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/2011/07?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T13:51:11-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19236.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rules in Connection With the Elimination of a Directed Order Program for BATS Options2011-07-29T00:00:00-07:002011-07-29T00:00:00-07:002011-19236Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-29/pdf/2011-19236.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19231.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt Additional Listing Requirements for Reverse Mergers2011-07-29T00:00:00-07:002011-07-29T00:00:00-07:002011-19231Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-29/pdf/2011-19231.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19193.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing Proposed Rule Change and Amendment No. 1 To Amend the Codes of Arbitration Procedure To Permit Arbitrators To Make Mid-Case Referrals2011-07-29T00:00:00-07:002011-07-29T00:00:00-07:002011-19193Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-29/pdf/2011-19193.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19191.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Trader Examination2011-07-29T00:00:00-07:002011-07-29T00:00:00-07:002011-19191Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-29/pdf/2011-19191.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19190.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Rules Regarding the GCF Repo Service To Adopt Changes Recommended by the Tri-Party Repo Infrastructure Reform Task Force2011-07-29T00:00:00-07:002011-07-29T00:00:00-07:002011-19190Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-29/pdf/2011-19190.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19189.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Application of the Fee Schedule to Certain Transactions of, and Services to, CHX Participants and Make Certain Rate Changes2011-07-29T00:00:00-07:002011-07-29T00:00:00-07:002011-19189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-29/pdf/2011-19189.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/28/C1-2011-17957.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Early Redemption of Certificates of Deposit2011-07-28T00:00:00-07:002011-07-28T00:00:00-07:00C1-2011-17957Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-28/pdf/C1-2011-17957.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19181.htmlNotice - Sunshine Act Meeting2011-07-28T00:00:00-07:002011-07-28T00:00:00-07:002011-19181Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-28/pdf/2011-19181.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19054.htmlNotice - Proposed Collection; Comment Request2011-07-28T00:00:00-07:002011-07-28T00:00:00-07:002011-19054Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-28/pdf/2011-19054.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19053.htmlNotice - Proposed Collection; Comment Request2011-07-28T00:00:00-07:002011-07-28T00:00:00-07:002011-19053Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-28/pdf/2011-19053.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19052.htmlNotice - ING Asia Pacific High Dividend Equity Income Fund, et al.; Notice of Application2011-07-28T00:00:00-07:002011-07-28T00:00:00-07:002011-19052Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-28/pdf/2011-19052.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19051.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To Adopt a Risk Monitor Mechanism2011-07-28T00:00:00-07:002011-07-28T00:00:00-07:002011-19051Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-28/pdf/2011-19051.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/27/2011-19131.htmlNotice - Sunshine Act Meeting2011-07-27T00:00:00-07:002011-07-27T00:00:00-07:002011-19131Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-27/pdf/2011-19131.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/27/2011-19130.htmlNotice - Sunshine Act Meeting2011-07-27T00:00:00-07:002011-07-27T00:00:00-07:002011-19130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-27/pdf/2011-19130.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/27/2011-18927.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Compliance Deadline for Registration and Qualification Pursuant to Rule 3.6A2011-07-27T00:00:00-07:002011-07-27T00:00:00-07:002011-18927Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-27/pdf/2011-18927.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/27/2011-18926.htmlNotice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to NYSE Arca Rule 6.8 To Increase Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund, Which List and Trade Under the Option Symbol SPY, and To Update the Names and One Trading Symbol for the Options Reflected Therein, Including SPY2011-07-27T00:00:00-07:002011-07-27T00:00:00-07:002011-18926Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-27/pdf/2011-18926.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/27/2011-18925.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Application and Annual Fees for the BX Venture Market2011-07-27T00:00:00-07:002011-07-27T00:00:00-07:002011-18925Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-27/pdf/2011-18925.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/27/2011-18924.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change to List and Trade the Shares of the WisdomTree Dreyfus Euro Debt Fund Under NYSE Arca Equities Rule 8.6002011-07-27T00:00:00-07:002011-07-27T00:00:00-07:002011-18924Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-27/pdf/2011-18924.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18889.htmlProposed Rule - Joint Public Roundtable on International Issues Relating to the Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act2011-07-26T00:00:00-07:002011-07-26T00:00:00-07:002011-18889Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18889.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18822.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Service Fee on QCC Orders and Floor QCC Orders2011-07-26T00:00:00-07:002011-07-26T00:00:00-07:002011-18822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18822.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18817.htmlNotice - Northern Lights Variable Trust, et al.;2011-07-26T00:00:00-07:002011-07-26T00:00:00-07:002011-18817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18817.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18816.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding the Submission by the Exchange of Clearing-Related Information for Trades Executed on the Exchange as Well as for Trades Executed Otherwise Than on the Exchange2011-07-26T00:00:00-07:002011-07-26T00:00:00-07:002011-18816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18816.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18802.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing2011-07-26T00:00:00-07:002011-07-26T00:00:00-07:002011-18802Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18802.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18801.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Renumber Rule 52302011-07-26T00:00:00-07:002011-07-26T00:00:00-07:002011-18801Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18801.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18800.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Price Improvement Mechanism Pilot Program2011-07-26T00:00:00-07:002011-07-26T00:00:00-07:002011-18800Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18800.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18799.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Two Pilot Programs Related to the Exchange's Automated Improvement Mechanism2011-07-26T00:00:00-07:002011-07-26T00:00:00-07:002011-18799Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18799.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18798.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a Pilot Program Related to the Exchange's Automated Improvement Mechanism2011-07-26T00:00:00-07:002011-07-26T00:00:00-07:002011-18798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18798.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18797.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position and Exercise Limits for Options on the Standard & Poor's Depository Receipts2011-07-26T00:00:00-07:002011-07-26T00:00:00-07:002011-18797Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18797.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18763.htmlProposed Rule - Acceptance of Public Submissions for a Study on International Swap Regulation Mandated by Section 719(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act2011-07-26T00:00:00-07:002011-07-26T00:00:00-07:002011-18763Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18763.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/25/2011-18686.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 103 To Reduce the Net Liquid Asset Requirements for DMM Units2011-07-25T00:00:00-07:002011-07-25T00:00:00-07:002011-18686Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-25/pdf/2011-18686.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/25/2011-18685.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Link Market Data Fees and Transaction Execution Fees2011-07-25T00:00:00-07:002011-07-25T00:00:00-07:002011-18685Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-25/pdf/2011-18685.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/25/2011-18684.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Obligations of Exchange-Registered Institutional Brokers2011-07-25T00:00:00-07:002011-07-25T00:00:00-07:002011-18684Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-25/pdf/2011-18684.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/25/2011-18683.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. To Expand the Short Term Option Program2011-07-25T00:00:00-07:002011-07-25T00:00:00-07:002011-18683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-25/pdf/2011-18683.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/C1-2011-17381.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees2011-07-22T00:00:00-07:002011-07-22T00:00:00-07:00C1-2011-17381Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/C1-2011-17381.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18681.htmlNotice - Sunshine Act Meeting.2011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18681Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18681.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18680.htmlNotice - Sunshine Act Meeting2011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18680Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18680.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18679.htmlNotice - M (2003) PLC (f/k/a Marconi PLC), Mayfair Mining & Minerals, Inc., MM2 Group, Inc., Nayna Networks, Inc., NCT Group, Inc., and Neptune Industries, Inc. (f/k/a Move Films, Inc.); Order of Suspension of Trading2011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18679Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18679.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18513.htmlRule - Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act2011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18513Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18513.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18505.htmlNotice - BAC Home Loans Servicing, LP, et al.; Notice of Application and Temporary Order2011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18505Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18505.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18504.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Amendment to EDGX Rule 11.92011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18504Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18504.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18503.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Changes Consistent With the Upcoming Implementation of the Market Access Rule2011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18503Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18503.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18502.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Rule 11.15 Consistent With the Implementation of the Adoption of Rule 15c3-5 Under the Act2011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18502Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18502.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18501.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 993NY To Make Changes Necessary To Allow Its Routing Broker To Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 19342011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18501Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18501.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18500.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17-NYSE Amex Equities to Make Changes Necessary to Allow Its Routing Broker to Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 19342011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18500Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18500.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18499.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.45 to Make Changes Necessary to Allow Its Routing Broker to Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 19342011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18499Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18499.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18498.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.96 To Make Changes Necessary To Allow Its Routing Broker To Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 19342011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18498Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18498.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18497.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Changes Consistent With the Upcoming Implementation of the Market Access Rule2011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18497Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18497.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18496.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 To Make Changes Necessary To Allow Its Routing Broker To Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 19342011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18496Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18496.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18495.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Amendment to EDGA Rule 11.92011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18495.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18494.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Options Rule 1080(m)2011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18494Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18494.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18493.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Proposal To Amend the Fee Schedule by Adding Definitions for the Strategy Executions That Qualify for Transaction Fee Caps2011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18493Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18493.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18492.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Stock Market Equities Trading Rules 4757 and 4758 and NASDAQ Options Market Rules Chapter VI2011-07-22T00:00:00-07:002011-07-22T00:00:00-07:002011-18492Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18492.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/21/2011-18345.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Requesting Permanent Approval of Pilot Program To Permit BOX To Accept Inbound Routes by NOS2011-07-21T00:00:00-07:002011-07-21T00:00:00-07:002011-18345Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-21/pdf/2011-18345.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/21/2011-18341.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct a Typographical Error in Rule 10202011-07-21T00:00:00-07:002011-07-21T00:00:00-07:002011-18341Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-21/pdf/2011-18341.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/21/2011-18340.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange2011-07-21T00:00:00-07:002011-07-21T00:00:00-07:002011-18340Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-21/pdf/2011-18340.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18222.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Credit Option Margin Pilot Program to January 17, 20122011-07-20T00:00:00-07:002011-07-20T00:00:00-07:002011-18222Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-20/pdf/2011-18222.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18221.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)2011-07-20T00:00:00-07:002011-07-20T00:00:00-07:002011-18221Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-20/pdf/2011-18221.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18220.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7027 of the NASDAQ OMX BX Pricing Schedule2011-07-20T00:00:00-07:002011-07-20T00:00:00-07:002011-18220Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-20/pdf/2011-18220.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18219.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7027 of the NASDAQ Pricing Schedule2011-07-20T00:00:00-07:002011-07-20T00:00:00-07:002011-18219Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-20/pdf/2011-18219.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18195.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Conforming Certain of Its Financial Responsibility and Related Operational Rules to a Recently-Approved Financial Industry Regulatory Authority Rule Change2011-07-20T00:00:00-07:002011-07-20T00:00:00-07:002011-18195Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-20/pdf/2011-18195.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18194.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Conforming Certain of Its Financial Responsibility and Related Operational Rules to a Recently-Approved Financial Industry Regulatory Authority Rule Change2011-07-20T00:00:00-07:002011-07-20T00:00:00-07:002011-18194Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-20/pdf/2011-18194.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18218.htmlNotice - Sunshine Act Meeting2011-07-19T00:00:00-07:002011-07-19T00:00:00-07:002011-18218Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-19/pdf/2011-18218.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18118.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clearing and Settling a Price Differential Spread Futures Transaction2011-07-19T00:00:00-07:002011-07-19T00:00:00-07:002011-18118Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-19/pdf/2011-18118.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18091.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt FINRA Rule 0180 (Application of Rules to Security-Based Swaps)2011-07-19T00:00:00-07:002011-07-19T00:00:00-07:002011-18091Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-19/pdf/2011-18091.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18074.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Schedule Concerning Certain Orders of Certain Affiliates for Purposes of a Fee Cap and Sliding Scale2011-07-19T00:00:00-07:002011-07-19T00:00:00-07:002011-18074Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-19/pdf/2011-18074.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18040.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule by Adding Definitions for the Strategy Executions That Qualify for Transaction Fee Caps2011-07-19T00:00:00-07:002011-07-19T00:00:00-07:002011-18040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-19/pdf/2011-18040.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/19/2011-16318.htmlRule - Rules Implementing Amendments to the Investment Advisers Act of 19402011-07-19T00:00:00-07:002011-07-19T00:00:00-07:002011-16318Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-19/pdf/2011-16318.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/18/2011-18085.htmlNotice - BioMETRX, Inc., Biopure Corp. (n/k/a PBBPC, Inc.), Distributed Energy Systems Corp., Fortified Holdings Corp., Knobias, Inc., and One IP Voice, Inc. (n/k/a Indian Hill Holdings Corporation); Order of Suspension of Trading2011-07-18T00:00:00-07:002011-07-18T00:00:00-07:002011-18085Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-18085.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/18/2011-18068.htmlNotice - Order of Suspension of Trading; In the Matter of M.B.A. Holdings, Inc., Medicor Ltd., MidgardXXI, Inc., MidNet, Inc., Nettel Holdings, Inc., and Nexicon, Inc., File No. 500-12011-07-18T00:00:00-07:002011-07-18T00:00:00-07:002011-18068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-18068.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/18/2011-18067.htmlNotice - Sunshine Act Meeting2011-07-18T00:00:00-07:002011-07-18T00:00:00-07:002011-18067Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-18067.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/18/2011-18051.htmlNotice - Sunshine Act Meeting2011-07-18T00:00:00-07:002011-07-18T00:00:00-07:002011-18051Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-18051.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17958.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) From August 1, 2011 to September 12, 20112011-07-18T00:00:00-07:002011-07-18T00:00:00-07:002011-17958Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17958.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17957.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Early Redemption of Certificates of Deposit2011-07-18T00:00:00-07:002011-07-18T00:00:00-07:002011-17957Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17957.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17956.htmlNotice - HighMark Funds and HighMark Capital Management, Inc.; Notice of Application2011-07-18T00:00:00-07:002011-07-18T00:00:00-07:002011-17956Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17956.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17955.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Rule 92(c)(3) From August 1, 2011 to September 12, 20112011-07-18T00:00:00-07:002011-07-18T00:00:00-07:002011-17955Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17955.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17954.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 To Extend the Waiver of Certain Co-Location Installation Fees for an Additional Month2011-07-18T00:00:00-07:002011-07-18T00:00:00-07:002011-17954Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17954.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17917.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options2011-07-18T00:00:00-07:002011-07-18T00:00:00-07:002011-17917Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17917.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17911.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy2011-07-18T00:00:00-07:002011-07-18T00:00:00-07:002011-17911Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17911.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/18/2011-16758.htmlProposed Rule - Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants2011-07-18T00:00:00-07:002011-07-18T00:00:00-07:002011-16758Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-16758.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-18009.htmlRule - Retail Foreign Exchange Transactions2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-18009Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-18009.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17972.htmlNotice - Aqua Society, Inc., Centurion Gold Holdings, Inc., and PowerRaise, Inc.; Order of Suspension of Trading2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17972Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17972.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17971.htmlNotice - In the Matter of Maxicare Health Plans, Inc., MetroConnect Inc., Microislet, Inc., Mobicom Corp., MTI Technology Corp., and North American Scientific, Inc.; Order of Suspension of Trading2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17971.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17970.htmlNotice - Columbus Geographic Systems (GIS) Ltd.; Order of Suspension of Trading2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17970.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17877.htmlNotice - FQF Trust, et al.; Notice of Application2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17877Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17877.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17871.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amend NYSE Arca Equities Rule 7.31(b) To Add Text Describing How Limit Orders Priced a Specified Percentage Away From the National Best Bid or Offer Will Be Rejected by Exchange Systems2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17871Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17871.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17870.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17870Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17870.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17854.htmlNotice - Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 Under the Investment Advisers Act of 19402011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17854.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17817.htmlNotice - Proposed Collection; Comment Request2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17817.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17816.htmlNotice - J.P. Morgan Securities LLC, et al.; Notice of Application and Temporary Order2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17816.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17815.htmlNotice - Proposed Collection; Comment Request2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17815Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17815.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17803.htmlNotice - Proposed Collection; Comment Request2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17803Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17803.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17797.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Complex Orders2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17797Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17797.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17794.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fees Schedule Regarding Automated Improvement Mechanism Fees2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17794Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17794.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17793.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Its Fee Schedule To Increase its SRO, DEA and Off-Exchange Trader Fees2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17793Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17793.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17791.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PAR Official Fees in Volatility Index Options2011-07-15T00:00:00-07:002011-07-15T00:00:00-07:002011-17791Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17791.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17855.htmlNotice - Sunshine Act Meeting2011-07-14T00:00:00-07:002011-07-14T00:00:00-07:002011-17855Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17855.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17694.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 Schedule2011-07-14T00:00:00-07:002011-07-14T00:00:00-07:002011-17694Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17694.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17693.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2011-07-14T00:00:00-07:002011-07-14T00:00:00-07:002011-17693Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17693.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17692.htmlNotice - 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.2011-07-14T00:00:00-07:002011-07-14T00:00:00-07:002011-17692Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17692.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17691.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Board of Director Qualifications2011-07-14T00:00:00-07:002011-07-14T00:00:00-07:002011-17691Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17691.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17690.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending NYSE Amex Equities Rule 70.40(3) To Permit Member Organizations To Engage in Proprietary Trading From Their Approved Booth Premises in Certain OTC Bulletin Board and OTC Markets Securities2011-07-14T00:00:00-07:002011-07-14T00:00:00-07:002011-17690Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17690.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17689.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Amending NYSE Rule 70.40(3) To Permit Member Organizations To Engage in Proprietary Trading from Their Approved Booth Premises in Certain OTC Bulletin Board and OTC Markets Securities2011-07-14T00:00:00-07:002011-07-14T00:00:00-07:002011-17689Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17689.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17683.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Extend the Waiver of Certain Co-Location Installation Fees for an Additional Month2011-07-14T00:00:00-07:002011-07-14T00:00:00-07:002011-17683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17683.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17682.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Revolving Door Restrictions on Former Officers of FINRA2011-07-14T00:00:00-07:002011-07-14T00:00:00-07:002011-17682Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17682.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17679.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 To Extend the Waiver of Certain Co-Location Installation Fees for an Additional Month2011-07-14T00:00:00-07:002011-07-14T00:00:00-07:002011-17679Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17679.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17524.htmlRule - Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies2011-07-13T00:00:00-07:002011-07-13T00:00:00-07:002011-17524Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-13/pdf/2011-17524.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17523.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Extend the Availability of a Data Feed2011-07-13T00:00:00-07:002011-07-13T00:00:00-07:002011-17523Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-13/pdf/2011-17523.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17522.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations2011-07-13T00:00:00-07:002011-07-13T00:00:00-07:002011-17522Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-13/pdf/2011-17522.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17518.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend the Availability of a Data Feed2011-07-13T00:00:00-07:002011-07-13T00:00:00-07:002011-17518Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-13/pdf/2011-17518.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17517.htmlNotice - Proposed Collection; Comment Request2011-07-13T00:00:00-07:002011-07-13T00:00:00-07:002011-17517Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-13/pdf/2011-17517.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17520.htmlNotice - Sunshine Act Meeting2011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17520Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17520.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17430.htmlNotice - WNC Tax Credits 40, LLC, WNC Tax Credits 41, LLC, WNC Housing Tax Credits Manager 2, LLC, WNC National Partners, LLC and WNC & Associates, Inc.; Notice of Application2011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17430Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17430.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17429.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Correcting the Numbering of a Recently Adopted NYSE Arca Equities Rule2011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17429.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17428.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Routing Priority2011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17428.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17427.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, Step-Up Tier 1 and Step-Up Tier 22011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17427.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17426.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Schedule Relating to the Marketing Fee2011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17426.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17425.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Waiver of the Transaction Fee for Public Customer Orders in SPY Options Executed in Open Outcry or in the Automated Improvement Mechanism2011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17425.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17395.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the NASDAQ Stock Market LLC Regarding Expansion of the Short Term Option Series Program2011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17395Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17395.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17394.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Priority2011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17394Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17394.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17388.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Board Funding Final Rules for Allocation of the Board's Accounting Support Fee Among Issuers, Brokers, and Dealers, and Other Amendments to the Board's Funding Rules2011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17388.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17387.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Temporary Rule for an Interim Program of Inspection Related to Audits of Brokers and Dealers2011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17387Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17387.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17383.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees2011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17383Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17383.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17381.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees2011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17381Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17381.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17380.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Adopt a New Hosted Solution Fee and Other Changes to the Fee Schedule2011-07-12T00:00:00-07:002011-07-12T00:00:00-07:002011-17380Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17380.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17331.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Complex Orders2011-07-11T00:00:00-07:002011-07-11T00:00:00-07:002011-17331Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17331.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17330.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Modify Its Fee Schedule Regarding Co-Location Fees to Establish Fees for Access to Market Data Feeds From the Toronto Stock Exchange and the TSX Venture Exchange2011-07-11T00:00:00-07:002011-07-11T00:00:00-07:002011-17330Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17330.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17329.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Co-Location Fee Schedule To Establish Fees for Access to Market Data Feeds From the Toronto Stock Exchange and the TSX Venture Exchange2011-07-11T00:00:00-07:002011-07-11T00:00:00-07:002011-17329Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17329.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17306.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Changes To Its Fees Schedule Related to Qualified Contingent Cross Orders2011-07-11T00:00:00-07:002011-07-11T00:00:00-07:002011-17306Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17306.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17305.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Add New Section 907.00 to the Listed Company Manual That Sets Forth Certain Complimentary Products and Services That Are Offered to Currently and Newly Listed Issuers2011-07-11T00:00:00-07:002011-07-11T00:00:00-07:002011-17305Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17305.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17245.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Revisions to the Study Outline for the Municipal Fund Securities Limited Principal Qualification Examination (Series 51)2011-07-11T00:00:00-07:002011-07-11T00:00:00-07:002011-17245Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17245.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17039.htmlRule - Exemptions for Security-Based Swaps2011-07-11T00:00:00-07:002011-07-11T00:00:00-07:002011-17039Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17039.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17188.htmlNotice - Sterling Capital Funds and Sterling Capital Management LLC; Notice of Application2011-07-08T00:00:00-07:002011-07-08T00:00:00-07:002011-17188Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17188.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17187.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Associated With the Obligation Warehouse Service2011-07-08T00:00:00-07:002011-07-08T00:00:00-07:002011-17187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17187.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17132.htmlRule - Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps2011-07-08T00:00:00-07:002011-07-08T00:00:00-07:002011-17132Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17132.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17127.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules2011-07-08T00:00:00-07:002011-07-08T00:00:00-07:002011-17127Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17127.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17123.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1000(a)(iv) To Provide for a Different Liquidity Replenishment Point Value Range During the First Day of Trading of an Initial Public Offering on the Exchange2011-07-08T00:00:00-07:002011-07-08T00:00:00-07:002011-17123Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17123.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17122.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1000(a)(iv) To Provide for a Different Liquidity Replenishment Point Value Range During the First Day of Trading of an Initial Public Offering on the Exchange2011-07-08T00:00:00-07:002011-07-08T00:00:00-07:002011-17122Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17122.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17120.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Transaction Fees2011-07-08T00:00:00-07:002011-07-08T00:00:00-07:002011-17120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17120.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17119.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Alpha Index Options2011-07-08T00:00:00-07:002011-07-08T00:00:00-07:002011-17119Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17119.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17062.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Co-Location Fee Schedule To Establish Fees for Access to Market Data Feeds From the Toronto Stock Exchange and the TSX Venture Exchange2011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-17062Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-17062.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17053.htmlNotice - Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions From Clearing Agency Registration Requirements Under Section 17A(b) of the Exchange Act for Entities Providing Certain Clearing Services for Security-Based Swaps2011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-17053Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-17053.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17040.htmlNotice - Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With the Pending Revision of the Definition of “Security” To Encompass Security-Based Swaps, and Request for Comment2011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-17040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-17040.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17034.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Available Without Charge the EDGA Book Feed and To Add a Description of the EDGA Book Feed to New Rule 13.82011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-17034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-17034.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17033.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Available Without Charge the EDGX Book Feed and To Add a Description of the EDGX Book Feed to New Rule 13.82011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-17033Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-17033.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16963.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Rules and Adding New Rules so That They Remain Substantially Similar to Corresponding Financial Industry Regulatory Authority Rules in Accordance With a Rule 17d-2 Agreement2011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-16963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16963.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16950.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposal To Extend a Pilot Program That Permits BOX to Have No Minimum Size Requirement for Orders Entered Into the Price Improvement Period (PIP) Process Until July 18, 20122011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-16950Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16950.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16933.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 351(a)-(d) and Supplementary Material .10 and .13, Adopting the Text of FINRA Rule 4530, and Making Certain Conforming Changes2011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-16933Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16933.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16932.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rule 351(a)-(d) and Supplementary Material .10 and .13, Adopting the Text of FINRA Rule 4530, and Making Certain Conforming Changes2011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-16932Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16932.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16931.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of Rule 409(f)-NYSE Amex Equities and Adopting the Text of FINRA Rule 22322011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-16931Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16931.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16930.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Rule 409(f) and Adopting the Text of FINRA Rule 2232 and Deleting the Rule Interpretations to NYSE Rule 3462011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-16930Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16930.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16922.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Create, on a Six-Month Pilot Basis, a Directed Order Program2011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-16922Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16922.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16864.htmlRule - Delegation of Authority to the Director of Its Division of Enforcement2011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-16864Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16864.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/07/2011-15505.htmlProposed Rule - Regulatory Flexibility Agenda2011-07-07T00:00:00-07:002011-07-07T00:00:00-07:002011-15505Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-15505.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16951.htmlNotice - Sunshine Act Meeting2011-07-06T00:00:00-07:002011-07-06T00:00:00-07:002011-16951Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16951.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16888.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or January 31, 20122011-07-06T00:00:00-07:002011-07-06T00:00:00-07:002011-16888Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16888.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16887.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or January 31, 20122011-07-06T00:00:00-07:002011-07-06T00:00:00-07:002011-16887Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16887.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16854.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Concerning the CHX Connect Service2011-07-06T00:00:00-07:002011-07-06T00:00:00-07:002011-16854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16854.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16843.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Listing and Trading Various Russell Products2011-07-06T00:00:00-07:002011-07-06T00:00:00-07:002011-16843Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16843.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16823.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend the BOX Fee Schedule2011-07-06T00:00:00-07:002011-07-06T00:00:00-07:002011-16823Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16823.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16822.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Rules Relating to Discontinuing Dividend Settlement Service, Funds Only Settlement Service, Data Distribution Box Services, and Changes to the Envelope Settlement Service2011-07-06T00:00:00-07:002011-07-06T00:00:00-07:002011-16822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16822.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16818.htmlNotice - J.P. Morgan Securities LLC, et al.; Notice of Application and Temporary Order2011-07-06T00:00:00-07:002011-07-06T00:00:00-07:002011-16818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16818.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16765.htmlNotice - Submission for OMB Review; Comment Request2011-07-06T00:00:00-07:002011-07-06T00:00:00-07:002011-16765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16765.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16764.htmlNotice - Proposed Collection; Comment Request2011-07-06T00:00:00-07:002011-07-06T00:00:00-07:002011-16764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16764.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16118.htmlRule - Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers2011-07-06T00:00:00-07:002011-07-06T00:00:00-07:002011-16118Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16118.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/05/2011-16841.htmlNotice - In the Matter of Basin Water, Inc.; Order of Suspension of Trading2011-07-05T00:00:00-07:002011-07-05T00:00:00-07:002011-16841Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-05/pdf/2011-16841.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/05/2011-16688.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or January 31, 20122011-07-05T00:00:00-07:002011-07-05T00:00:00-07:002011-16688Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-05/pdf/2011-16688.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/05/2011-16687.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or January 31, 20122011-07-05T00:00:00-07:002011-07-05T00:00:00-07:002011-16687Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-05/pdf/2011-16687.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/05/2011-16679.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position and Exercise Limit for Options on the Standard & Poor's® Depository Receipts (SPDRs®)2011-07-05T00:00:00-07:002011-07-05T00:00:00-07:002011-16679Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-05/pdf/2011-16679.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/01/2011-16570.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 Regarding Co-Location Fees for Additional Power and Cable Options2011-07-01T00:00:00-07:002011-07-01T00:00:00-07:002011-16570Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-01/pdf/2011-16570.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/01/2011-16551.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change To Amend BATS Rule 11.9, Entitled “Orders and Modifiers” and BATS Rule 11.13, Entitled “Order Execution”2011-07-01T00:00:00-07:002011-07-01T00:00:00-07:002011-16551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-01/pdf/2011-16551.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/01/2011-16550.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Approving a Proposed Rule Change To Amend BYX Rule 11.9, Entitled “Orders and Modifiers” and BYX Rule 11.13, Entitled “Order Execution”2011-07-01T00:00:00-07:002011-07-01T00:00:00-07:002011-16550Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-01/pdf/2011-16550.pdfhttps://regulations.justia.com/regulations/fedreg/2011/07/01/2011-16538.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 Regarding Co-Location Fees for Additional Power and Cable Options2011-07-01T00:00:00-07:002011-07-01T00:00:00-07:002011-16538Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-07-01/pdf/2011-16538.pdf