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

Results 201 - 250 of 2,021
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 Information
Document Number: 2011-30285
Type: Notice
Date: 2011-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30285.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change to Amend Certain TRACE Rules
Document Number: 2011-30284
Type: Notice
Date: 2011-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30284.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA's Code of Procedure
Document Number: 2011-30255
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30255.html
Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Clearing Options on the CBOE Silver Volatility Index
Document Number: 2011-30227
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30227.html
Bandon Capital Management, LLC and Northern Lights Fund Trust; Notice of Application
Document Number: 2011-30226
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30226.html
Proposed Collection; Comment Request
Document Number: 2011-30225
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30225.html
Proposed Collection; Comment Request
Document Number: 2011-30220
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30220.html
Proposed Collection; Comment Request
Document Number: 2011-30219
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30219.html
Proposed Extension of Existing Collection; Comment Request
Document Number: 2011-30218
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30218.html
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 8.600
Document Number: 2011-30202
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30202.html
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.
Document Number: 2011-30201
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30201.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Expanding the Short Term Option Series Program
Document Number: 2011-30200
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30200.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Expanding the Short Term Option Series Program
Document Number: 2011-30199
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30199.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Weeklys Program
Document Number: 2011-30198
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30198.html
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 Program
Document Number: 2011-30197
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30197.html
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 Program
Document Number: 2011-30196
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30196.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule to Expand the Short Term Options Series Program
Document Number: 2011-30195
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30195.html
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 Volatility
Document Number: 2011-30193
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30193.html
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 Program
Document Number: 2011-30192
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30192.html
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.
Document Number: 2011-30191
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30191.html
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 HOLDRS
Document Number: 2011-30180
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30180.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality
Document Number: 2011-30179
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30179.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality
Document Number: 2011-30178
Type: Notice
Date: 2011-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30178.html
Abviva, Inc., ACTIS Global Ventures, Inc., aeroTelesis, Inc., Amwest Insurance Group, Inc., and Auto Underwriters of America, Inc.; Order of Suspension of Trading
Document Number: 2011-30217
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30217.html
Sunshine Act Meeting
Document Number: 2011-30190
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30190.html
Proposed Collection; Comment Request
Document Number: 2011-30072
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30072.html
Submission for OMB Review; Comment Request
Document Number: 2011-30071
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30071.html
Proposed Collection; Comment Request
Document Number: 2011-30070
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30070.html
Proposed Collection; Comment Request
Document Number: 2011-30069
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30069.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Good-till-Cancelled and Discretionary Orders
Document Number: 2011-30058
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30058.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Good-Till-Cancelled and Discretionary Orders
Document Number: 2011-30057
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30057.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a “Post-Only” Order Type
Document Number: 2011-30056
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30056.html
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 Comment
Document Number: 2011-30053
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30053.html
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 Securities
Document Number: 2011-29970
Type: Notice
Date: 2011-11-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29970.html
Submission for OMB Review; Comment Request
Document Number: 2011-29873
Type: Notice
Date: 2011-11-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29873.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to the Exchange Rule 795, Member Officer or Director
Document Number: 2011-29872
Type: Notice
Date: 2011-11-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29872.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Quote Risk Monitor Mechanism
Document Number: 2011-29871
Type: Notice
Date: 2011-11-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29871.html
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 Contracts
Document Number: 2011-29870
Type: Notice
Date: 2011-11-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29870.html
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 Months
Document Number: 2011-29869
Type: Notice
Date: 2011-11-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29869.html
Rescission of Outdated Rules and Forms, and Amendments To Correct References
Document Number: 2011-29096
Type: Rule
Date: 2011-11-21
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29096.html
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.
Document Number: C1-2011-28716
Type: Notice
Date: 2011-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/18/C1-2011-28716.html
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 Exchange
Document Number: C1-2011-28694
Type: Notice
Date: 2011-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/18/C1-2011-28694.html
Sunshine Act Meeting
Document Number: 2011-29969
Type: Notice
Date: 2011-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/18/2011-29969.html
Reporting Line for the Commission's Ethics Counsel
Document Number: 2011-29802
Type: Rule
Date: 2011-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is amending its rules to reflect that the Commission's Office of the Ethics Counsel is now a stand-alone Office of the Commission and that the head of the Office, the Ethics Counsel, reports directly to the Chairman of the Commission.
https://regulations.justia.com/regulations/fedreg/2011/11/18/2011-29802.html
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 Rules
Document Number: 2011-29786
Type: Notice
Date: 2011-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/18/2011-29786.html
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 3.6A
Document Number: 2011-29746
Type: Notice
Date: 2011-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/18/2011-29746.html
Sunshine Act Meeting
Document Number: 2011-29853
Type: Notice
Date: 2011-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29853.html
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 Trade
Document Number: 2011-29723
Type: Notice
Date: 2011-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29723.html
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”)
Document Number: 2011-29679
Type: Notice
Date: 2011-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29679.html
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 Makers
Document Number: 2011-29678
Type: Notice
Date: 2011-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29678.html
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