<![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/2011/09/07?registers=between Thu, 26 Jun 2025 19:10:04 -0700 Thu, 26 Jun 2025 19:10:04 -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/2011/09/07?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22901.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22901.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22901 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22901.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposal To Retire a Pilot Program and To Harmonize CBOE's Rules Regarding Listing Expirations With the Existing Rules of Other Exchanges https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22827.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22827.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22827 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22827.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Equities Price List for Co-Location Services To Correct Several Typographical Errors https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22782.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22782.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22782 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22782.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule for Co-Location Services To Correct Several Typographical Errors https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22781.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22781.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22781 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22781.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Equities Schedule of Fees and Services for Exchange Services (“Fee Schedule”) for Co-Location Services To Correct Several Typographical Errors https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22780.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22780.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22780 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22780.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List for Co-Location Services To Correct Several Typographical Errors https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22779.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22779.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22779 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22779.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule for Co-Location Services To Correct Several Typographical Errors https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22778.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22778.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22778 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22778.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for NASDAQ OMX PSX https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22777.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22777.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22777 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22777.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trading Halts https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22776.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22776.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22776 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22776.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Name of the BX Ouch BBO Feed to the BX MatchView Feed and To Modify Its Contents https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22775.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22775.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22775 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22775.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 Qualification Pursuant to Rule 3.6A https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22774.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22774.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22774 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22774.pdf Proposed Rule - Treatment of Asset-Backed Issuers Under the Investment Company Act https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22772.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22772.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22772 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22772.pdf Proposed Rule - Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22771.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22771.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22771 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22771.pdf Notice - Horizon Technology Finance Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22770.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22770.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22770 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22770.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Study Outline for the Operations Professional (“Series 99”) Examination Program https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22765.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22765.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22765 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22765.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for the Operations Professional Examination https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22764.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22764.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22764 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22764.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board Consisting of Amendments to MSRB Rule G-20 (Gifts and Gratuities) and Related Amendments to MSRB Rule G-8 (Books and Records) and MSRB Rule G-9 (Preservation of Records), and To Clarify That Certain Interpretations by the Financial Industry Regulatory Authority and the National Association of Securities Dealers Would Be Applicable to Municipal Advisors https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22726.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22726.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22726 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22726.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reversal and Conversion Strategies https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22725.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22725.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22725 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22725.pdf Rule - Use of Derivatives by Investment Companies Under the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22724.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22724.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22724 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22724.pdf