<![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/2011/10/20?registers=between Tue, 15 Jul 2025 02:14:26 -0700 Tue, 15 Jul 2025 02:14:26 -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/2011/10/20?registers=between Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Its Rules Relating to Interest Rate Swaps Clearing https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27201.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27201.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27201 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27201.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To the RSQT Fee https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27200.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27200.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27200 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27200.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To the Permit Fee and the Inactive Nominee Fee https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27199.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27199.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27199 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27199.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27197.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27197.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27197 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27197.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, Deutsche Börse AG, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27195.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27195.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27195 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27195.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, Deutsche Börse AG, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27194.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27194.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27194 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27194.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, Deutsche Börse AG, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27193.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27193.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27193 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27193.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27192.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27192.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27192 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27192.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27190.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27190.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27190 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27190.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Adding Commentary .01 to Rule 6.37B Concerning Market Maker Continuous Quoting Obligations and Adjusted Option Series https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27137.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27137.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27137 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27137.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Interpretation of Rule 4120(a)(11) https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27136.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27136.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27136 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27136.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27135.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27135.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27135 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27135.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change Adding Commentary .01 to Rule 925.1NY Concerning Market Maker Continuous Quoting Obligations and Adjusted Option Series https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27134.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27134.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27134 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27134.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Accept Inbound Orders Routed From Its Affiliates https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27133.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27133.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27133 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27133.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded “To Be Announced” https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27132.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27132.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27132 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27132.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27098.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27098.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27098 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27098.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27097.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27097.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27097 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27097.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27096.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27096.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27096 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27096.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27095.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27095.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27095 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27095.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27094.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27094.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27094 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27094.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27093.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27093.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27093 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27093.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27092.html https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27092.html Thu, 20 Oct 2011 00:00:00 -0700 2011-27092 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27092.pdf