Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/01?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-04-18T06:21:44-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2011/01/31/2011-2159.html Notice - Clean Energy and Power, Inc., Order of Suspension of Trading 2011-01-31T00:00:00-08:00 2011-01-31T00:00:00-08:00 2011-2159 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-31/pdf/2011-2159.pdf https://regulations.justia.com/regulations/fedreg/2011/01/31/2011-2136.html Notice - Sunshine Act Meeting 2011-01-31T00:00:00-08:00 2011-01-31T00:00:00-08:00 2011-2136 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-31/pdf/2011-2136.pdf https://regulations.justia.com/regulations/fedreg/2011/01/31/2011-1988.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Orders From Nasdaq Execution Services 2011-01-31T00:00:00-08:00 2011-01-31T00:00:00-08:00 2011-1988 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-31/pdf/2011-1988.pdf https://regulations.justia.com/regulations/fedreg/2011/01/31/2011-1987.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Proposed Rule Change To Amend BYX Rules in Connection With the Implementation of Amendments to Regulation SHO 2011-01-31T00:00:00-08:00 2011-01-31T00:00:00-08:00 2011-1987 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-31/pdf/2011-1987.pdf https://regulations.justia.com/regulations/fedreg/2011/01/31/2011-1986.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Proposed Rule Change To Amend BATS Rules in Connection With the Implementation of Amendments to Regulation SHO 2011-01-31T00:00:00-08:00 2011-01-31T00:00:00-08:00 2011-1986 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-31/pdf/2011-1986.pdf https://regulations.justia.com/regulations/fedreg/2011/01/31/2011-1985.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Consisting of Amendments to Rule A-3, on Membership on the Board 2011-01-31T00:00:00-08:00 2011-01-31T00:00:00-08:00 2011-1985 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-31/pdf/2011-1985.pdf https://regulations.justia.com/regulations/fedreg/2011/01/31/2011-1984.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Short Sell Order Handling 2011-01-31T00:00:00-08:00 2011-01-31T00:00:00-08:00 2011-1984 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-31/pdf/2011-1984.pdf https://regulations.justia.com/regulations/fedreg/2011/01/31/2011-1983.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Notice of Proposed Rule Change Regarding Rule 4.20-Anti-Money Laundering Compliance Program 2011-01-31T00:00:00-08:00 2011-01-31T00:00:00-08:00 2011-1983 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-31/pdf/2011-1983.pdf https://regulations.justia.com/regulations/fedreg/2011/01/31/2011-1982.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Establish a New Class of Market Participant for Index Options 2011-01-31T00:00:00-08:00 2011-01-31T00:00:00-08:00 2011-1982 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-31/pdf/2011-1982.pdf https://regulations.justia.com/regulations/fedreg/2011/01/31/2011-1922.html Proposed Rule - Net Worth Standard for Accredited Investors 2011-01-31T00:00:00-08:00 2011-01-31T00:00:00-08:00

2011-1922 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-01-31/pdf/2011-1922.pdf https://regulations.justia.com/regulations/fedreg/2011/01/28/2011-1860.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to the Purchase of Equity Interests by International Securities Exchange Holdings, Inc. in Ballista Holdings LLC 2011-01-28T00:00:00-08:00 2011-01-28T00:00:00-08:00 2011-1860 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-28/pdf/2011-1860.pdf https://regulations.justia.com/regulations/fedreg/2011/01/28/2011-1859.html Notice - Joint Industry Plan; Notice of Filing of Amendment No. 25 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc. 2011-01-28T00:00:00-08:00 2011-01-28T00:00:00-08:00 2011-1859 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-28/pdf/2011-1859.pdf https://regulations.justia.com/regulations/fedreg/2011/01/28/2011-1858.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 24 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc. 2011-01-28T00:00:00-08:00 2011-01-28T00:00:00-08:00 2011-1858 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-28/pdf/2011-1858.pdf https://regulations.justia.com/regulations/fedreg/2011/01/28/2011-1857.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 23 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc. 2011-01-28T00:00:00-08:00 2011-01-28T00:00:00-08:00 2011-1857 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-28/pdf/2011-1857.pdf https://regulations.justia.com/regulations/fedreg/2011/01/28/2011-1856.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Criteria for Listing Special Purpose Acquisition Companies (SPACs) To Provide an Option To Hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition 2011-01-28T00:00:00-08:00 2011-01-28T00:00:00-08:00 2011-1856 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-28/pdf/2011-1856.pdf https://regulations.justia.com/regulations/fedreg/2011/01/28/2011-1820.html Notice - Submission for OMB Review; Comment Request 2011-01-28T00:00:00-08:00 2011-01-28T00:00:00-08:00 2011-1820 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-28/pdf/2011-1820.pdf https://regulations.justia.com/regulations/fedreg/2011/01/27/2011-1764.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules 2011-01-27T00:00:00-08:00 2011-01-27T00:00:00-08:00 2011-1764 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-27/pdf/2011-1764.pdf https://regulations.justia.com/regulations/fedreg/2011/01/27/2011-1728.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of the Teucrium Natural Gas Fund 2011-01-27T00:00:00-08:00 2011-01-27T00:00:00-08:00 2011-1728 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-27/pdf/2011-1728.pdf https://regulations.justia.com/regulations/fedreg/2011/01/27/2011-1727.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities 2011-01-27T00:00:00-08:00 2011-01-27T00:00:00-08:00 2011-1727 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-27/pdf/2011-1727.pdf https://regulations.justia.com/regulations/fedreg/2011/01/27/2011-1726.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Standards for Market Maker Electronic Quotes That Are Present During an Opening Auction 2011-01-27T00:00:00-08:00 2011-01-27T00:00:00-08:00 2011-1726 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-27/pdf/2011-1726.pdf https://regulations.justia.com/regulations/fedreg/2011/01/27/2011-1725.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Standards for Market Maker Electronic Quotes That Are Present During an Opening Auction 2011-01-27T00:00:00-08:00 2011-01-27T00:00:00-08:00 2011-1725 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-27/pdf/2011-1725.pdf https://regulations.justia.com/regulations/fedreg/2011/01/27/2011-1711.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Link Market Data Fees and Transaction Execution Fees 2011-01-27T00:00:00-08:00 2011-01-27T00:00:00-08:00 2011-1711 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-27/pdf/2011-1711.pdf https://regulations.justia.com/regulations/fedreg/2011/01/27/2011-1710.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading Shares of the AdvisorShares Active Bear ETF 2011-01-27T00:00:00-08:00 2011-01-27T00:00:00-08:00 2011-1710 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-27/pdf/2011-1710.pdf https://regulations.justia.com/regulations/fedreg/2011/01/27/2011-1709.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Create a Bond Trading License for Member Organizations and Establish Bonds Liquidity Providers as a New Market Class on NYSE Under a Pilot Program 2011-01-27T00:00:00-08:00 2011-01-27T00:00:00-08:00 2011-1709 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-27/pdf/2011-1709.pdf https://regulations.justia.com/regulations/fedreg/2011/01/26/2011-1504.html Rule - Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2011-01-26T00:00:00-08:00 2011-01-26T00:00:00-08:00

2011-1504 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-01-26/pdf/2011-1504.pdf https://regulations.justia.com/regulations/fedreg/2011/01/25/2011-1503.html Rule - Issuer Review of Assets in Offerings of Asset-Backed Securities 2011-01-25T00:00:00-08:00 2011-01-25T00:00:00-08:00

2011-1503 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-01-25/pdf/2011-1503.pdf https://regulations.justia.com/regulations/fedreg/2011/01/25/2011-1436.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Impose a Quarterly Maximum on the Listing of Additional Shares Fees Payable by Closed-End Funds 2011-01-25T00:00:00-08:00 2011-01-25T00:00:00-08:00 2011-1436 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-25/pdf/2011-1436.pdf https://regulations.justia.com/regulations/fedreg/2011/01/25/2011-1435.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change Relating to the Price Improvement Period To Permit an Initiating Participant To Designate a PIP Surrender Quantity 2011-01-25T00:00:00-08:00 2011-01-25T00:00:00-08:00 2011-1435 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-25/pdf/2011-1435.pdf https://regulations.justia.com/regulations/fedreg/2011/01/25/2011-1434.html Notice - 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 2011-01-25T00:00:00-08:00 2011-01-25T00:00:00-08:00 2011-1434 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-25/pdf/2011-1434.pdf https://regulations.justia.com/regulations/fedreg/2011/01/25/2011-1433.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules 2011-01-25T00:00:00-08:00 2011-01-25T00:00:00-08:00 2011-1433 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-25/pdf/2011-1433.pdf https://regulations.justia.com/regulations/fedreg/2011/01/25/2011-1432.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend Procedure II of the NSCC Rules & Procedures To Modify the Money Tolerance Comparison Provisions for Fixed Income Securities 2011-01-25T00:00:00-08:00 2011-01-25T00:00:00-08:00 2011-1432 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-25/pdf/2011-1432.pdf https://regulations.justia.com/regulations/fedreg/2011/01/25/2011-1431.html Notice - Joint Industry Plan; Order Approving Amendment To Add the BATS Y-Exchange, Inc. as Participant to National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS 2011-01-25T00:00:00-08:00 2011-01-25T00:00:00-08:00 2011-1431 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-25/pdf/2011-1431.pdf https://regulations.justia.com/regulations/fedreg/2011/01/24/2011-1513.html Notice - Sunshine Act Meeting 2011-01-24T00:00:00-08:00 2011-01-24T00:00:00-08:00 2011-1513 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-24/pdf/2011-1513.pdf https://regulations.justia.com/regulations/fedreg/2011/01/24/2011-1298.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols 2011-01-24T00:00:00-08:00 2011-01-24T00:00:00-08:00 2011-1298 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-24/pdf/2011-1298.pdf https://regulations.justia.com/regulations/fedreg/2011/01/24/2011-1297.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Establishment of Remote Specialists 2011-01-24T00:00:00-08:00 2011-01-24T00:00:00-08:00 2011-1297 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-24/pdf/2011-1297.pdf https://regulations.justia.com/regulations/fedreg/2011/01/24/2011-1296.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Application of NASDAQ Rule 4611(d) 2011-01-24T00:00:00-08:00 2011-01-24T00:00:00-08:00 2011-1296 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-24/pdf/2011-1296.pdf https://regulations.justia.com/regulations/fedreg/2011/01/24/2011-1199.html Rule - Rules of Practice 2011-01-24T00:00:00-08:00 2011-01-24T00:00:00-08:00

2011-1199 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-01-24/pdf/2011-1199.pdf https://regulations.justia.com/regulations/fedreg/2011/01/21/2011-1295.html Notice - Sunshine Act Meeting 2011-01-21T00:00:00-08:00 2011-01-21T00:00:00-08:00 2011-1295 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-21/pdf/2011-1295.pdf https://regulations.justia.com/regulations/fedreg/2011/01/21/2011-1219.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees 2011-01-21T00:00:00-08:00 2011-01-21T00:00:00-08:00 2011-1219 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-21/pdf/2011-1219.pdf https://regulations.justia.com/regulations/fedreg/2011/01/21/2011-1218.html Proposed Rule - Trade Acknowledgment and Verification of Security-Based Swap Transactions 2011-01-21T00:00:00-08:00 2011-01-21T00:00:00-08:00

2011-1218 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-01-21/pdf/2011-1218.pdf https://regulations.justia.com/regulations/fedreg/2011/01/20/2011-1081.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Fee Cap on Dividend, Merger and Short Stock Interest Strategies 2011-01-20T00:00:00-08:00 2011-01-20T00:00:00-08:00 2011-1081 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-20/pdf/2011-1081.pdf https://regulations.justia.com/regulations/fedreg/2011/01/20/2011-1080.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Credit Default Options in, and Making Certain Technical Amendments to, the June 2007 Supplement to the Options Disclosure Document 2011-01-20T00:00:00-08:00 2011-01-20T00:00:00-08:00 2011-1080 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-20/pdf/2011-1080.pdf https://regulations.justia.com/regulations/fedreg/2011/01/20/2011-1078.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Additional Time To Report Certain Reportable TRACE Transactions and Waive Certain Transaction Reporting Fees 2011-01-20T00:00:00-08:00 2011-01-20T00:00:00-08:00 2011-1078 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-20/pdf/2011-1078.pdf https://regulations.justia.com/regulations/fedreg/2011/01/20/2011-1077.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Establish a $5 Strike Price Program 2011-01-20T00:00:00-08:00 2011-01-20T00:00:00-08:00 2011-1077 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-20/pdf/2011-1077.pdf https://regulations.justia.com/regulations/fedreg/2011/01/20/2011-1075.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca US LLC To Establish a $5 Strike Price Program 2011-01-20T00:00:00-08:00 2011-01-20T00:00:00-08:00 2011-1075 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-20/pdf/2011-1075.pdf https://regulations.justia.com/regulations/fedreg/2011/01/20/2011-1073.html Notice - Proposed Collection; Comment Request 2011-01-20T00:00:00-08:00 2011-01-20T00:00:00-08:00 2011-1073 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-20/pdf/2011-1073.pdf https://regulations.justia.com/regulations/fedreg/2011/01/19/2011-955.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Schedule and Circular Regarding Trading Permit Holder Application and Other Related Fees 2011-01-19T00:00:00-08:00 2011-01-19T00:00:00-08:00 2011-955 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-19/pdf/2011-955.pdf https://regulations.justia.com/regulations/fedreg/2011/01/19/2011-950.html Notice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees for the NASDAQ Options Market 2011-01-19T00:00:00-08:00 2011-01-19T00:00:00-08:00 2011-950 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-19/pdf/2011-950.pdf https://regulations.justia.com/regulations/fedreg/2011/01/19/2011-949.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit 2011-01-19T00:00:00-08:00 2011-01-19T00:00:00-08:00 2011-949 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-19/pdf/2011-949.pdf https://regulations.justia.com/regulations/fedreg/2011/01/19/2011-1114.html Notice - Sunshine Act Meeting 2011-01-19T00:00:00-08:00 2011-01-19T00:00:00-08:00 2011-1114 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-19/pdf/2011-1114.pdf https://regulations.justia.com/regulations/fedreg/2011/01/18/C1-2010-32943.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the WisdomTree Asia Bond Fund 2011-01-18T00:00:00-08:00 2011-01-18T00:00:00-08:00 C1-2010-32943 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-18/pdf/C1-2010-32943.pdf https://regulations.justia.com/regulations/fedreg/2011/01/18/2011-919.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Exchange Fees for Fiscal Year 2011 2011-01-18T00:00:00-08:00 2011-01-18T00:00:00-08:00 2011-919 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-18/pdf/2011-919.pdf https://regulations.justia.com/regulations/fedreg/2011/01/18/2011-901.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Option Expiration Months and Series of Options Open for Trading on the Exchange 2011-01-18T00:00:00-08:00 2011-01-18T00:00:00-08:00 2011-901 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-18/pdf/2011-901.pdf https://regulations.justia.com/regulations/fedreg/2011/01/18/2011-892.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Trading Rules Regarding Voluntary Withdrawal From Trading Options Classes in Which They Are Appointed 2011-01-18T00:00:00-08:00 2011-01-18T00:00:00-08:00 2011-892 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-18/pdf/2011-892.pdf https://regulations.justia.com/regulations/fedreg/2011/01/18/2011-891.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Relating to Obvious Errors Respecting Complex Trades 2011-01-18T00:00:00-08:00 2011-01-18T00:00:00-08:00 2011-891 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-18/pdf/2011-891.pdf https://regulations.justia.com/regulations/fedreg/2011/01/18/2011-835.html Rule - Delegation of Authority to the Chief Accountant 2011-01-18T00:00:00-08:00 2011-01-18T00:00:00-08:00

2011-835 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-01-18/pdf/2011-835.pdf https://regulations.justia.com/regulations/fedreg/2011/01/18/2011-1074.html Notice - Sunshine Act Meeting 2011-01-18T00:00:00-08:00 2011-01-18T00:00:00-08:00 2011-1074 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-18/pdf/2011-1074.pdf https://regulations.justia.com/regulations/fedreg/2011/01/14/2011-772.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a $5 Strike Price Program on the Boston Options Exchange Facility 2011-01-14T00:00:00-08:00 2011-01-14T00:00:00-08:00 2011-772 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-14/pdf/2011-772.pdf https://regulations.justia.com/regulations/fedreg/2011/01/14/2011-771.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities 2011-01-14T00:00:00-08:00 2011-01-14T00:00:00-08:00 2011-771 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-14/pdf/2011-771.pdf https://regulations.justia.com/regulations/fedreg/2011/01/14/2011-716.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2011-01-14T00:00:00-08:00 2011-01-14T00:00:00-08:00 2011-716 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-14/pdf/2011-716.pdf https://regulations.justia.com/regulations/fedreg/2011/01/14/2011-711.html Notice - Securities Investor Protection Corporation; Order Approving a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members 2011-01-14T00:00:00-08:00 2011-01-14T00:00:00-08:00 2011-711 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-14/pdf/2011-711.pdf https://regulations.justia.com/regulations/fedreg/2011/01/14/2011-680.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the C2 Fees Schedule and C2 Rule 3.1 2011-01-14T00:00:00-08:00 2011-01-14T00:00:00-08:00 2011-680 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-14/pdf/2011-680.pdf https://regulations.justia.com/regulations/fedreg/2011/01/14/2011-672.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASDAQ Members Using the NASDAQ Market Center 2011-01-14T00:00:00-08:00 2011-01-14T00:00:00-08:00 2011-672 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-14/pdf/2011-672.pdf https://regulations.justia.com/regulations/fedreg/2011/01/14/2011-671.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees 2011-01-14T00:00:00-08:00 2011-01-14T00:00:00-08:00 2011-671 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-14/pdf/2011-671.pdf https://regulations.justia.com/regulations/fedreg/2011/01/14/2011-668.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program 2011-01-14T00:00:00-08:00 2011-01-14T00:00:00-08:00 2011-668 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-14/pdf/2011-668.pdf https://regulations.justia.com/regulations/fedreg/2011/01/14/2011-667.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Price List 2011-01-14T00:00:00-08:00 2011-01-14T00:00:00-08:00 2011-667 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-14/pdf/2011-667.pdf https://regulations.justia.com/regulations/fedreg/2011/01/14/2011-666.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Regarding the Creation of a Universal Trade Capture Application and Automated Special Representative Facility 2011-01-14T00:00:00-08:00 2011-01-14T00:00:00-08:00 2011-666 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-14/pdf/2011-666.pdf https://regulations.justia.com/regulations/fedreg/2011/01/14/2011-665.html Notice - 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. 2011-01-14T00:00:00-08:00 2011-01-14T00:00:00-08:00 2011-665 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-14/pdf/2011-665.pdf https://regulations.justia.com/regulations/fedreg/2011/01/14/2011-664.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. 2011-01-14T00:00:00-08:00 2011-01-14T00:00:00-08:00 2011-664 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-14/pdf/2011-664.pdf https://regulations.justia.com/regulations/fedreg/2011/01/13/C2-2010-29719.html Proposed Rule - Security-Based Swap Data Repository Registration, Duties, and Core Principles; Correction 2011-01-13T00:00:00-08:00 2011-01-13T00:00:00-08:00 C2-2010-29719 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-01-13/pdf/C2-2010-29719.pdf https://regulations.justia.com/regulations/fedreg/2011/01/13/2011-674.html Notice - Submission for OMB Review; Comment Request 2011-01-13T00:00:00-08:00 2011-01-13T00:00:00-08:00 2011-674 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-13/pdf/2011-674.pdf https://regulations.justia.com/regulations/fedreg/2011/01/13/2011-663.html Notice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Revisions 2011-01-13T00:00:00-08:00 2011-01-13T00:00:00-08:00 2011-663 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-13/pdf/2011-663.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-477.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Fees and Rebates for Adding and Removing Liquidity 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-477 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-477.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-476.html Notice - Proposed Collection; Comment Request 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-476 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-476.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-475.html Notice - Proposed Collection; Comment Request 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-475 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-475.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-449.html Notice - Proposed Collection; Comment Request 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-449 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-449.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-448.html Notice - Proposed Collection; Comment Request 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-448 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-448.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-447.html Notice - Proposed Collection; Comment Request 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-447 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-447.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-446.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Arca Options Rule 6.62(h) to Define Stock/Complex Orders, Amending NYSE Arca Options Rule 6.75(g) to Update and Clarify the Priority of Complex Orders, and Amending NYSE Arca Options Rule 6.91 to Establish a Complex Order Auction 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-446 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-446.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-445.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the $5 Strike Price Program 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-445 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-445.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-444.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating to the $5 Strike Price Program 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-444 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-444.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-443.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Reciprocal Listing Respecting a $5 Strike Program for Stock Options 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-443 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-443.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-442.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the $5 Strike Price Program 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-442 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-442.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-441.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Establishing a $5 Strike Price Program 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-441 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-441.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-440.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a $5 Strike Price Program 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-440 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-440.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-439.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a $5 Strike Price Program 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-439 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-439.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-438.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market, LLC to Establish a $5 Strike Price Program 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-438 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-438.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-437.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-437 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-437.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-436.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-436 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-436.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-435.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of a Proposed Rule Change Relating to Certain Membership Rules Including Affiliations and Lapse of Membership Applications 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-435 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-435.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-433.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Revisions to the Selection Specifications for the Municipal Securities Representative Qualification Examination (Series 52) Program 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-433 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-433.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-432.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Establishing Fees for Support and Maintenance of the Trading Floor, and Fees To Defray the Costs of Floor Broker Order Capture Devices 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-432 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-432.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-431.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-431 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-431.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-430.html Notice - 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 Schedule 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-430 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-430.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-429.html Notice - 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 Schedule 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00 2011-429 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-429.pdf https://regulations.justia.com/regulations/fedreg/2011/01/12/2011-416.html Proposed Rule - Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934 2011-01-12T00:00:00-08:00 2011-01-12T00:00:00-08:00

2011-416 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-01-12/pdf/2011-416.pdf https://regulations.justia.com/regulations/fedreg/2011/01/11/2011-378.html Rule - Adoption of Updated EDGAR Filer Manual 2011-01-11T00:00:00-08:00 2011-01-11T00:00:00-08:00

2011-378 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-01-11/pdf/2011-378.pdf https://regulations.justia.com/regulations/fedreg/2011/01/11/2011-322.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange Price List 2011-01-11T00:00:00-08:00 2011-01-11T00:00:00-08:00 2011-322 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-11/pdf/2011-322.pdf https://regulations.justia.com/regulations/fedreg/2011/01/11/2011-321.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Price List 2011-01-11T00:00:00-08:00 2011-01-11T00:00:00-08:00 2011-321 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-11/pdf/2011-321.pdf https://regulations.justia.com/regulations/fedreg/2011/01/10/2011-369.html Notice - Sunshine Act Meeting Notice 2011-01-10T00:00:00-08:00 2011-01-10T00:00:00-08:00 2011-369 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-10/pdf/2011-369.pdf https://regulations.justia.com/regulations/fedreg/2011/01/10/2011-163.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options 2011-01-10T00:00:00-08:00 2011-01-10T00:00:00-08:00 2011-163 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-10/pdf/2011-163.pdf https://regulations.justia.com/regulations/fedreg/2011/01/10/2011-162.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of FactorShares Funds 2011-01-10T00:00:00-08:00 2011-01-10T00:00:00-08:00 2011-162 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-10/pdf/2011-162.pdf https://regulations.justia.com/regulations/fedreg/2011/01/10/2011-161.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Jefferies S&P 500® VIX Short-Term Futures ETF 2011-01-10T00:00:00-08:00 2011-01-10T00:00:00-08:00 2011-161 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-10/pdf/2011-161.pdf https://regulations.justia.com/regulations/fedreg/2011/01/10/2011-160.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Modifications to the Fee Schedule 2011-01-10T00:00:00-08:00 2011-01-10T00:00:00-08:00 2011-160 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-10/pdf/2011-160.pdf https://regulations.justia.com/regulations/fedreg/2011/01/10/2011-159.html Notice - Self-Regulatory Organizations; The Boston Stock Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Articles of Organization and By-Laws 2011-01-10T00:00:00-08:00 2011-01-10T00:00:00-08:00 2011-159 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-10/pdf/2011-159.pdf https://regulations.justia.com/regulations/fedreg/2011/01/07/2011-93.html Notice - 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. 2011-01-07T00:00:00-08:00 2011-01-07T00:00:00-08:00 2011-93 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-07/pdf/2011-93.pdf https://regulations.justia.com/regulations/fedreg/2011/01/07/2011-92.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Router Subsidy 2011-01-07T00:00:00-08:00 2011-01-07T00:00:00-08:00 2011-92 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-07/pdf/2011-92.pdf https://regulations.justia.com/regulations/fedreg/2011/01/07/2011-91.html Notice - 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. 2011-01-07T00:00:00-08:00 2011-01-07T00:00:00-08:00 2011-91 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-07/pdf/2011-91.pdf https://regulations.justia.com/regulations/fedreg/2011/01/07/2011-90.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the NASDAQ Stock Market LLC To Enhance the Investor Support Program 2011-01-07T00:00:00-08:00 2011-01-07T00:00:00-08:00 2011-90 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-07/pdf/2011-90.pdf https://regulations.justia.com/regulations/fedreg/2011/01/06/2010-33365.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change To Update and Streamline the Process for Specialist Evaluations and Clarify the Time Within Which SQTs and RSQTs Must Begin To Electronically Quote After Assignment 2011-01-06T00:00:00-08:00 2011-01-06T00:00:00-08:00 2010-33365 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-06/pdf/2010-33365.pdf https://regulations.justia.com/regulations/fedreg/2011/01/06/2010-33364.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pilot Program for Cabinet Trading Below $1.00 Per Contract Until June 1, 2011 2011-01-06T00:00:00-08:00 2011-01-06T00:00:00-08:00 2010-33364 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-06/pdf/2010-33364.pdf https://regulations.justia.com/regulations/fedreg/2011/01/06/2010-33363.html Notice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Teucrium WTI Crude Oil Fund Under NYSE Arca Equities Rule 8.200 2011-01-06T00:00:00-08:00 2011-01-06T00:00:00-08:00 2010-33363 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-06/pdf/2010-33363.pdf https://regulations.justia.com/regulations/fedreg/2011/01/06/2010-33362.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of the SPDR Nuveen S&P High Yield Municipal Bond ETF 2011-01-06T00:00:00-08:00 2011-01-06T00:00:00-08:00 2010-33362 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-06/pdf/2010-33362.pdf https://regulations.justia.com/regulations/fedreg/2011/01/06/2010-32445.html Proposed Rule - Registration of Municipal Advisors 2011-01-06T00:00:00-08:00 2011-01-06T00:00:00-08:00

2010-32445 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-01-06/pdf/2010-32445.pdf https://regulations.justia.com/regulations/fedreg/2011/01/05/2010-33304.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Stock Loan Programs 2011-01-05T00:00:00-08:00 2011-01-05T00:00:00-08:00 2010-33304 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-05/pdf/2010-33304.pdf https://regulations.justia.com/regulations/fedreg/2011/01/05/2010-33271.html Notice - Submission for OMB Review; Comment Request 2011-01-05T00:00:00-08:00 2011-01-05T00:00:00-08:00 2010-33271 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-05/pdf/2010-33271.pdf https://regulations.justia.com/regulations/fedreg/2011/01/05/2010-33269.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Consisting of Amendments to Rule A-13 To Increase Transaction Assessments for Certain Municipal Securities Transactions Reported to the Board and to Institute a New Technology Fee on Reported Sales Transactions 2011-01-05T00:00:00-08:00 2011-01-05T00:00:00-08:00 2010-33269 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-05/pdf/2010-33269.pdf https://regulations.justia.com/regulations/fedreg/2011/01/05/2010-33267.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto by NASDAQ OMX PHLX LLC Relating to Active SQF Port Fee 2011-01-05T00:00:00-08:00 2011-01-05T00:00:00-08:00 2010-33267 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-05/pdf/2010-33267.pdf https://regulations.justia.com/regulations/fedreg/2011/01/05/2010-33259.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or August 1, 2011 2011-01-05T00:00:00-08:00 2011-01-05T00:00:00-08:00 2010-33259 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-05/pdf/2010-33259.pdf https://regulations.justia.com/regulations/fedreg/2011/01/05/2010-33258.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or August 1, 2011 2011-01-05T00:00:00-08:00 2011-01-05T00:00:00-08:00 2010-33258 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-05/pdf/2010-33258.pdf https://regulations.justia.com/regulations/fedreg/2011/01/05/2010-33257.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for the NASDAQ OMX BX Equities System 2011-01-05T00:00:00-08:00 2011-01-05T00:00:00-08:00 2010-33257 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-05/pdf/2010-33257.pdf https://regulations.justia.com/regulations/fedreg/2011/01/05/2010-33256.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission Approval To Make Such Pilot Permanent or August 1, 2011 2011-01-05T00:00:00-08:00 2011-01-05T00:00:00-08:00 2010-33256 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-05/pdf/2010-33256.pdf https://regulations.justia.com/regulations/fedreg/2011/01/05/2010-33255.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission Approval To Make Such Pilot Permanent or August 1, 2011 2011-01-05T00:00:00-08:00 2011-01-05T00:00:00-08:00 2010-33255 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-05/pdf/2010-33255.pdf https://regulations.justia.com/regulations/fedreg/2011/01/05/2010-33254.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Permanent NYSE Rule 123C(9)(a)(1) and Amending Rule 123C(9)(a)(1)(iii) 2011-01-05T00:00:00-08:00 2011-01-05T00:00:00-08:00 2010-33254 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-05/pdf/2010-33254.pdf https://regulations.justia.com/regulations/fedreg/2011/01/05/2010-33253.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Permanent NYSE Amex Equities Rule 123C(9)(a)(1) and Amending Rule 123C(9)(a)(1)(iii) 2011-01-05T00:00:00-08:00 2011-01-05T00:00:00-08:00 2010-33253 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-05/pdf/2010-33253.pdf https://regulations.justia.com/regulations/fedreg/2011/01/05/2010-33252.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Modifications to the Fee Schedule 2011-01-05T00:00:00-08:00 2011-01-05T00:00:00-08:00 2010-33252 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-05/pdf/2010-33252.pdf https://regulations.justia.com/regulations/fedreg/2011/01/04/2010-33261.html Notice - Sunshine Act Meeting 2011-01-04T00:00:00-08:00 2011-01-04T00:00:00-08:00 2010-33261 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-04/pdf/2010-33261.pdf https://regulations.justia.com/regulations/fedreg/2011/01/04/2010-33163.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Eliminate Certain Cash Adjustments Currently Processed by the MBSD 2011-01-04T00:00:00-08:00 2011-01-04T00:00:00-08:00 2010-33163 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-04/pdf/2010-33163.pdf https://regulations.justia.com/regulations/fedreg/2011/01/04/2010-33142.html Rule - Amendments To Form ADV; Extension of Compliance Date 2011-01-04T00:00:00-08:00 2011-01-04T00:00:00-08:00

2010-33142 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-01-04/pdf/2010-33142.pdf https://regulations.justia.com/regulations/fedreg/2011/01/04/2010-33117.html Notice - MetLife Insurance Company of Connecticut, et al. 2011-01-04T00:00:00-08:00 2011-01-04T00:00:00-08:00 2010-33117 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-04/pdf/2010-33117.pdf https://regulations.justia.com/regulations/fedreg/2011/01/04/2010-33116.html Notice - iShares Trust, et al.; Notice of Application 2011-01-04T00:00:00-08:00 2011-01-04T00:00:00-08:00

2010-33116 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-04/pdf/2010-33116.pdf https://regulations.justia.com/regulations/fedreg/2011/01/04/2010-33113.html Notice - Submission for OMB Review; Comment Request 2011-01-04T00:00:00-08:00 2011-01-04T00:00:00-08:00 2010-33113 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-04/pdf/2010-33113.pdf https://regulations.justia.com/regulations/fedreg/2011/01/03/2010-33097.html Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Amendments, as Modified by Amendment No. 1 Thereto, to the Interpretive Notice Regarding NFA Compliance Rule 2-9: Enhanced Supervisory Requirements 2011-01-03T00:00:00-08:00 2011-01-03T00:00:00-08:00 2010-33097 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-03/pdf/2010-33097.pdf https://regulations.justia.com/regulations/fedreg/2011/01/03/2010-32984.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the ProShares VIX Short-Term Futures ETF and the ProShares VIX Mid-Term Futures ETF 2011-01-03T00:00:00-08:00 2011-01-03T00:00:00-08:00 2010-32984 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-03/pdf/2010-32984.pdf https://regulations.justia.com/regulations/fedreg/2011/01/03/2010-32943.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the WisdomTree Asia Bond Fund 2011-01-03T00:00:00-08:00 2011-01-03T00:00:00-08:00 2010-32943 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-01-03/pdf/2010-32943.pdf