<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2011/07?registers=between&min-day=1&max-day=31 Thu, 02 May 2024 12:41:44 -0700 Thu, 02 May 2024 12:41:44 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2011/07?registers=between&min-day=1&max-day=31 Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19236.html https://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19236.html Fri, 29 Jul 2011 00:00:00 -0700 2011-19236 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-29/pdf/2011-19236.pdf Notice - 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 Mergers https://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19231.html https://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19231.html Fri, 29 Jul 2011 00:00:00 -0700 2011-19231 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-29/pdf/2011-19231.pdf Notice - 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 Referrals https://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19193.html https://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19193.html Fri, 29 Jul 2011 00:00:00 -0700 2011-19193 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-29/pdf/2011-19193.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Trader Examination https://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19191.html https://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19191.html Fri, 29 Jul 2011 00:00:00 -0700 2011-19191 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-29/pdf/2011-19191.pdf Notice - 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 Force https://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19190.html https://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19190.html Fri, 29 Jul 2011 00:00:00 -0700 2011-19190 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-29/pdf/2011-19190.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19189.html https://regulations.justia.com/regulations/fedreg/2011/07/29/2011-19189.html Fri, 29 Jul 2011 00:00:00 -0700 2011-19189 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-29/pdf/2011-19189.pdf Notice - 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 Deposit https://regulations.justia.com/regulations/fedreg/2011/07/28/C1-2011-17957.html https://regulations.justia.com/regulations/fedreg/2011/07/28/C1-2011-17957.html Thu, 28 Jul 2011 00:00:00 -0700 C1-2011-17957 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-28/pdf/C1-2011-17957.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19181.html https://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19181.html Thu, 28 Jul 2011 00:00:00 -0700 2011-19181 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-28/pdf/2011-19181.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19054.html https://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19054.html Thu, 28 Jul 2011 00:00:00 -0700 2011-19054 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-28/pdf/2011-19054.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19053.html https://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19053.html Thu, 28 Jul 2011 00:00:00 -0700 2011-19053 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-28/pdf/2011-19053.pdf Notice - ING Asia Pacific High Dividend Equity Income Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19052.html https://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19052.html Thu, 28 Jul 2011 00:00:00 -0700 2011-19052 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-28/pdf/2011-19052.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To Adopt a Risk Monitor Mechanism https://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19051.html https://regulations.justia.com/regulations/fedreg/2011/07/28/2011-19051.html Thu, 28 Jul 2011 00:00:00 -0700 2011-19051 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-28/pdf/2011-19051.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/07/27/2011-19131.html https://regulations.justia.com/regulations/fedreg/2011/07/27/2011-19131.html Wed, 27 Jul 2011 00:00:00 -0700 2011-19131 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-27/pdf/2011-19131.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/07/27/2011-19130.html https://regulations.justia.com/regulations/fedreg/2011/07/27/2011-19130.html Wed, 27 Jul 2011 00:00:00 -0700 2011-19130 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-27/pdf/2011-19130.pdf Notice - 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 3.6A https://regulations.justia.com/regulations/fedreg/2011/07/27/2011-18927.html https://regulations.justia.com/regulations/fedreg/2011/07/27/2011-18927.html Wed, 27 Jul 2011 00:00:00 -0700 2011-18927 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-27/pdf/2011-18927.pdf Notice - 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 SPY https://regulations.justia.com/regulations/fedreg/2011/07/27/2011-18926.html https://regulations.justia.com/regulations/fedreg/2011/07/27/2011-18926.html Wed, 27 Jul 2011 00:00:00 -0700 2011-18926 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-27/pdf/2011-18926.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2011/07/27/2011-18925.html https://regulations.justia.com/regulations/fedreg/2011/07/27/2011-18925.html Wed, 27 Jul 2011 00:00:00 -0700 2011-18925 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-27/pdf/2011-18925.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2011/07/27/2011-18924.html https://regulations.justia.com/regulations/fedreg/2011/07/27/2011-18924.html Wed, 27 Jul 2011 00:00:00 -0700 2011-18924 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-27/pdf/2011-18924.pdf Proposed Rule - Joint Public Roundtable on International Issues Relating to the Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18889.html https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18889.html Tue, 26 Jul 2011 00:00:00 -0700 2011-18889 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18889.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18822.html https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18822.html Tue, 26 Jul 2011 00:00:00 -0700 2011-18822 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18822.pdf Notice - Northern Lights Variable Trust, et al.; https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18817.html https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18817.html Tue, 26 Jul 2011 00:00:00 -0700 2011-18817 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18817.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18816.html https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18816.html Tue, 26 Jul 2011 00:00:00 -0700 2011-18816 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18816.pdf Notice - 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 Disclosing https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18802.html https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18802.html Tue, 26 Jul 2011 00:00:00 -0700 2011-18802 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18802.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Renumber Rule 5230 https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18801.html https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18801.html Tue, 26 Jul 2011 00:00:00 -0700 2011-18801 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18801.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18800.html https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18800.html Tue, 26 Jul 2011 00:00:00 -0700 2011-18800 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18800.pdf Notice - 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 Mechanism https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18799.html https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18799.html Tue, 26 Jul 2011 00:00:00 -0700 2011-18799 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18799.pdf Notice - 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 Mechanism https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18798.html https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18798.html Tue, 26 Jul 2011 00:00:00 -0700 2011-18798 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18798.pdf Notice - 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 Receipts https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18797.html https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18797.html Tue, 26 Jul 2011 00:00:00 -0700 2011-18797 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18797.pdf Proposed 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 Act https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18763.html https://regulations.justia.com/regulations/fedreg/2011/07/26/2011-18763.html Tue, 26 Jul 2011 00:00:00 -0700 2011-18763 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18763.pdf Notice - 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 Units https://regulations.justia.com/regulations/fedreg/2011/07/25/2011-18686.html https://regulations.justia.com/regulations/fedreg/2011/07/25/2011-18686.html Mon, 25 Jul 2011 00:00:00 -0700 2011-18686 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-25/pdf/2011-18686.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2011/07/25/2011-18685.html https://regulations.justia.com/regulations/fedreg/2011/07/25/2011-18685.html Mon, 25 Jul 2011 00:00:00 -0700 2011-18685 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-25/pdf/2011-18685.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Obligations of Exchange-Registered Institutional Brokers https://regulations.justia.com/regulations/fedreg/2011/07/25/2011-18684.html https://regulations.justia.com/regulations/fedreg/2011/07/25/2011-18684.html Mon, 25 Jul 2011 00:00:00 -0700 2011-18684 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-25/pdf/2011-18684.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2011/07/25/2011-18683.html https://regulations.justia.com/regulations/fedreg/2011/07/25/2011-18683.html Mon, 25 Jul 2011 00:00:00 -0700 2011-18683 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-25/pdf/2011-18683.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees https://regulations.justia.com/regulations/fedreg/2011/07/22/C1-2011-17381.html https://regulations.justia.com/regulations/fedreg/2011/07/22/C1-2011-17381.html Fri, 22 Jul 2011 00:00:00 -0700 C1-2011-17381 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/C1-2011-17381.pdf Notice - Sunshine Act Meeting. https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18681.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18681.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18681 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18681.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18680.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18680.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18680 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18680.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18679.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18679.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18679 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18679.pdf Rule - Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18513.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18513.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18513 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18513.pdf Notice - BAC Home Loans Servicing, LP, et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18505.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18505.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18505 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18505.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Amendment to EDGX Rule 11.9 https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18504.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18504.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18504 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18504.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18503.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18503.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18503 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18503.pdf Notice - 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 Act https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18502.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18502.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18502 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18502.pdf Notice - 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 1934 https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18501.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18501.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18501 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18501.pdf Notice - 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 1934 https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18500.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18500.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18500 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18500.pdf Notice - 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 1934 https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18499.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18499.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18499 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18499.pdf Notice - 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 1934 https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18498.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18498.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18498 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18498.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18497.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18497.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18497 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18497.pdf Notice - 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 1934 https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18496.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18496.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18496 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18496.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Amendment to EDGA Rule 11.9 https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18495.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18495.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18495 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18495.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Options Rule 1080(m) https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18494.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18494.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18494 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18494.pdf Notice - 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 Caps https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18493.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18493.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18493 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18493.pdf Notice - 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 VI https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18492.html https://regulations.justia.com/regulations/fedreg/2011/07/22/2011-18492.html Fri, 22 Jul 2011 00:00:00 -0700 2011-18492 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-22/pdf/2011-18492.pdf Notice - 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 NOS https://regulations.justia.com/regulations/fedreg/2011/07/21/2011-18345.html https://regulations.justia.com/regulations/fedreg/2011/07/21/2011-18345.html Thu, 21 Jul 2011 00:00:00 -0700 2011-18345 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-21/pdf/2011-18345.pdf Notice - 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 1020 https://regulations.justia.com/regulations/fedreg/2011/07/21/2011-18341.html https://regulations.justia.com/regulations/fedreg/2011/07/21/2011-18341.html Thu, 21 Jul 2011 00:00:00 -0700 2011-18341 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-21/pdf/2011-18341.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2011/07/21/2011-18340.html https://regulations.justia.com/regulations/fedreg/2011/07/21/2011-18340.html Thu, 21 Jul 2011 00:00:00 -0700 2011-18340 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-21/pdf/2011-18340.pdf Notice - 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, 2012 https://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18222.html https://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18222.html Wed, 20 Jul 2011 00:00:00 -0700 2011-18222 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-20/pdf/2011-18222.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18221.html https://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18221.html Wed, 20 Jul 2011 00:00:00 -0700 2011-18221 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-20/pdf/2011-18221.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18220.html https://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18220.html Wed, 20 Jul 2011 00:00:00 -0700 2011-18220 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-20/pdf/2011-18220.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18219.html https://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18219.html Wed, 20 Jul 2011 00:00:00 -0700 2011-18219 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-20/pdf/2011-18219.pdf Notice - 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 Change https://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18195.html https://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18195.html Wed, 20 Jul 2011 00:00:00 -0700 2011-18195 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-20/pdf/2011-18195.pdf Notice - 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 Change https://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18194.html https://regulations.justia.com/regulations/fedreg/2011/07/20/2011-18194.html Wed, 20 Jul 2011 00:00:00 -0700 2011-18194 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-20/pdf/2011-18194.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18218.html https://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18218.html Tue, 19 Jul 2011 00:00:00 -0700 2011-18218 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-19/pdf/2011-18218.pdf Notice - 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 Transaction https://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18118.html https://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18118.html Tue, 19 Jul 2011 00:00:00 -0700 2011-18118 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-19/pdf/2011-18118.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18091.html https://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18091.html Tue, 19 Jul 2011 00:00:00 -0700 2011-18091 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-19/pdf/2011-18091.pdf Notice - 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 Scale https://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18074.html https://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18074.html Tue, 19 Jul 2011 00:00:00 -0700 2011-18074 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-19/pdf/2011-18074.pdf Notice - 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 Caps https://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18040.html https://regulations.justia.com/regulations/fedreg/2011/07/19/2011-18040.html Tue, 19 Jul 2011 00:00:00 -0700 2011-18040 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-19/pdf/2011-18040.pdf Rule - Rules Implementing Amendments to the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2011/07/19/2011-16318.html https://regulations.justia.com/regulations/fedreg/2011/07/19/2011-16318.html Tue, 19 Jul 2011 00:00:00 -0700 2011-16318 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-07-19/pdf/2011-16318.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-18085.html https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-18085.html Mon, 18 Jul 2011 00:00:00 -0700 2011-18085 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-18085.pdf Notice - 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. 500-1 https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-18068.html https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-18068.html Mon, 18 Jul 2011 00:00:00 -0700 2011-18068 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-18068.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-18067.html https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-18067.html Mon, 18 Jul 2011 00:00:00 -0700 2011-18067 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-18067.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-18051.html https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-18051.html Mon, 18 Jul 2011 00:00:00 -0700 2011-18051 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-18051.pdf Notice - 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, 2011 https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17958.html https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17958.html Mon, 18 Jul 2011 00:00:00 -0700 2011-17958 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17958.pdf Notice - 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 Deposit https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17957.html https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17957.html Mon, 18 Jul 2011 00:00:00 -0700 2011-17957 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17957.pdf Notice - HighMark Funds and HighMark Capital Management, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17956.html https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17956.html Mon, 18 Jul 2011 00:00:00 -0700 2011-17956 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17956.pdf Notice - 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, 2011 https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17955.html https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17955.html Mon, 18 Jul 2011 00:00:00 -0700 2011-17955 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17955.pdf Notice - 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 Month https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17954.html https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17954.html Mon, 18 Jul 2011 00:00:00 -0700 2011-17954 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17954.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17917.html https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17917.html Mon, 18 Jul 2011 00:00:00 -0700 2011-17917 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17917.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17911.html https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-17911.html Mon, 18 Jul 2011 00:00:00 -0700 2011-17911 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-17911.pdf Proposed Rule - Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-16758.html https://regulations.justia.com/regulations/fedreg/2011/07/18/2011-16758.html Mon, 18 Jul 2011 00:00:00 -0700 2011-16758 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-07-18/pdf/2011-16758.pdf Rule - Retail Foreign Exchange Transactions https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-18009.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-18009.html Fri, 15 Jul 2011 00:00:00 -0700 2011-18009 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-18009.pdf Notice - Aqua Society, Inc., Centurion Gold Holdings, Inc., and PowerRaise, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17972.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17972.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17972 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17972.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17971.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17971.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17971 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17971.pdf Notice - Columbus Geographic Systems (GIS) Ltd.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17970.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17970.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17970 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17970.pdf Notice - FQF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17877.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17877.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17877 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17877.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17871.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17871.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17871 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17871.pdf Notice - 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 Sale https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17870.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17870.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17870 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17870.pdf Notice - Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 Under the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17854.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17854.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17854 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17854.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17817.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17817.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17817 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17817.pdf Notice - J.P. Morgan Securities LLC, et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17816.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17816.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17816 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17816.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17815.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17815.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17815 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17815.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17803.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17803.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17803 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17803.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Complex Orders https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17797.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17797.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17797 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17797.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17794.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17794.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17794 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17794.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17793.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17793.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17793 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17793.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17791.html https://regulations.justia.com/regulations/fedreg/2011/07/15/2011-17791.html Fri, 15 Jul 2011 00:00:00 -0700 2011-17791 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-15/pdf/2011-17791.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17855.html https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17855.html Thu, 14 Jul 2011 00:00:00 -0700 2011-17855 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17855.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17694.html https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17694.html Thu, 14 Jul 2011 00:00:00 -0700 2011-17694 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17694.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17693.html https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17693.html Thu, 14 Jul 2011 00:00:00 -0700 2011-17693 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17693.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17692.html https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17692.html Thu, 14 Jul 2011 00:00:00 -0700 2011-17692 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17692.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Board of Director Qualifications https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17691.html https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17691.html Thu, 14 Jul 2011 00:00:00 -0700 2011-17691 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17691.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17690.html https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17690.html Thu, 14 Jul 2011 00:00:00 -0700 2011-17690 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17690.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17689.html https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17689.html Thu, 14 Jul 2011 00:00:00 -0700 2011-17689 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17689.pdf Notice - 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 Month https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17683.html https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17683.html Thu, 14 Jul 2011 00:00:00 -0700 2011-17683 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17683.pdf Notice - 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 FINRA https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17682.html https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17682.html Thu, 14 Jul 2011 00:00:00 -0700 2011-17682 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17682.pdf Notice - 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 Month https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17679.html https://regulations.justia.com/regulations/fedreg/2011/07/14/2011-17679.html Thu, 14 Jul 2011 00:00:00 -0700 2011-17679 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-14/pdf/2011-17679.pdf Rule - Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies https://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17524.html https://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17524.html Wed, 13 Jul 2011 00:00:00 -0700 2011-17524 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-07-13/pdf/2011-17524.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Extend the Availability of a Data Feed https://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17523.html https://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17523.html Wed, 13 Jul 2011 00:00:00 -0700 2011-17523 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-13/pdf/2011-17523.pdf Notice - 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 Quotations https://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17522.html https://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17522.html Wed, 13 Jul 2011 00:00:00 -0700 2011-17522 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-13/pdf/2011-17522.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17518.html https://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17518.html Wed, 13 Jul 2011 00:00:00 -0700 2011-17518 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-13/pdf/2011-17518.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17517.html https://regulations.justia.com/regulations/fedreg/2011/07/13/2011-17517.html Wed, 13 Jul 2011 00:00:00 -0700 2011-17517 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-13/pdf/2011-17517.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17520.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17520.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17520 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17520.pdf Notice - 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 Application https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17430.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17430.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17430 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17430.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17429.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17429.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17429 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17429.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Routing Priority https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17428.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17428.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17428 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17428.pdf Notice - 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 2 https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17427.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17427.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17427 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17427.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17426.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17426.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17426 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17426.pdf Notice - 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 Mechanism https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17425.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17425.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17425 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17425.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17395.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17395.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17395 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17395.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Priority https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17394.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17394.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17394 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17394.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17388.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17388.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17388 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17388.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Temporary Rule for an Interim Program of Inspection Related to Audits of Brokers and Dealers https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17387.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17387.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17387 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17387.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17383.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17383.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17383 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17383.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17381.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17381.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17381 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17381.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17380.html https://regulations.justia.com/regulations/fedreg/2011/07/12/2011-17380.html Tue, 12 Jul 2011 00:00:00 -0700 2011-17380 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17380.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Complex Orders https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17331.html https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17331.html Mon, 11 Jul 2011 00:00:00 -0700 2011-17331 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17331.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17330.html https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17330.html Mon, 11 Jul 2011 00:00:00 -0700 2011-17330 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17330.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17329.html https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17329.html Mon, 11 Jul 2011 00:00:00 -0700 2011-17329 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17329.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17306.html https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17306.html Mon, 11 Jul 2011 00:00:00 -0700 2011-17306 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17306.pdf Notice - 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 Issuers https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17305.html https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17305.html Mon, 11 Jul 2011 00:00:00 -0700 2011-17305 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17305.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17245.html https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17245.html Mon, 11 Jul 2011 00:00:00 -0700 2011-17245 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17245.pdf Rule - Exemptions for Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17039.html https://regulations.justia.com/regulations/fedreg/2011/07/11/2011-17039.html Mon, 11 Jul 2011 00:00:00 -0700 2011-17039 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-07-11/pdf/2011-17039.pdf Notice - Sterling Capital Funds and Sterling Capital Management LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17188.html https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17188.html Fri, 08 Jul 2011 00:00:00 -0700 2011-17188 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17188.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17187.html https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17187.html Fri, 08 Jul 2011 00:00:00 -0700 2011-17187 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17187.pdf Rule - Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17132.html https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17132.html Fri, 08 Jul 2011 00:00:00 -0700 2011-17132 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17132.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17127.html https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17127.html Fri, 08 Jul 2011 00:00:00 -0700 2011-17127 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17127.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17123.html https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17123.html Fri, 08 Jul 2011 00:00:00 -0700 2011-17123 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17123.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17122.html https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17122.html Fri, 08 Jul 2011 00:00:00 -0700 2011-17122 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17122.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Transaction Fees https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17120.html https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17120.html Fri, 08 Jul 2011 00:00:00 -0700 2011-17120 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17120.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Alpha Index Options https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17119.html https://regulations.justia.com/regulations/fedreg/2011/07/08/2011-17119.html Fri, 08 Jul 2011 00:00:00 -0700 2011-17119 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-08/pdf/2011-17119.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17062.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17062.html Thu, 07 Jul 2011 00:00:00 -0700 2011-17062 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-17062.pdf Notice - 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 Swaps https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17053.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17053.html Thu, 07 Jul 2011 00:00:00 -0700 2011-17053 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-17053.pdf Notice - 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 Comment https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17040.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17040.html Thu, 07 Jul 2011 00:00:00 -0700 2011-17040 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-17040.pdf Notice - 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 13.8 https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17034.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17034.html Thu, 07 Jul 2011 00:00:00 -0700 2011-17034 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-17034.pdf Notice - 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 13.8 https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17033.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-17033.html Thu, 07 Jul 2011 00:00:00 -0700 2011-17033 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-17033.pdf Notice - 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 Agreement https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16963.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16963.html Thu, 07 Jul 2011 00:00:00 -0700 2011-16963 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16963.pdf Notice - 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, 2012 https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16950.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16950.html Thu, 07 Jul 2011 00:00:00 -0700 2011-16950 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16950.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16933.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16933.html Thu, 07 Jul 2011 00:00:00 -0700 2011-16933 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16933.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16932.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16932.html Thu, 07 Jul 2011 00:00:00 -0700 2011-16932 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16932.pdf Notice - 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 2232 https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16931.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16931.html Thu, 07 Jul 2011 00:00:00 -0700 2011-16931 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16931.pdf Notice - 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 346 https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16930.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16930.html Thu, 07 Jul 2011 00:00:00 -0700 2011-16930 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16930.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16922.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16922.html Thu, 07 Jul 2011 00:00:00 -0700 2011-16922 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16922.pdf Rule - Delegation of Authority to the Director of Its Division of Enforcement https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16864.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-16864.html Thu, 07 Jul 2011 00:00:00 -0700 2011-16864 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-16864.pdf Proposed Rule - Regulatory Flexibility Agenda https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-15505.html https://regulations.justia.com/regulations/fedreg/2011/07/07/2011-15505.html Thu, 07 Jul 2011 00:00:00 -0700 2011-15505 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-07-07/pdf/2011-15505.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16951.html https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16951.html Wed, 06 Jul 2011 00:00:00 -0700 2011-16951 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16951.pdf Notice - 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, 2012 https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16888.html https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16888.html Wed, 06 Jul 2011 00:00:00 -0700 2011-16888 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16888.pdf Notice - 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, 2012 https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16887.html https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16887.html Wed, 06 Jul 2011 00:00:00 -0700 2011-16887 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16887.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Concerning the CHX Connect Service https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16854.html https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16854.html Wed, 06 Jul 2011 00:00:00 -0700 2011-16854 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16854.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16843.html https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16843.html Wed, 06 Jul 2011 00:00:00 -0700 2011-16843 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16843.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend the BOX Fee Schedule https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16823.html https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16823.html Wed, 06 Jul 2011 00:00:00 -0700 2011-16823 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16823.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16822.html https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16822.html Wed, 06 Jul 2011 00:00:00 -0700 2011-16822 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16822.pdf Notice - J.P. Morgan Securities LLC, et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16818.html https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16818.html Wed, 06 Jul 2011 00:00:00 -0700 2011-16818 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16818.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16765.html https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16765.html Wed, 06 Jul 2011 00:00:00 -0700 2011-16765 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16765.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16764.html https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16764.html Wed, 06 Jul 2011 00:00:00 -0700 2011-16764 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16764.pdf Rule - Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16118.html https://regulations.justia.com/regulations/fedreg/2011/07/06/2011-16118.html Wed, 06 Jul 2011 00:00:00 -0700 2011-16118 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-07-06/pdf/2011-16118.pdf Notice - In the Matter of Basin Water, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/07/05/2011-16841.html https://regulations.justia.com/regulations/fedreg/2011/07/05/2011-16841.html Tue, 05 Jul 2011 00:00:00 -0700 2011-16841 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-05/pdf/2011-16841.pdf Notice - 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, 2012 https://regulations.justia.com/regulations/fedreg/2011/07/05/2011-16688.html https://regulations.justia.com/regulations/fedreg/2011/07/05/2011-16688.html Tue, 05 Jul 2011 00:00:00 -0700 2011-16688 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-05/pdf/2011-16688.pdf Notice - 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, 2012 https://regulations.justia.com/regulations/fedreg/2011/07/05/2011-16687.html https://regulations.justia.com/regulations/fedreg/2011/07/05/2011-16687.html Tue, 05 Jul 2011 00:00:00 -0700 2011-16687 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-05/pdf/2011-16687.pdf Notice - 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®) https://regulations.justia.com/regulations/fedreg/2011/07/05/2011-16679.html https://regulations.justia.com/regulations/fedreg/2011/07/05/2011-16679.html Tue, 05 Jul 2011 00:00:00 -0700 2011-16679 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-05/pdf/2011-16679.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2011/07/01/2011-16570.html https://regulations.justia.com/regulations/fedreg/2011/07/01/2011-16570.html Fri, 01 Jul 2011 00:00:00 -0700 2011-16570 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-01/pdf/2011-16570.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2011/07/01/2011-16551.html https://regulations.justia.com/regulations/fedreg/2011/07/01/2011-16551.html Fri, 01 Jul 2011 00:00:00 -0700 2011-16551 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-01/pdf/2011-16551.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2011/07/01/2011-16550.html https://regulations.justia.com/regulations/fedreg/2011/07/01/2011-16550.html Fri, 01 Jul 2011 00:00:00 -0700 2011-16550 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-01/pdf/2011-16550.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2011/07/01/2011-16538.html https://regulations.justia.com/regulations/fedreg/2011/07/01/2011-16538.html Fri, 01 Jul 2011 00:00:00 -0700 2011-16538 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-07-01/pdf/2011-16538.pdf