Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2011/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-04T14:49:33-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30831.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGX Rule 11.92011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30831Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30831.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30830.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGA Rule 11.92011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30830.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30820.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trading Halts2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30820Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30820.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30819.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Individual Stock Trading Pause Pilot Program2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30819Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30819.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30818.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 to Exclude from the Pilot Rule All Rights and Warrants2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30818.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30817.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.14 to Exclude From the Pilot Rule All Rights and Warrants2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30817.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30816.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exclude All Rights and Warrants From the Definition of “Circuit Breaker Securities” and Providing the Appropriate Provisions for an Early Scheduled Close2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30816.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30815.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102(f) to Exclude From the Pilot Rule All Rights and Warrants2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30815Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30815.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30814.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Rule 6121.01 (Trading Pauses) To Exclude Rights and Warrants From the Trading Pause Pilot2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30814Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30814.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30813.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing Proposed Rule Change To Exclude Rights and Warrants From the Individual Securities Circuit Breaker Rule2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30813Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30813.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30812.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.18 Relating to Trading Pauses Due to Extraordinary Market Volatility2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30812Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30812.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30811.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.18 Relating to Trading Pauses Due to Extraordinary Market Volatility2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30811Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30811.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30810.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exclude All Rights and Warrants From the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30810Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30810.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30809.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude All Rights and Warrants from the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30809Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30809.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30808.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exclude All Rights and Warrants From the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30808.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30807.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11 to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Under the Rule2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30807.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30806.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Under the Rule2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30806.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30805.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Under the Rule2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30805Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30805.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30742.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 14.1, entitled “The Qualification, Listing, and Delisting of Companies-Definitions”2011-11-30T00:00:00-08:002011-11-30T00:00:00-08:002011-30742Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30742.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30794.htmlNotice - Sunshine Act Meeting2011-11-29T00:00:00-08:002011-11-29T00:00:00-08:002011-30794Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30794.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30793.htmlNotice - Sunshine Act Meeting2011-11-29T00:00:00-08:002011-11-29T00:00:00-08:002011-30793Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30793.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30719.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Amendment No. 2 and Amendment No. 3 to Proposed Rule Relating to Relative Performance Indexes2011-11-29T00:00:00-08:002011-11-29T00:00:00-08:002011-30719Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30719.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30635.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase From 20 to 30 the Number of Short Term Options Series That May Be Opened for Each Option Class That Participates in the Exchange's Short Term Option Series Program2011-11-29T00:00:00-08:002011-11-29T00:00:00-08:002011-30635Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30635.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30634.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase From 20 to 30 the Number of Short Term Options Series That May Be Opened for Each Option Class That Participates in the Exchange's Short Term Option Series Program2011-11-29T00:00:00-08:002011-11-29T00:00:00-08:002011-30634Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30634.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30633.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend NSX Rules To Conform with Section 957 of the Dodd-Frank Act Prohibiting Members Voting Uninstructed Shares on Certain Matters2011-11-29T00:00:00-08:002011-11-29T00:00:00-08:002011-30633Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30633.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30632.htmlNotice - Genesis Capital, LLC and Northern Lights Fund Trust; Notice of Application2011-11-29T00:00:00-08:002011-11-29T00:00:00-08:002011-30632Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30632.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30591.htmlRule - Adoption of Updated EDGAR Filer Manual2011-11-29T00:00:00-08:002011-11-29T00:00:00-08:002011-30591Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30591.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30447.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to a Temporary Quote Risk Monitor Mechanism Rule2011-11-28T00:00:00-08:002011-11-28T00:00:00-08:002011-30447Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-28/pdf/2011-30447.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30430.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates Relating to Executed Qualified Contingent Cross Orders2011-11-28T00:00:00-08:002011-11-28T00:00:00-08:002011-30430Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-28/pdf/2011-30430.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30427.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan To Adopt a Policy Named “Policy With Respect to Disaster Recovery Facilities”2011-11-28T00:00:00-08:002011-11-28T00:00:00-08:002011-30427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-28/pdf/2011-30427.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30426.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan To Implement the Datafeed Policy2011-11-28T00:00:00-08:002011-11-28T00:00:00-08:002011-30426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-28/pdf/2011-30426.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30425.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan To Implement New Policies Regarding Reporting and Usage-Based Vendor Fees2011-11-28T00:00:00-08:002011-11-28T00:00:00-08:002011-30425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-28/pdf/2011-30425.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30354.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Trade Processing Fee2011-11-25T00:00:00-08:002011-11-25T00:00:00-08:002011-30354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30354.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30350.htmlNotice - SEI Investments Management Corporation, et al.2011-11-25T00:00:00-08:002011-11-25T00:00:00-08:002011-30350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30350.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30349.htmlNotice - John Hancock Variable Insurance Trust, et al.; Notice of Application2011-11-25T00:00:00-08:002011-11-25T00:00:00-08:002011-30349Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30349.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30323.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Correcting an Error by Renumbering the Subsections of Section 101 of the Company Guide2011-11-25T00:00:00-08:002011-11-25T00:00:00-08:002011-30323Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30323.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30322.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce Transaction Fees for Members Engaging in Certain Accommodation Transactions2011-11-25T00:00:00-08:002011-11-25T00:00:00-08:002011-30322Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30322.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30285.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Creation of a Service To Provide Post-Trade Information2011-11-25T00:00:00-08:002011-11-25T00:00:00-08:002011-30285Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30285.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30284.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change to Amend Certain TRACE Rules2011-11-25T00:00:00-08:002011-11-25T00:00:00-08:002011-30284Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30284.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30255.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA's Code of Procedure2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30255Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30255.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30227.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Clearing Options on the CBOE Silver Volatility Index2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30227.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30226.htmlNotice - Bandon Capital Management, LLC and Northern Lights Fund Trust; Notice of Application2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30226Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30226.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30225.htmlNotice - Proposed Collection; Comment Request2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30225.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30220.htmlNotice - Proposed Collection; Comment Request2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30220Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30220.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30219.htmlNotice - Proposed Collection; Comment Request2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30219Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30219.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30218.htmlNotice - Proposed Extension of Existing Collection; Comment Request2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30218Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30218.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30202.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Rockledge SectorSAM ETF Under NYSE Arca Equities Rule 8.6002011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30202Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30202.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30201.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Professional Routing Fee to the BATS Exchange, Inc.2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30201Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30201.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30200.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Expanding the Short Term Option Series Program2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30200Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30200.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30199.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Expanding the Short Term Option Series Program2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30199Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30199.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30198.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Weeklys Program2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30198Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30198.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30197.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Rules To Expand the Short Term Option Series Program2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30197Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30197.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30196.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule To Increase the Number of Series Permitted Per Class in the Short Term Option Series Program2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30196Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30196.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30195.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule to Expand the Short Term Options Series Program2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30195Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30195.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30193.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options Exchange, Incorporated; C2 Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; National Stock Exchange, Inc.; NASDAX OMX PHLX LLC; Notice of a Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30193Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30193.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30192.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Simplify the $1 Strike Price Interval Program2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30192Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30192.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30191.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to BATS Exchange, Inc.2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30191Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30191.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30180.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify That CBSX Will Process Only Round-Lot Orders of HOLDRS2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30180Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30180.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30179.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30179Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30179.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30178.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality2011-11-23T00:00:00-08:002011-11-23T00:00:00-08:002011-30178Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30178.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30217.htmlNotice - Abviva, Inc., ACTIS Global Ventures, Inc., aeroTelesis, Inc., Amwest Insurance Group, Inc., and Auto Underwriters of America, Inc.; Order of Suspension of Trading2011-11-22T00:00:00-08:002011-11-22T00:00:00-08:002011-30217Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30217.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30190.htmlNotice - Sunshine Act Meeting2011-11-22T00:00:00-08:002011-11-22T00:00:00-08:002011-30190Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30190.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30072.htmlNotice - Proposed Collection; Comment Request2011-11-22T00:00:00-08:002011-11-22T00:00:00-08:002011-30072Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30072.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30071.htmlNotice - Submission for OMB Review; Comment Request2011-11-22T00:00:00-08:002011-11-22T00:00:00-08:002011-30071Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30071.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30070.htmlNotice - Proposed Collection; Comment Request2011-11-22T00:00:00-08:002011-11-22T00:00:00-08:002011-30070Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30070.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30069.htmlNotice - Proposed Collection; Comment Request2011-11-22T00:00:00-08:002011-11-22T00:00:00-08:002011-30069Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30069.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30058.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Good-till-Cancelled and Discretionary Orders2011-11-22T00:00:00-08:002011-11-22T00:00:00-08:002011-30058Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30058.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30057.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Good-Till-Cancelled and Discretionary Orders2011-11-22T00:00:00-08:002011-11-22T00:00:00-08:002011-30057Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30057.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30056.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a “Post-Only” Order Type2011-11-22T00:00:00-08:002011-11-22T00:00:00-08:002011-30056Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30056.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30053.htmlNotice - Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment2011-11-22T00:00:00-08:002011-11-22T00:00:00-08:002011-30053Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30053.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29970.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Consisting of Proposed Interpretive Notice Concerning the Application of MSRB Rule G-17, on Conduct of Municipal Securities and Municipal Advisory Activities, to Underwriters of Municipal Securities2011-11-21T00:00:00-08:002011-11-21T00:00:00-08:002011-29970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29970.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29873.htmlNotice - Submission for OMB Review; Comment Request2011-11-21T00:00:00-08:002011-11-21T00:00:00-08:002011-29873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29873.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29872.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to the Exchange Rule 795, Member Officer or Director2011-11-21T00:00:00-08:002011-11-21T00:00:00-08:002011-29872Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29872.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29871.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Quote Risk Monitor Mechanism2011-11-21T00:00:00-08:002011-11-21T00:00:00-08:002011-29871Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29871.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29870.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules To Provide for Clearing of Additional Single Name Investment Grade CDS Contracts2011-11-21T00:00:00-08:002011-11-21T00:00:00-08:002011-29870Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29870.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29869.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Renew Existing Pilot Program for an Additional Fourteen Months2011-11-21T00:00:00-08:002011-11-21T00:00:00-08:002011-29869Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29869.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29096.htmlRule - Rescission of Outdated Rules and Forms, and Amendments To Correct References2011-11-21T00:00:00-08:002011-11-21T00:00:00-08:002011-29096Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29096.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/18/C1-2011-28716.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, etc.2011-11-18T00:00:00-08:002011-11-18T00:00:00-08:00C1-2011-28716Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-18/pdf/C1-2011-28716.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/18/C1-2011-28694.htmlNotice - 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 on CBOE Stock Exchange2011-11-18T00:00:00-08:002011-11-18T00:00:00-08:00C1-2011-28694Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-18/pdf/C1-2011-28694.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/18/2011-29969.htmlNotice - Sunshine Act Meeting2011-11-18T00:00:00-08:002011-11-18T00:00:00-08:002011-29969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-18/pdf/2011-29969.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/18/2011-29802.htmlRule - Reporting Line for the Commission's Ethics Counsel2011-11-18T00:00:00-08:002011-11-18T00:00:00-08:002011-29802Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-18/pdf/2011-29802.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/18/2011-29786.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References Within Certain FINRA Rules2011-11-18T00:00:00-08:002011-11-18T00:00:00-08:002011-29786Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-18/pdf/2011-29786.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/18/2011-29746.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide a Limited Extension to the Compliance Deadline for Registration and Qualification Pursuant to Rule 3.6A2011-11-18T00:00:00-08:002011-11-18T00:00:00-08:002011-29746Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-18/pdf/2011-29746.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29853.htmlNotice - Sunshine Act Meeting2011-11-17T00:00:00-08:002011-11-17T00:00:00-08:002011-29853Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29853.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29723.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade2011-11-17T00:00:00-08:002011-11-17T00:00:00-08:002011-29723Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29723.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29679.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers (“DMMs”)2011-11-17T00:00:00-08:002011-11-17T00:00:00-08:002011-29679Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29679.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29678.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers2011-11-17T00:00:00-08:002011-11-17T00:00:00-08:002011-29678Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29678.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29677.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove the Requirement That its Members Pass the DTR Examination Prior To Registering2011-11-17T00:00:00-08:002011-11-17T00:00:00-08:002011-29677Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29677.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29676.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Modify the Fees Relating to Qualified Contingent Cross Orders2011-11-17T00:00:00-08:002011-11-17T00:00:00-08:002011-29676Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29676.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29675.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc.2011-11-17T00:00:00-08:002011-11-17T00:00:00-08:002011-29675Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29675.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29674.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc.2011-11-17T00:00:00-08:002011-11-17T00:00:00-08:002011-29674Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29674.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29673.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Routing Fees to C22011-11-17T00:00:00-08:002011-11-17T00:00:00-08:002011-29673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29673.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29672.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees and Rebates for Certain Complex Orders Executed on the Exchange2011-11-17T00:00:00-08:002011-11-17T00:00:00-08:002011-29672Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29672.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29671.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Orders Executed on the Exchange2011-11-17T00:00:00-08:002011-11-17T00:00:00-08:002011-29671Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29671.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29670.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Relating To a New Daily Report Subscription for Security Position Reports2011-11-17T00:00:00-08:002011-11-17T00:00:00-08:002011-29670Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29670.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/16/2011-29578.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change to Adopt Rules in Connection With S&P 500 Option Variance Basket Trades2011-11-16T00:00:00-08:002011-11-16T00:00:00-08:002011-29578Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-16/pdf/2011-29578.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/16/2011-29510.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Complex Order Rebates and Fees for Adding and Removing Liquidity2011-11-16T00:00:00-08:002011-11-16T00:00:00-08:002011-29510Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-16/pdf/2011-29510.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/16/2011-29509.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders2011-11-16T00:00:00-08:002011-11-16T00:00:00-08:002011-29509Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-16/pdf/2011-29509.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/16/2011-29507.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Option Fee Disputes2011-11-16T00:00:00-08:002011-11-16T00:00:00-08:002011-29507Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-16/pdf/2011-29507.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/16/2011-28549.htmlRule - Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF2011-11-16T00:00:00-08:002011-11-16T00:00:00-08:002011-28549Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-16/pdf/2011-28549.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29623.htmlNotice - Sunshine Act Meeting2011-11-15T00:00:00-08:002011-11-15T00:00:00-08:002011-29623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29623.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29622.htmlNotice - Sunshine Act Meeting2011-11-15T00:00:00-08:002011-11-15T00:00:00-08:002011-29622Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29622.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29442.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Investor Support Program, Offer an Additional Liquidity Provider Credit Through a Pre-Market Investor Program, and Make Other Changes to Pricing for Members Using the NASDAQ Market Center2011-11-15T00:00:00-08:002011-11-15T00:00:00-08:002011-29442Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29442.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29441.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C22011-11-15T00:00:00-08:002011-11-15T00:00:00-08:002011-29441Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29441.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29440.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 2, 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, November 8, 20112011-11-15T00:00:00-08:002011-11-15T00:00:00-08:002011-29440Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29440.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29439.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 2, Amending Sections 102.01 and 103.01 of the Exchange's Listed Company Manual Adopting Additional Listing Requirements for Companies Applying to List After Consummation of a “Reverse Merger” With a Shell Company2011-11-15T00:00:00-08:002011-11-15T00:00:00-08:002011-29439Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29439.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29412.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, Adopting Additional Listing Requirements for Companies Applying To List After Consummation of a “Reverse Merger” With a Shell Company2011-11-15T00:00:00-08:002011-11-15T00:00:00-08:002011-29412Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29412.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29392.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Another Tier to an Existing Rebate Program for Qualified Contingent Cross Orders and Solicitation Orders Executed on the Exchange2011-11-15T00:00:00-08:002011-11-15T00:00:00-08:002011-29392Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29392.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29414.htmlNotice - Rovac Corp., RS Group of Companies, Inc., Rymer Foods, Inc. Stratus Services Group, Inc., Sun Cal Energy, Inc., Sun Motor International, Inc., Surebet Casinos, Inc., and Swiss Medica, Inc.; Order of Suspension of Trading2011-11-14T00:00:00-08:002011-11-14T00:00:00-08:002011-29414Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29414.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29413.htmlNotice - RMD Technologies, Inc., Rockwall Holdings, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc.; Order of Suspension of Trading2011-11-14T00:00:00-08:002011-11-14T00:00:00-08:002011-29413Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29413.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29300.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change to Modify Commentary .01 to Rule 1009 Regarding Criteria for Listing an Option on an Underlying Covered Security2011-11-14T00:00:00-08:002011-11-14T00:00:00-08:002011-29300Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29300.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29254.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports2011-11-14T00:00:00-08:002011-11-14T00:00:00-08:002011-29254Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29254.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29253.htmlNotice - Proposed Collection; Comment Request2011-11-14T00:00:00-08:002011-11-14T00:00:00-08:002011-29253Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29253.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29252.htmlNotice - Proposed Collection; Comment Request2011-11-14T00:00:00-08:002011-11-14T00:00:00-08:002011-29252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29252.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29251.htmlNotice - Submission for OMB Review; Comment Request2011-11-14T00:00:00-08:002011-11-14T00:00:00-08:002011-29251Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29251.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/C1-2011-27900.htmlNotice - Investment Advisers Act of 1940; In the Matter of Creative Investment Research, Inc., 1050 17th Street NW., Suite 1000, Washington, DC 20036; Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 19402011-11-10T00:00:00-08:002011-11-10T00:00:00-08:00C1-2011-27900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/C1-2011-27900.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29163.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to Adopt ICC's Enhanced Margin Methodology (the “Decomp Model”)2011-11-10T00:00:00-08:002011-11-10T00:00:00-08:002011-29163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29163.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29114.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Allow FINRA To Grant Exemptions From Certain Equity Trade Reporting Obligations for Certain Alternative Trading Systems2011-11-10T00:00:00-08:002011-11-10T00:00:00-08:002011-29114Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29114.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29113.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2011-11-10T00:00:00-08:002011-11-10T00:00:00-08:002011-29113Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29113.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29112.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules2011-11-10T00:00:00-08:002011-11-10T00:00:00-08:002011-29112Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29112.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29111.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Process for the Qualification of the Customer Large Trade Discount2011-11-10T00:00:00-08:002011-11-10T00:00:00-08:002011-29111Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29111.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29110.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify its Co-Location Fee Schedule Regarding Low Latency Network Connections2011-11-10T00:00:00-08:002011-11-10T00:00:00-08:002011-29110Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29110.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29109.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Rule 7034 Regarding Low Latency Network Connections2011-11-10T00:00:00-08:002011-11-10T00:00:00-08:002011-29109Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29109.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29108.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Modify Rule 7034 Regarding Low Latency Network Connections2011-11-10T00:00:00-08:002011-11-10T00:00:00-08:002011-29108Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29108.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29107.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2011-11-10T00:00:00-08:002011-11-10T00:00:00-08:002011-29107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29107.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29106.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2011-11-10T00:00:00-08:002011-11-10T00:00:00-08:002011-29106Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29106.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29105.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2011-11-10T00:00:00-08:002011-11-10T00:00:00-08:002011-29105Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29105.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29104.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons2011-11-10T00:00:00-08:002011-11-10T00:00:00-08:002011-29104Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29104.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29103.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees2011-11-10T00:00:00-08:002011-11-10T00:00:00-08:002011-29103Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29103.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/09/2011-29037.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Concerning Industry Directors and the Nomination of Representative Directors2011-11-09T00:00:00-08:002011-11-09T00:00:00-08:002011-29037Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-09/pdf/2011-29037.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/09/2011-29036.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Concerning Industry Directors and the Nomination of Representative Directors2011-11-09T00:00:00-08:002011-11-09T00:00:00-08:002011-29036Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-09/pdf/2011-29036.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/09/2011-29034.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Compliance Deadline for Registration and Qualification Pursuant to Rule 3.6A2011-11-09T00:00:00-08:002011-11-09T00:00:00-08:002011-29034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-09/pdf/2011-29034.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/09/2011-28995.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Market Opening Procedures of BATS Options2011-11-09T00:00:00-08:002011-11-09T00:00:00-08:002011-28995Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-09/pdf/2011-28995.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/09/2011-28994.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Rule Change Proposing a One-Year Pilot Program Adding New Rule 107C To Establish a Retail Liquidity Program To Attract Additional Retail Order Flow to the Exchange for NYSE-Listed Securities2011-11-09T00:00:00-08:002011-11-09T00:00:00-08:002011-28994Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-09/pdf/2011-28994.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/09/2011-28993.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Rule Change Proposing a One-Year Pilot Program Adding New Rule 107C To Establish a Retail Liquidity Program To Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities2011-11-09T00:00:00-08:002011-11-09T00:00:00-08:002011-28993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-09/pdf/2011-28993.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28996.htmlNotice - Sunshine Act Meeting2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28996Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28996.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28912.htmlNotice - Submission for OMB Review; Comment Request2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28912Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28912.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28911.htmlNotice - Submission for OMB Review; Comment Request2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28911Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28911.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28910.htmlNotice - Submission for OMB Review; Comment Request2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28910Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28910.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28909.htmlNotice - Submission for OMB Review; Comment Request2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28909Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28909.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28908.htmlNotice - Submission for OMB Review; Comment Request2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28908Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28908.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28907.htmlNotice - Submission for OMB Review; Comment Request2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28907Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28907.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28905.htmlNotice - Submission for OMB Review; Comment Request2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28905Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28905.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28904.htmlNotice - Submission for OMB Review; Comment Request2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28904Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28904.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28903.htmlNotice - Submission for OMB Review; Comment Request2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28903Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28903.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28902.htmlNotice - Submission for OMB Review; Comment Request2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28902Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28902.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28901.htmlNotice - Submission for OMB Review; Comment Request2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28901Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28901.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28900.htmlNotice - Submission for OMB Review; Comment Request2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28900.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28899.htmlNotice - Submission for OMB Review; Comment Request2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28899.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28832.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28832Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28832.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28831.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Offering a Market Data Product to Vendors and Subscribers That Combines Three Existing Market Data Feeds as Well as Additional Market Data From the Exchange Into One Integrated Product, the NYSE Arca Integrated Data Feed2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28831Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28831.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28830.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Transaction Fees2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28830.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28829.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Transfer of Positions Off the Floor2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28829Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28829.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28828.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Transfer of Exchange House Accounts2011-11-08T00:00:00-08:002011-11-08T00:00:00-08:002011-28828Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28828.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/07/2011-28721.htmlNotice - Proposed Collection; Comment Request2011-11-07T00:00:00-08:002011-11-07T00:00:00-08:002011-28721Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28721.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/07/2011-28720.htmlNotice - Proposed Collection; Comment Request2011-11-07T00:00:00-08:002011-11-07T00:00:00-08:002011-28720Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28720.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/07/2011-28719.htmlNotice - Proposed Collection; Comment Request2011-11-07T00:00:00-08:002011-11-07T00:00:00-08:002011-28719Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28719.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/07/2011-28716.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, etc.2011-11-07T00:00:00-08:002011-11-07T00:00:00-08:002011-28716Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28716.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/07/2011-28694.htmlNotice - 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 on CBOE Stock Exchange2011-11-07T00:00:00-08:002011-11-07T00:00:00-08:002011-28694Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28694.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/07/2011-27184.htmlProposed Rule - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds2011-11-07T00:00:00-08:002011-11-07T00:00:00-08:002011-27184Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-27184.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/04/2011-28609.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change to List and Trade Managed Fund Shares of TrimTabs Float Shrink ETF under NYSE Arca Equities Rule 8.600; Correction2011-11-04T00:00:00-07:002011-11-04T00:00:00-07:002011-28609Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-04/pdf/2011-28609.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/04/2011-28585.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402011-11-04T00:00:00-07:002011-11-04T00:00:00-07:002011-28585Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-04/pdf/2011-28585.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/04/2011-28529.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Amendments to EDGA and EDGX Rules Regarding the Registration and Obligations of Market Makers2011-11-04T00:00:00-07:002011-11-04T00:00:00-07:002011-28529Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-04/pdf/2011-28529.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/03/2011-28513.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to FLEX Options2011-11-03T00:00:00-07:002011-11-03T00:00:00-07:002011-28513Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-03/pdf/2011-28513.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/03/2011-28512.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Repeal Incorporated NYSE Rule 2A (Jurisdiction)2011-11-03T00:00:00-07:002011-11-03T00:00:00-07:002011-28512Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-03/pdf/2011-28512.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/03/2011-28462.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Order Approving Proposed Rule Change To Accept Additional Credit Default Index Swaps for Clearing2011-11-03T00:00:00-07:002011-11-03T00:00:00-07:002011-28462Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-03/pdf/2011-28462.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/03/2011-28461.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Provide Specific Authority To Use an Auction Process as One of the Means To Liquidate a Defaulting Clearing Member's Accounts2011-11-03T00:00:00-07:002011-11-03T00:00:00-07:002011-28461Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-03/pdf/2011-28461.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/03/2011-28460.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Describe Complimentary Services That Are Offered to Certain New Listings on NASDAQ's Global and Global Select Markets2011-11-03T00:00:00-07:002011-11-03T00:00:00-07:002011-28460Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-03/pdf/2011-28460.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/03/2011-28459.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change To Adopt Fitness Standards for Directors, Clearing Members, and Others2011-11-03T00:00:00-07:002011-11-03T00:00:00-07:002011-28459Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-03/pdf/2011-28459.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28372.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Relating to the Quarterly Trading Requirements Applicable to Registered Options Traders2011-11-02T00:00:00-07:002011-11-02T00:00:00-07:002011-28372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28372.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28351.htmlNotice - Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC; Notice of Application2011-11-02T00:00:00-07:002011-11-02T00:00:00-07:002011-28351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28351.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28350.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Approving Proposed Rule Change To Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc.2011-11-02T00:00:00-07:002011-11-02T00:00:00-07:002011-28350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28350.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28349.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc.2011-11-02T00:00:00-07:002011-11-02T00:00:00-07:002011-28349Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28349.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28348.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook2011-11-02T00:00:00-07:002011-11-02T00:00:00-07:002011-28348Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28348.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28347.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Trading Rules To Retire the Additional Expiration Months Pilot Program and To Harmonize the Rules Regarding Listing Expirations With the Existing Rules of Other Exchanges2011-11-02T00:00:00-07:002011-11-02T00:00:00-07:002011-28347Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28347.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28346.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange Rule 703 (Financial Responsibility and Reporting)2011-11-02T00:00:00-07:002011-11-02T00:00:00-07:002011-28346Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28346.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28313.htmlRule - Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets2011-11-02T00:00:00-07:002011-11-02T00:00:00-07:002011-28313Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28313.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28356.htmlNotice - Curatech Industries, Inc., Order of Suspension of Trading2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28356Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28356.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28243.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-16 on Periodic Compliance Examination and Rule G-9 on Preservation of Records2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28243.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28228.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Change the Status of Exchange-Registered Institutional Broker Firms2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28228.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28227.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Close Trading at 3 p.m. Chicago Time on the Last Day of Trading of Expiring P.M.-Settled S&P 500 Options2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28227.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28213.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Expand Its OTC FX Swaps Clearing Offering2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28213Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28213.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28209.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Performance Bond Regime Applicable to Certain Cleared Only OTC FX Swaps2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28209Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28209.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28208.htmlNotice - 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 Clearing2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28208Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28208.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28207.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee Waiver Program Applicable to Its OTC Credit Default Swap Index Clearing Offering2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28207Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28207.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28206.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Expand the Applicability of the Fails Charge to Agency Debt Securities Transactions2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28206.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28205.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Price List To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28205.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28204.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Price List To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28204.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28203.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Price List To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28203.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28202.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Fee Schedule To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28202Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28202.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28201.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Fee Schedule To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28201Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28201.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28200.htmlNotice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise NSCC's Fee Schedule as It Applies to Certain Hedge Fund Products Within NSCC's Alternative Investment Products Service2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28200Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28200.pdfhttps://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28199.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Management of Liquidity Risk2011-11-01T00:00:00-07:002011-11-01T00:00:00-07:002011-28199Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28199.pdf