Inc.); Order of Suspension of Trading2011-06-15T00:00:00-07:002011-06-15T00:00:00-07:002011-14986Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-15/pdf/2011-14986.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14849.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade the WisdomTree Global Real Return Fund2011-06-15T00:00:00-07:002011-06-15T00:00:00-07:002011-14849Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-15/pdf/2011-14849.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14848.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Linkage Fees2011-06-15T00:00:00-07:002011-06-15T00:00:00-07:002011-14848Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-15/pdf/2011-14848.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14843.htmlNotice - Precidian ETFs Trust, et al.; Notice of Application2011-06-15T00:00:00-07:002011-06-15T00:00:00-07:002011-14843Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-15/pdf/2011-14843.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14782.htmlNotice - Proposed Collection; Comment Request2011-06-15T00:00:00-07:002011-06-15T00:00:00-07:002011-14782Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-15/pdf/2011-14782.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14717.htmlProposed Rule - Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies2011-06-15T00:00:00-07:002011-06-15T00:00:00-07:002011-14717Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-15/pdf/2011-14717.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14783.htmlNotice - Sunshine Act Meeting2011-06-14T00:00:00-07:002011-06-14T00:00:00-07:002011-14783Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14783.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14729.htmlNotice - Joint Public Roundtable on Proposed Dealer and Major Participant Definitions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act2011-06-14T00:00:00-07:002011-06-14T00:00:00-07:002011-14729Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14729.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14671.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 Center2011-06-14T00:00:00-07:002011-06-14T00:00:00-07:002011-14671Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14671.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14669.htmlNotice - Proposed Collection; Comment Request2011-06-14T00:00:00-07:002011-06-14T00:00:00-07:002011-14669Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14669.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14664.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System2011-06-14T00:00:00-07:002011-06-14T00:00:00-07:002011-14664Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14664.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14663.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2011-06-14T00:00:00-07:002011-06-14T00:00:00-07:002011-14663Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14663.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14662.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2011-06-14T00:00:00-07:002011-06-14T00:00:00-07:002011-14662Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14662.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14661.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Amend the Fee Schedule Regarding Fees Assessed for the Installation of Certain Co-Location Services2011-06-14T00:00:00-07:002011-06-14T00:00:00-07:002011-14661Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14661.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14660.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Replace Numerical Thresholds With Percentage Thresholds for Tier Volume Requirements, Add a New Volume Tier and Increase the Credit That Lead Market Makers Receive for Execution of Orders That Provide Undisplayed Liquidity Using Post No Preference Blind Orders2011-06-14T00:00:00-07:002011-06-14T00:00:00-07:002011-14660Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14660.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14648.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Additional Listing Requirements for Reverse Mergers2011-06-14T00:00:00-07:002011-06-14T00:00:00-07:002011-14648Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14648.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14598.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 Regarding Certain Co-Location Installation Fees2011-06-14T00:00:00-07:002011-06-14T00:00:00-07:002011-14598Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14598.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14591.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 Regarding Certain Co-Location Installation Fees2011-06-14T00:00:00-07:002011-06-14T00:00:00-07:002011-14591Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14591.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14572.htmlRule - Beneficial Ownership Reporting Requirements and Security-Based Swaps2011-06-14T00:00:00-07:002011-06-14T00:00:00-07:002011-14572Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14572.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14720.htmlNotice - Sunshine Act Meeting2011-06-13T00:00:00-07:002011-06-13T00:00:00-07:002011-14720Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14720.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14719.htmlNotice - Sunshine Act Meeting2011-06-13T00:00:00-07:002011-06-13T00:00:00-07:002011-14719Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14719.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14672.htmlNotice - Sunshine Act Meeting2011-06-13T00:00:00-07:002011-06-13T00:00:00-07:002011-14672Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14672.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14519.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Class Quoting Limit in One Option Class2011-06-13T00:00:00-07:002011-06-13T00:00:00-07:002011-14519Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14519.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14518.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Risk Monitor Mechanism2011-06-13T00:00:00-07:002011-06-13T00:00:00-07:002011-14518Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14518.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14517.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Functionality of the Post-Only Order2011-06-13T00:00:00-07:002011-06-13T00:00:00-07:002011-14517Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14517.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14516.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Option Expiration Months Open for Trading on the Exchange2011-06-13T00:00:00-07:002011-06-13T00:00:00-07:002011-14516Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14516.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/13/2011-13382.htmlRule - Securities Whistleblower Incentives and Protections2011-06-13T00:00:00-07:002011-06-13T00:00:00-07:002011-13382Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-13382.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14444.htmlProposed Rule - Credit Risk Retention2011-06-10T00:00:00-07:002011-06-10T00:00:00-07:002011-14444Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14444.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14415.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Shares of the WisdomTree Dreyfus Euro Debt Fund Under NYSE Arca Equities Rule 8.6002011-06-10T00:00:00-07:002011-06-10T00:00:00-07:002011-14415Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14415.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14392.htmlNotice - Proposed Collection; Comment Request2011-06-10T00:00:00-07:002011-06-10T00:00:00-07:002011-14392Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14392.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14391.htmlNotice - Proposed Collection; Comment Request2011-06-10T00:00:00-07:002011-06-10T00:00:00-07:002011-14391Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14391.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14390.htmlNotice - Proposed Collection; Comment Request2011-06-10T00:00:00-07:002011-06-10T00:00:00-07:002011-14390Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14390.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14389.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change To Amend Rules Relating to the Memo Segregation Function2011-06-10T00:00:00-07:002011-06-10T00:00:00-07:002011-14389Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14389.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14388.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Brokers To Process Specified Pool Trade Activity at the Mortgage-Backed Securities Division in Broker Accounts2011-06-10T00:00:00-07:002011-06-10T00:00:00-07:002011-14388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14388.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14408.htmlNotice - Order of Suspension of Trading2011-06-09T00:00:00-07:002011-06-09T00:00:00-07:002011-14408Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-09/pdf/2011-14408.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14233.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule To Adopt a Fee for Qualified Contingent Cross Trades2011-06-09T00:00:00-07:002011-06-09T00:00:00-07:002011-14233Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-09/pdf/2011-14233.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14232.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Establish a Gross FOCUS Revenue Fee2011-06-09T00:00:00-07:002011-06-09T00:00:00-07:002011-14232Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-09/pdf/2011-14232.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14228.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Orders That Are Eligible for Entry to the Exchange's Matching System2011-06-09T00:00:00-07:002011-06-09T00:00:00-07:002011-14228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-09/pdf/2011-14228.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14223.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Allow the Listing and Trading of a P.M.-Settled S&P 500 Index Option Product2011-06-09T00:00:00-07:002011-06-09T00:00:00-07:002011-14223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-09/pdf/2011-14223.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14285.htmlNotice - In The Matter of: Artfest International, Inc; Order of Suspension of Trading2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14285Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14285.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14130.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Appeal Fee2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14130.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14129.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Introduce Two New Pricing Tiers, Investor Tier 1 and Investor Tier 22011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14129.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14128.htmlNotice - Proposed Collection; Comment Request2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14128Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14128.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14127.htmlNotice - Proposed Collection; Comment Request2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14127Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14127.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14081.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend CBOE Stock Exchange Transaction Fees to Change the Maker/Taker Fee to a Flat Fee2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14081.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14080.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Qualified Exchange Members to Act as Off-Floor Option Specialists in One or More Options Classes2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14080.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14079.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Permit the Listing of Series With $0.50 and $1 Strike Price Increments on Certain Options Used To Calculate Volatility Indexes2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14079Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14079.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14063.htmlNotice - Altegris Advisors, L.L.C. and Northern Lights Fund Trust; Notice of Application2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14063Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14063.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14062.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14062Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14062.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14037.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14037Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14037.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14036.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Price List2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14036Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14036.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14035.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Conform Exchange Rules2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14035.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14033.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Relating to the Sale of Trading Licenses2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-14033Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14033.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/08/2011-12659.htmlProposed Rule - Nationally Recognized Statistical Rating Organizations2011-06-08T00:00:00-07:002011-06-08T00:00:00-07:002011-12659Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-12659.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/07/2011-14034.htmlNotice - Sunshine Act Meeting2011-06-07T00:00:00-07:002011-06-07T00:00:00-07:002011-14034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-14034.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13995.htmlNotice - TIAA-CREF Life Insurance Company, et al.2011-06-07T00:00:00-07:002011-06-07T00:00:00-07:002011-13995Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13995.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13994.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend the Fee Schedule of BOX2011-06-07T00:00:00-07:002011-06-07T00:00:00-07:002011-13994Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13994.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13976.htmlProposed Rule - Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping2011-06-07T00:00:00-07:002011-06-07T00:00:00-07:002011-13976Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13976.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13949.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Correction of an Inadvertent Error in NASDAQ Rule 7019(d)2011-06-07T00:00:00-07:002011-06-07T00:00:00-07:002011-13949Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13949.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13940.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Customer Complex Orders2011-06-07T00:00:00-07:002011-06-07T00:00:00-07:002011-13940Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13940.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13939.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Correction of an Inadvertent Error in the Fee Schedule2011-06-07T00:00:00-07:002011-06-07T00:00:00-07:002011-13939Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13939.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13926.htmlNotice - Self-Regulatory Organizations; The NASDAQ OMX BX Inc. LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Correction of an Inadvertent Error in Exchange Rule 7019(c)2011-06-07T00:00:00-07:002011-06-07T00:00:00-07:002011-13926Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13926.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13903.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposal To Permit the Exchange To List Series With Additional Expiration Months If Such Series Are Listed on Another Exchange2011-06-06T00:00:00-07:002011-06-06T00:00:00-07:002011-13903Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-06/pdf/2011-13903.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13876.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Pilot Period To Allow Cabinet Trading To Take Place Below $1 Per Option Contract2011-06-06T00:00:00-07:002011-06-06T00:00:00-07:002011-13876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-06/pdf/2011-13876.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13857.htmlNotice - Submission for OMB Review; Comment Request2011-06-06T00:00:00-07:002011-06-06T00:00:00-07:002011-13857Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-06/pdf/2011-13857.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13856.htmlNotice - Submission for OMB Review; Comment Request2011-06-06T00:00:00-07:002011-06-06T00:00:00-07:002011-13856Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-06/pdf/2011-13856.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13855.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Second Market Fees2011-06-06T00:00:00-07:002011-06-06T00:00:00-07:002011-13855Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-06/pdf/2011-13855.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13880.htmlNotice - Uniontown Energy, Inc.; Order of Suspension of Trading2011-06-03T00:00:00-07:002011-06-03T00:00:00-07:002011-13880Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-03/pdf/2011-13880.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13776.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Functionality of NASDAQ OMX PSX's Post-Only Order2011-06-03T00:00:00-07:002011-06-03T00:00:00-07:002011-13776Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-03/pdf/2011-13776.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13755.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change To Modify the Initial Trading Market Value for Debt Securities2011-06-03T00:00:00-07:002011-06-03T00:00:00-07:002011-13755Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-03/pdf/2011-13755.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13752.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule G-23, on Activities of Financial Advisors2011-06-03T00:00:00-07:002011-06-03T00:00:00-07:002011-13752Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-03/pdf/2011-13752.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13751.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402011-06-03T00:00:00-07:002011-06-03T00:00:00-07:002011-13751Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-03/pdf/2011-13751.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13738.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules2011-06-03T00:00:00-07:002011-06-03T00:00:00-07:002011-13738Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-03/pdf/2011-13738.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/02/2011-13636.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto To Trade Options on Certain Individual Stock Based Volatility Indexes and Exchange-Traded Fund Based Volatility Indexes2011-06-02T00:00:00-07:002011-06-02T00:00:00-07:002011-13636Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-02/pdf/2011-13636.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/02/2011-13624.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Functionality of the Post-Only Order2011-06-02T00:00:00-07:002011-06-02T00:00:00-07:002011-13624Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-02/pdf/2011-13624.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/02/2011-13576.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Guggenheim Enhanced Core Bond ETF and Guggenheim Enhanced Ultra-Short Bond ETF2011-06-02T00:00:00-07:002011-06-02T00:00:00-07:002011-13576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-02/pdf/2011-13576.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/02/2011-13575.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change To Expand the Number of Components in the PHLX Gold/Silver SectorSM2011-06-02T00:00:00-07:002011-06-02T00:00:00-07:002011-13575Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-02/pdf/2011-13575.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13472.htmlNotice - Joint Industry Plan; Notice of Filing of a National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc.2011-06-01T00:00:00-07:002011-06-01T00:00:00-07:002011-13472Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-01/pdf/2011-13472.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13422.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange2011-06-01T00:00:00-07:002011-06-01T00:00:00-07:002011-13422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-01/pdf/2011-13422.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13420.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Revenue Sharing Program With Correlix, Inc. and a Free Trial Period for New Users of the Correlix Service2011-06-01T00:00:00-07:002011-06-01T00:00:00-07:002011-13420Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-01/pdf/2011-13420.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13419.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Revenue Sharing Program With Correlix, Inc. and a Free Trial Period for New Users of the Correlix Service2011-06-01T00:00:00-07:002011-06-01T00:00:00-07:002011-13419Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-01/pdf/2011-13419.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13418.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Revenue Sharing Program With Correlix, Inc. and a Free Trial Period for New Users of the Correlix Service2011-06-01T00:00:00-07:002011-06-01T00:00:00-07:002011-13418Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-01/pdf/2011-13418.pdfhttps://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13370.htmlProposed Rule - Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings2011-06-01T00:00:00-07:002011-06-01T00:00:00-07:002011-13370Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-06-01/pdf/2011-13370.pdf