<![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/2011/08/03?registers=between Fri, 27 Jun 2025 13:23:38 -0700 Fri, 27 Jun 2025 13:23:38 -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/2011/08/03?registers=between Proposed Rule - Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants https://regulations.justia.com/regulations/fedreg/2011/08/03/C1-2011-16758.html https://regulations.justia.com/regulations/fedreg/2011/08/03/C1-2011-16758.html Wed, 03 Aug 2011 00:00:00 -0700 C1-2011-16758 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/C1-2011-16758.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Amend Article 20, Rule 9 (Cancellation of Transactions) and Interpretation and Policy .01 Thereunder Regarding the Cancellation of the Stock Leg of Stock-Option Transactions Done on the Exchange https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19690.html https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19690.html Wed, 03 Aug 2011 00:00:00 -0700 2011-19690 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19690.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person To Exclude Foreign Affiliates, Creating a New Definition of “Foreign Securities Affiliate,” Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19647.html https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19647.html Wed, 03 Aug 2011 00:00:00 -0700 2011-19647 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19647.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person To Exclude Foreign Affiliates, Creating a New Definition of “Foreign Securities Affiliate,” Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19646.html https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19646.html Wed, 03 Aug 2011 00:00:00 -0700 2011-19646 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19646.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2210 (Communications With the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications With the Public Regarding Security Futures), and 2216 (Communications With the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19645.html https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19645.html Wed, 03 Aug 2011 00:00:00 -0700 2011-19645 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19645.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an “All-or-None” Order Type https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19612.html https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19612.html Wed, 03 Aug 2011 00:00:00 -0700 2011-19612 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19612.pdf Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change to Provide Specific Authority to Use an Auction Process as One of the Means to Liquidate a Defaulting Clearing Member's Accounts https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19564.html https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19564.html Wed, 03 Aug 2011 00:00:00 -0700 2011-19564 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19564.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/2011/08/03/2011-19563.html https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19563.html Wed, 03 Aug 2011 00:00:00 -0700 2011-19563 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19563.pdf Rule - Security Ratings https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19421.html https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19421.html Wed, 03 Aug 2011 00:00:00 -0700 2011-19421 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19421.pdf Rule - Large Trader Reporting https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19419.html https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19419.html Wed, 03 Aug 2011 00:00:00 -0700 2011-19419 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19419.pdf