<![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/2011/09/30?registers=between Sun, 20 Jul 2025 00:06:17 -0700 Sun, 20 Jul 2025 00:06:17 -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/2011/09/30?registers=between Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25288.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25288.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25288 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25288.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Rules Relating to the Settlement Timing of Partial Transfers Which Include Mutual Fund Assets Through NSCC's Automated Customer Account Transfer Service https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25195.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25195.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25195 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25195.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To Reflect a Change to the Benchmark Index Applicable to the Russell Equity ETF https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25194.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25194.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25194 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25194.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change Requesting Permanent Approval of the Pilot Program Permitting NASDAQ OMX PHLX to Receive Inbound Routes by NOS https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25193.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25193.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25193 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25193.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed Interpretive Notice Concerning the Application of Rule G-17 to Municipal Advisors https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25192.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25192.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25192 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25192.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed Rule G-36, on Fiduciary Duty of Municipal Advisors, and a Proposed Interpretive Notice Concerning the Application of Proposed Rule G-36 to Municipal Advisors https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25191.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25191.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25191 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25191.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed New Rule A-11, on Municipal Advisor Assessments, and New Form A-11-Interim https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25190.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25190.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25190 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25190.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed New Rule G-42, on Political Contributions and Prohibitions on Municipal Advisory Activities; Proposed Amendments to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-37, on Political Contributions and Prohibitions on Municipal Securities Business; Proposed Form G-37/G-42 and Form G-37x/G-42x; and a Proposed Restatement of a Rule G-37 Interpretive Notice https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25189.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25189.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25189 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25189.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed Rule Change 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/2011/09/30/2011-25188.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25188.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25188 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25188.pdf