Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

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?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2024-05-23T20:41:06-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25288.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons 2011-09-30T00:00:00-07:00 2011-09-30T00:00:00-07:00 2011-25288 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25288.pdf https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25195.html 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 2011-09-30T00:00:00-07:00 2011-09-30T00:00:00-07:00 2011-25195 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25195.pdf https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25194.html 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 2011-09-30T00:00:00-07:00 2011-09-30T00:00:00-07:00 2011-25194 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25194.pdf https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25193.html 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 2011-09-30T00:00:00-07:00 2011-09-30T00:00:00-07:00 2011-25193 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25193.pdf https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25192.html 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 2011-09-30T00:00:00-07:00 2011-09-30T00:00:00-07:00 2011-25192 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25192.pdf https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25191.html 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 2011-09-30T00:00:00-07:00 2011-09-30T00:00:00-07:00 2011-25191 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25191.pdf https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25190.html 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 2011-09-30T00:00:00-07:00 2011-09-30T00:00:00-07:00 2011-25190 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25190.pdf https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25189.html 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 2011-09-30T00:00:00-07:00 2011-09-30T00:00:00-07:00 2011-25189 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25189.pdf https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25188.html 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 2011-09-30T00:00:00-07:00 2011-09-30T00:00:00-07:00 2011-25188 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25188.pdf https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25077.html Notice - Proposed Collection; Comment Request 2011-09-29T00:00:00-07:00 2011-09-29T00:00:00-07:00 2011-25077 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25077.pdf https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25076.html Notice - Proposed Collection; Comment Request 2011-09-29T00:00:00-07:00 2011-09-29T00:00:00-07:00 2011-25076 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25076.pdf https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25075.html Notice - Self-Regulatory Organizations; International Securities Exchange, Incorporated; Notice of Proposed Rule To Simplify the $1 Strike Price Interval Program 2011-09-29T00:00:00-07:00 2011-09-29T00:00:00-07:00 2011-25075 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25075.pdf https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25074.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Revise Its By-Laws and Rules To Establish a Clearing Fund Amount Intended To Support Losses Under a Defined Set of Default Scenarios 2011-09-29T00:00:00-07:00 2011-09-29T00:00:00-07:00 2011-25074 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25074.pdf https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25073.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Amending Chapter V, Section 31 of the Rules of the Boston Options Exchange Group, LLC To Establish Facilitation and Solicitation Auction Mechanisms 2011-09-29T00:00:00-07:00 2011-09-29T00:00:00-07:00 2011-25073 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25073.pdf https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25072.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Create an Exemption From Certain Reporting Obligations Under the Equity Trade Reporting Rules for Certain Alternative Trading Systems 2011-09-29T00:00:00-07:00 2011-09-29T00:00:00-07:00 2011-25072 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25072.pdf https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25071.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change Regarding Streaming Quote Traders and Remote Streaming Quote Traders Entering Certain Option Day Limit Orders 2011-09-29T00:00:00-07:00 2011-09-29T00:00:00-07:00 2011-25071 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25071.pdf https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-24964.html Rule - Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer 2011-09-29T00:00:00-07:00 2011-09-29T00:00:00-07:00

2011-24964 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-24964.pdf https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24965.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules 2011-09-28T00:00:00-07:00 2011-09-28T00:00:00-07:00 2011-24965 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24965.pdf https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24920.html Notice - DFA Investment Dimensions Group Inc., et al.; Notice of Application 2011-09-28T00:00:00-07:00 2011-09-28T00:00:00-07:00

2011-24920 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24920.pdf https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24919.html Notice - Fifth Third Funds, et al.; Notice of Application 2011-09-28T00:00:00-07:00 2011-09-28T00:00:00-07:00

2011-24919 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24919.pdf https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24918.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule to Simplify the $1 Strike Price Interval Program 2011-09-28T00:00:00-07:00 2011-09-28T00:00:00-07:00 2011-24918 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24918.pdf https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24869.html Notice - The Singapore Fund, Inc.; Notice of Application 2011-09-28T00:00:00-07:00 2011-09-28T00:00:00-07:00

2011-24869 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24869.pdf https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24868.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates To Add Liquidity 2011-09-28T00:00:00-07:00 2011-09-28T00:00:00-07:00 2011-24868 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24868.pdf https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24867.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market-Maker Trade Prevention Order 2011-09-28T00:00:00-07:00 2011-09-28T00:00:00-07:00 2011-24867 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24867.pdf https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24866.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market-Maker Trade Prevention Order 2011-09-28T00:00:00-07:00 2011-09-28T00:00:00-07:00 2011-24866 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24866.pdf https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24864.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing of Proposed Rule Change To Accept Additional Credit Default Index Swaps for Clearing 2011-09-28T00:00:00-07:00 2011-09-28T00:00:00-07:00 2011-24864 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24864.pdf https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24404.html Proposed Rule - Prohibition Against Conflicts of Interest in Certain Securitizations 2011-09-28T00:00:00-07:00 2011-09-28T00:00:00-07:00

2011-24404 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24404.pdf https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24798.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Maximum Number of Quoters (“MNQ”) Permitted To Be Assigned in Equity Options 2011-09-27T00:00:00-07:00 2011-09-27T00:00:00-07:00 2011-24798 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24798.pdf https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24734.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 17 Examination Program 2011-09-27T00:00:00-07:00 2011-09-27T00:00:00-07:00 2011-24734 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24734.pdf https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24733.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 38 Examination Program 2011-09-27T00:00:00-07:00 2011-09-27T00:00:00-07:00 2011-24733 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24733.pdf https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24732.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 37 Examination Program 2011-09-27T00:00:00-07:00 2011-09-27T00:00:00-07:00 2011-24732 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24732.pdf https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24726.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Section 101 of the NYSE Amex Company Guide To Adopt Additional Listing Requirements for Companies Applying To List After Consummation of a “Reverse Merger” With a Shell Company 2011-09-27T00:00:00-07:00 2011-09-27T00:00:00-07:00 2011-24726 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24726.pdf https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24723.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Sections 102.01 and 103.01 of the Exchange's Listed Company Manual To Adopt Additional Listing Requirements for Companies Applying To List After Consummation of a “Reverse Merger” With a Shell Company 2011-09-27T00:00:00-07:00 2011-09-27T00:00:00-07:00 2011-24723 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24723.pdf https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24710.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 7 Examination Program 2011-09-27T00:00:00-07:00 2011-09-27T00:00:00-07:00 2011-24710 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24710.pdf https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24674.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Exchange's Automated Improvement Mechanism 2011-09-27T00:00:00-07:00 2011-09-27T00:00:00-07:00 2011-24674 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24674.pdf https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24673.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Amendment No. 1 to 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 2011-09-27T00:00:00-07:00 2011-09-27T00:00:00-07:00 2011-24673 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24673.pdf https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24607.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Disapproving a Proposed Rule Change To Link Market Data Fees and Transaction Execution Fees 2011-09-26T00:00:00-07:00 2011-09-26T00:00:00-07:00 2011-24607 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24607.pdf https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24594.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Exchange's Complex Order Execution Mechanisms 2011-09-26T00:00:00-07:00 2011-09-26T00:00:00-07:00 2011-24594 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24594.pdf https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24593.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc., Order Granting Approval of Proposed Rule Change Relating to Rule 717 2011-09-26T00:00:00-07:00 2011-09-26T00:00:00-07:00 2011-24593 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24593.pdf https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24590.html Notice - Curian Series Trust and Curian Capital, LLC; Notice of Application 2011-09-26T00:00:00-07:00 2011-09-26T00:00:00-07:00

2011-24590 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24590.pdf https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24589.html Notice - ASGI Agility Income Fund, et al.; Notice of Application 2011-09-26T00:00:00-07:00 2011-09-26T00:00:00-07:00 2011-24589 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24589.pdf https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24588.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Change the Status of Exchange-Registered Institutional Broker Firms 2011-09-26T00:00:00-07:00 2011-09-26T00:00:00-07:00 2011-24588 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24588.pdf https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24587.html Notice - Stone Harbor Emerging Markets Income Fund, et al.; Notice of Application 2011-09-26T00:00:00-07:00 2011-09-26T00:00:00-07:00 2011-24587 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24587.pdf https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24586.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc. 2011-09-26T00:00:00-07:00 2011-09-26T00:00:00-07:00 2011-24586 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24586.pdf https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24585.html Notice - Proposed Collection; Comment Request 2011-09-26T00:00:00-07:00 2011-09-26T00:00:00-07:00 2011-24585 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24585.pdf https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24584.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc. 2011-09-26T00:00:00-07:00 2011-09-26T00:00:00-07:00 2011-24584 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24584.pdf https://regulations.justia.com/regulations/fedreg/2011/09/22/2011-24434.html Notice - Sunshine Act Meeting 2011-09-22T00:00:00-07:00 2011-09-22T00:00:00-07:00 2011-24434 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-22/pdf/2011-24434.pdf https://regulations.justia.com/regulations/fedreg/2011/09/22/2011-24331.html Notice - Highland Capital Management, L.P., et al.; Notice of Application 2011-09-22T00:00:00-07:00 2011-09-22T00:00:00-07:00 2011-24331 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-22/pdf/2011-24331.pdf https://regulations.justia.com/regulations/fedreg/2011/09/22/2011-24330.html Notice - Legg Mason Partners Equity Trust, et al.; 2011-09-22T00:00:00-07:00 2011-09-22T00:00:00-07:00 2011-24330 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-22/pdf/2011-24330.pdf https://regulations.justia.com/regulations/fedreg/2011/09/22/2011-24329.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Rule Change To Extend the Effective Date of the Amendment to the Continuing Disclosure Service of EMMA To Provide for the Posting of Credit Rating and Related Information on the EMMA Public Web Site 2011-09-22T00:00:00-07:00 2011-09-22T00:00:00-07:00 2011-24329 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-22/pdf/2011-24329.pdf