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https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2011/12/29?registers=between
Mon, 21 Jul 2025 20:35:53 -0700Mon, 21 Jul 2025 20:35:53 -0700Justia Regulations TrackerCopyright 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/2011/12/29?registers=between
Notice - Proposed Collection; Comment Request
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33513.html
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33513.htmlThu, 29 Dec 2011 00:00:00 -08002011-33513Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33513.pdfNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2210 (Communications With the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications With the Public Regarding Security Futures), and 2216 (Communications With the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33488.html
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33488.htmlThu, 29 Dec 2011 00:00:00 -08002011-33488Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33488.pdfNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Its Automated Improvement Mechanism
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33450.html
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33450.htmlThu, 29 Dec 2011 00:00:00 -08002011-33450Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33450.pdfNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to FLEX Options
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33449.html
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33449.htmlThu, 29 Dec 2011 00:00:00 -08002011-33449Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33449.pdfNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33447.html
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33447.htmlThu, 29 Dec 2011 00:00:00 -08002011-33447Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33447.pdfNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Amex Equities Rule 70
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33446.html
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33446.htmlThu, 29 Dec 2011 00:00:00 -08002011-33446Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33446.pdfNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Rule 70
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33445.html
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33445.htmlThu, 29 Dec 2011 00:00:00 -08002011-33445Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33445.pdfNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Applicable to the Trading of NMS Stocks Through NASDAQ OMX PSX
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33379.html
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33379.htmlThu, 29 Dec 2011 00:00:00 -08002011-33379Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33379.pdfNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33378.html
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33378.htmlThu, 29 Dec 2011 00:00:00 -08002011-33378Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33378.pdfNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement a Competitive Liquidity Provider Program
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33377.html
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33377.htmlThu, 29 Dec 2011 00:00:00 -08002011-33377Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33377.pdfNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee Schedule Applicable to Its OTC Credit Default Swap North American Index Clearing Offering
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33362.html
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33362.htmlThu, 29 Dec 2011 00:00:00 -08002011-33362Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33362.pdfNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee Schedule Applicable to Its OTC Interest Rate Swap Clearing Offering
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33361.html
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33361.htmlThu, 29 Dec 2011 00:00:00 -08002011-33361Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33361.pdfRule - Net Worth Standard for Accredited Investors
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33333.html
https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33333.htmlThu, 29 Dec 2011 00:00:00 -08002011-33333Rulehttp://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33333.pdf