Securities and Exchange Commission 2011 – Federal Register Recent Federal Regulation Documents

Results 151 - 200 of 2,021
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc.
Document Number: 2011-31014
Type: Notice
Date: 2011-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-31014.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Amending and Restating the CBSX Operating Agreement and Adopting Rule 2.50
Document Number: 2011-31001
Type: Notice
Date: 2011-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-31001.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the Proposed Rule Change in Connection With the Proposed Purchase and Sale of the National Stock Exchange, Inc. to CBOE Stock Exchange, Inc.
Document Number: 2011-30997
Type: Notice
Date: 2011-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30997.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Makers' Continuous Electronic Quoting Obligations and Adjusted Option Series
Document Number: 2011-30996
Type: Notice
Date: 2011-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30996.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market-Makers' Continuous Quoting Obligations and Adjusted Option Series
Document Number: 2011-30995
Type: Notice
Date: 2011-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30995.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2011-30994
Type: Notice
Date: 2011-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30994.html
Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for a Direct Market Data Product, NASDAQ Options Trade Outline (“NOTO”)
Document Number: 2011-30989
Type: Notice
Date: 2011-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30989.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Listed Company Manual To Apply Listing and Annual Fees to Foreign Private Issuers of Certain Debt Securities
Document Number: 2011-30983
Type: Notice
Date: 2011-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30983.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc.
Document Number: 2011-30982
Type: Notice
Date: 2011-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30982.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of a Recently Effective Modification to the Operation of the Minimum Quantity Order on the NASDAQ OMX PSX
Document Number: 2011-30981
Type: Notice
Date: 2011-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30981.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Enhance Risk Management Controls Associated With the Receiver Authorized Delivery Function
Document Number: 2011-30980
Type: Notice
Date: 2011-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30980.html
Sunshine Act Meeting
Document Number: 2011-31047
Type: Notice
Date: 2011-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/01/2011-31047.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Limited Extension to the Compliance Deadline for Registration and Qualification Pursuant to Rule 3.6A
Document Number: 2011-30916
Type: Notice
Date: 2011-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/01/2011-30916.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGX Rule 11.9
Document Number: 2011-30831
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30831.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGA Rule 11.9
Document Number: 2011-30830
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30830.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trading Halts
Document Number: 2011-30820
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30820.html
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 Program
Document Number: 2011-30819
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30819.html
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 Warrants
Document Number: 2011-30818
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30818.html
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 Warrants
Document Number: 2011-30817
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30817.html
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 Close
Document Number: 2011-30816
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30816.html
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 Warrants
Document Number: 2011-30815
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30815.html
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 Pilot
Document Number: 2011-30814
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30814.html
Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing Proposed Rule Change To Exclude Rights and Warrants From the Individual Securities Circuit Breaker Rule
Document Number: 2011-30813
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30813.html
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 Volatility
Document Number: 2011-30812
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30812.html
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 Volatility
Document Number: 2011-30811
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30811.html
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 Volatility
Document Number: 2011-30810
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30810.html
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 Volatility
Document Number: 2011-30809
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30809.html
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 Volatility
Document Number: 2011-30808
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30808.html
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 Rule
Document Number: 2011-30807
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30807.html
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 Rule
Document Number: 2011-30806
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30806.html
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 Rule
Document Number: 2011-30805
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30805.html
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”
Document Number: 2011-30742
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30742.html
Sunshine Act Meeting
Document Number: 2011-30794
Type: Notice
Date: 2011-11-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30794.html
Sunshine Act Meeting
Document Number: 2011-30793
Type: Notice
Date: 2011-11-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30793.html
Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Amendment No. 2 and Amendment No. 3 to Proposed Rule Relating to Relative Performance Indexes
Document Number: 2011-30719
Type: Notice
Date: 2011-11-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30719.html
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 Program
Document Number: 2011-30635
Type: Notice
Date: 2011-11-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30635.html
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 Program
Document Number: 2011-30634
Type: Notice
Date: 2011-11-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30634.html
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 Matters
Document Number: 2011-30633
Type: Notice
Date: 2011-11-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30633.html
Genesis Capital, LLC and Northern Lights Fund Trust; Notice of Application
Document Number: 2011-30632
Type: Notice
Date: 2011-11-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30632.html
Adoption of Updated EDGAR Filer Manual
Document Number: 2011-30591
Type: Rule
Date: 2011-11-29
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual to reflect updates to the EDGAR system. The revisions are being made primarily to support the updates to submission form types ABS-15G and ABS-15G/A; to support changes in XBRL validations for filings containing Exhibit 101 documents; to update the OMB information on EDGARLite Form TA-W; and to add a new applicant type to the Form ID. The EDGAR system is scheduled to be upgraded to support this functionality on November 21, 2011. The filer manual is also being revised to address changes previously made in EDGAR.
https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30591.html
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 Rule
Document Number: 2011-30447
Type: Notice
Date: 2011-11-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30447.html
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 Orders
Document Number: 2011-30430
Type: Notice
Date: 2011-11-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30430.html
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”
Document Number: 2011-30427
Type: Notice
Date: 2011-11-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30427.html
Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan To Implement the Datafeed Policy
Document Number: 2011-30426
Type: Notice
Date: 2011-11-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30426.html
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 Fees
Document Number: 2011-30425
Type: Notice
Date: 2011-11-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30425.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Trade Processing Fee
Document Number: 2011-30354
Type: Notice
Date: 2011-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30354.html
SEI Investments Management Corporation, et al.
Document Number: 2011-30350
Type: Notice
Date: 2011-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit open-end management investment companies relying on rule 12d1-2 under the Act to invest in certain financial instruments.
https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30350.html
John Hancock Variable Insurance Trust, et al.; Notice of Application
Document Number: 2011-30349
Type: Notice
Date: 2011-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: Applicants request an order that would permit certain registered open-end management investment companies to participate in a joint lending and borrowing facility.
https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30349.html
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 Guide
Document Number: 2011-30323
Type: Notice
Date: 2011-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30323.html
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 Transactions
Document Number: 2011-30322
Type: Notice
Date: 2011-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30322.html
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