<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/02?registers=between&min-day=1&max-day=28 Sat, 27 Apr 2024 00:29:34 -0700 Sat, 27 Apr 2024 00:29:34 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/02?registers=between&min-day=1&max-day=28 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/02/28/2011-4500.html https://regulations.justia.com/regulations/fedreg/2011/02/28/2011-4500.html Mon, 28 Feb 2011 00:00:00 -0800 2011-4500 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-28/pdf/2011-4500.pdf Notice - Bio-Life Labs, Inc., BSI2000, Inc., Calais Resources, Inc., EGX Funds Transfer, Inc., Great Western Land Recreation, Inc. (a/k/a Great Western Land and Recreation, Inc.), and Id-CONFIRM, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/02/28/2011-4496.html https://regulations.justia.com/regulations/fedreg/2011/02/28/2011-4496.html Mon, 28 Feb 2011 00:00:00 -0800 2011-4496 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-28/pdf/2011-4496.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendments to Rule G-23, on Activities of Financial Advisors https://regulations.justia.com/regulations/fedreg/2011/02/28/2011-4391.html https://regulations.justia.com/regulations/fedreg/2011/02/28/2011-4391.html Mon, 28 Feb 2011 00:00:00 -0800 2011-4391 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-28/pdf/2011-4391.pdf Proposed Rule - Registration and Regulation of Security-Based Swap Execution Facilities https://regulations.justia.com/regulations/fedreg/2011/02/28/2011-2696.html https://regulations.justia.com/regulations/fedreg/2011/02/28/2011-2696.html Mon, 28 Feb 2011 00:00:00 -0800 2011-2696 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-02-28/pdf/2011-2696.pdf Notice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Providing Participants With a New Optional Settlement Web Interface https://regulations.justia.com/regulations/fedreg/2011/02/25/2011-4289.html https://regulations.justia.com/regulations/fedreg/2011/02/25/2011-4289.html Fri, 25 Feb 2011 00:00:00 -0800 2011-4289 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-25/pdf/2011-4289.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Price List https://regulations.justia.com/regulations/fedreg/2011/02/25/2011-4227.html https://regulations.justia.com/regulations/fedreg/2011/02/25/2011-4227.html Fri, 25 Feb 2011 00:00:00 -0800 2011-4227 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-25/pdf/2011-4227.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/02/25/2011-4226.html https://regulations.justia.com/regulations/fedreg/2011/02/25/2011-4226.html Fri, 25 Feb 2011 00:00:00 -0800 2011-4226 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-25/pdf/2011-4226.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and To Amend the FINRA Rule 9520 Series (Eligibility Proceedings) https://regulations.justia.com/regulations/fedreg/2011/02/25/2011-4216.html https://regulations.justia.com/regulations/fedreg/2011/02/25/2011-4216.html Fri, 25 Feb 2011 00:00:00 -0800 2011-4216 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-25/pdf/2011-4216.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Disapprove a Proposed Rule Change as Modified by Amendment No. 2 to Amend EDGX Rules 11.9 and 11.5 Regarding Step-up Orders https://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4161.html https://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4161.html Thu, 24 Feb 2011 00:00:00 -0800 2011-4161 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-24/pdf/2011-4161.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Disapprove a Proposed Rule Change as Modified by Amendment No. 2 to Amend EDGA Rules 11.9 and 11.5 Regarding Step-up Orders https://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4158.html https://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4158.html Thu, 24 Feb 2011 00:00:00 -0800 2011-4158 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-24/pdf/2011-4158.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4134.html https://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4134.html Thu, 24 Feb 2011 00:00:00 -0800 2011-4134 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-24/pdf/2011-4134.pdf Notice - Self-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing of Proposed Rule Change To Amend The NASDAQ OMX Group, Inc. By-Laws https://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4117.html https://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4117.html Thu, 24 Feb 2011 00:00:00 -0800 2011-4117 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-24/pdf/2011-4117.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change To Permit the Listing of $0.50 and $1 Strike Price Increments on Certain Options Used To Calculate Volatility Indexes https://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4075.html https://regulations.justia.com/regulations/fedreg/2011/02/24/2011-4075.html Thu, 24 Feb 2011 00:00:00 -0800 2011-4075 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-24/pdf/2011-4075.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/02/23/2011-4078.html https://regulations.justia.com/regulations/fedreg/2011/02/23/2011-4078.html Wed, 23 Feb 2011 00:00:00 -0800 2011-4078 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-23/pdf/2011-4078.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the WisdomTree Asia Local Debt Fund https://regulations.justia.com/regulations/fedreg/2011/02/23/2011-3984.html https://regulations.justia.com/regulations/fedreg/2011/02/23/2011-3984.html Wed, 23 Feb 2011 00:00:00 -0800 2011-3984 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-23/pdf/2011-3984.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Adopt Supplemental Rule (a) to Chapter 4 Relating to Proxy Voting https://regulations.justia.com/regulations/fedreg/2011/02/23/2011-3983.html https://regulations.justia.com/regulations/fedreg/2011/02/23/2011-3983.html Wed, 23 Feb 2011 00:00:00 -0800 2011-3983 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-23/pdf/2011-3983.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend an Exchange Rule Relating to Giving Proxies https://regulations.justia.com/regulations/fedreg/2011/02/23/2011-3982.html https://regulations.justia.com/regulations/fedreg/2011/02/23/2011-3982.html Wed, 23 Feb 2011 00:00:00 -0800 2011-3982 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-23/pdf/2011-3982.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, Entitled “Order Execution” https://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3826.html https://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3826.html Tue, 22 Feb 2011 00:00:00 -0800 2011-3826 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-22/pdf/2011-3826.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of FactorShares Funds https://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3824.html https://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3824.html Tue, 22 Feb 2011 00:00:00 -0800 2011-3824 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-22/pdf/2011-3824.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC to Expand the $2.50 Strike Price Program https://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3801.html https://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3801.html Tue, 22 Feb 2011 00:00:00 -0800 2011-3801 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-22/pdf/2011-3801.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Motions in Arbitration https://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3800.html https://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3800.html Tue, 22 Feb 2011 00:00:00 -0800 2011-3800 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-22/pdf/2011-3800.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Promissory Note Proceedings https://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3799.html https://regulations.justia.com/regulations/fedreg/2011/02/22/2011-3799.html Tue, 22 Feb 2011 00:00:00 -0800 2011-3799 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-22/pdf/2011-3799.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish and Adopt Fees for the New Short Sale Monitor Service and BX Data Add-On https://regulations.justia.com/regulations/fedreg/2011/02/18/2011-3691.html https://regulations.justia.com/regulations/fedreg/2011/02/18/2011-3691.html Fri, 18 Feb 2011 00:00:00 -0800 2011-3691 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-18/pdf/2011-3691.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish and Adopt Fees for the New Short Sale Monitor Service and Nasdaq Data Add-On https://regulations.justia.com/regulations/fedreg/2011/02/18/2011-3690.html https://regulations.justia.com/regulations/fedreg/2011/02/18/2011-3690.html Fri, 18 Feb 2011 00:00:00 -0800 2011-3690 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-18/pdf/2011-3690.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish and Adopt Fees for the New Short Sale Monitor Service and PSX Data Add-On https://regulations.justia.com/regulations/fedreg/2011/02/18/2011-3689.html https://regulations.justia.com/regulations/fedreg/2011/02/18/2011-3689.html Fri, 18 Feb 2011 00:00:00 -0800 2011-3689 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-18/pdf/2011-3689.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Cease Operating NYSE MatchPoint Effective February 28, 2011 and Contemporaneously Delete the Text of Rule 1500, Which Governs MatchPoint's Functionality https://regulations.justia.com/regulations/fedreg/2011/02/18/2011-3646.html https://regulations.justia.com/regulations/fedreg/2011/02/18/2011-3646.html Fri, 18 Feb 2011 00:00:00 -0800 2011-3646 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-18/pdf/2011-3646.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Additional Routing Option https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3645.html https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3645.html Thu, 17 Feb 2011 00:00:00 -0800 2011-3645 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3645.pdf Notice - Public Availability of the Securities and Exchange Commission FY 2010 Service Contract Inventory https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3644.html https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3644.html Thu, 17 Feb 2011 00:00:00 -0800 2011-3644 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3644.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Routing Option SOLV and Corresponding Fees https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3584.html https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3584.html Thu, 17 Feb 2011 00:00:00 -0800 2011-3584 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3584.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise an Optional Depth Data Enterprise License Fee for Broker-Dealer Distribution of Depth-of-Book Data https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3583.html https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3583.html Thu, 17 Feb 2011 00:00:00 -0800 2011-3583 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3583.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance the Investor Support Program https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3582.html https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3582.html Thu, 17 Feb 2011 00:00:00 -0800 2011-3582 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3582.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3581.html https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3581.html Thu, 17 Feb 2011 00:00:00 -0800 2011-3581 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3581.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the CFLEX Surcharge Fee Cap https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3554.html https://regulations.justia.com/regulations/fedreg/2011/02/17/2011-3554.html Thu, 17 Feb 2011 00:00:00 -0800 2011-3554 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-17/pdf/2011-3554.pdf Notice - Capital International, Inc., et al.; https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3494.html https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3494.html Wed, 16 Feb 2011 00:00:00 -0800 2011-3494 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3494.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a New Standard To Communicate Corporate Action Events to Participants https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3471.html https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3471.html Wed, 16 Feb 2011 00:00:00 -0800 2011-3471 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3471.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of the SPDR Nuveen S&P High Yield Municipal Bond ETF https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3441.html https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3441.html Wed, 16 Feb 2011 00:00:00 -0800 2011-3441 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3441.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Fees for Complex Orders https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3422.html https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3422.html Wed, 16 Feb 2011 00:00:00 -0800 2011-3422 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3422.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3417.html https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3417.html Wed, 16 Feb 2011 00:00:00 -0800 2011-3417 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3417.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Disapproving Proposed Rule Change To Amend FINRA Rule 6140 (Other Trading Practices) https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3416.html https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3416.html Wed, 16 Feb 2011 00:00:00 -0800 2011-3416 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3416.pdf Proposed Rule - Security Ratings https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3259.html https://regulations.justia.com/regulations/fedreg/2011/02/16/2011-3259.html Wed, 16 Feb 2011 00:00:00 -0800 2011-3259 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-02-16/pdf/2011-3259.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3451.html https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3451.html Tue, 15 Feb 2011 00:00:00 -0800 2011-3451 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3451.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3317.html https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3317.html Tue, 15 Feb 2011 00:00:00 -0800 2011-3317 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3317.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3316.html https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3316.html Tue, 15 Feb 2011 00:00:00 -0800 2011-3316 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3316.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Expanding Its Short Term Option Program https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3315.html https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3315.html Tue, 15 Feb 2011 00:00:00 -0800 2011-3315 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3315.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Orders From Nasdaq Options Services https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3314.html https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3314.html Tue, 15 Feb 2011 00:00:00 -0800 2011-3314 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3314.pdf Notice - Riverside Casualty, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3272.html https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3272.html Tue, 15 Feb 2011 00:00:00 -0800 2011-3272 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3272.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of the Teucrium WTI Crude Oil Fund https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3271.html https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3271.html Tue, 15 Feb 2011 00:00:00 -0800 2011-3271 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3271.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3270.html https://regulations.justia.com/regulations/fedreg/2011/02/15/2011-3270.html Tue, 15 Feb 2011 00:00:00 -0800 2011-3270 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-15/pdf/2011-3270.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3188.html https://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3188.html Mon, 14 Feb 2011 00:00:00 -0800 2011-3188 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-14/pdf/2011-3188.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3187.html https://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3187.html Mon, 14 Feb 2011 00:00:00 -0800 2011-3187 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-14/pdf/2011-3187.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX LLC; Notice of Filing of Proposed Rule Change Relating to Permanent Approval of the BX and NES Inbound Routing Relationship https://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3186.html https://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3186.html Mon, 14 Feb 2011 00:00:00 -0800 2011-3186 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-14/pdf/2011-3186.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3183.html https://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3183.html Mon, 14 Feb 2011 00:00:00 -0800 2011-3183 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-14/pdf/2011-3183.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of the Grail Western Asset Ultra Short Duration ETF https://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3182.html https://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3182.html Mon, 14 Feb 2011 00:00:00 -0800 2011-3182 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-14/pdf/2011-3182.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Forms of Broker Letters Set Forth in Exchange Rule 451 and Sections 905.02 and 905.03 of the Exchange's Listed Company Manual https://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3177.html https://regulations.justia.com/regulations/fedreg/2011/02/14/2011-3177.html Mon, 14 Feb 2011 00:00:00 -0800 2011-3177 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-14/pdf/2011-3177.pdf 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. https://regulations.justia.com/regulations/fedreg/2011/02/11/2011-3035.html https://regulations.justia.com/regulations/fedreg/2011/02/11/2011-3035.html Fri, 11 Feb 2011 00:00:00 -0800 2011-3035 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-11/pdf/2011-3035.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Alpha Index Options https://regulations.justia.com/regulations/fedreg/2011/02/11/2011-3034.html https://regulations.justia.com/regulations/fedreg/2011/02/11/2011-3034.html Fri, 11 Feb 2011 00:00:00 -0800 2011-3034 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-11/pdf/2011-3034.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Regarding Registration, Qualification, and Continuing Education Requirements for Members and Associated Persons https://regulations.justia.com/regulations/fedreg/2011/02/11/2011-3032.html https://regulations.justia.com/regulations/fedreg/2011/02/11/2011-3032.html Fri, 11 Feb 2011 00:00:00 -0800 2011-3032 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-11/pdf/2011-3032.pdf Proposed Rule - Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF https://regulations.justia.com/regulations/fedreg/2011/02/11/2011-2175.html https://regulations.justia.com/regulations/fedreg/2011/02/11/2011-2175.html Fri, 11 Feb 2011 00:00:00 -0800 2011-2175 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-02-11/pdf/2011-2175.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2973.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2973.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2973 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2973.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Bylaw and Related Rule Changes https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2972.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2972.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2972 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2972.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Bylaw and Related Rule Changes https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2971.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2971.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2971 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2971.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Stock-Option Orders https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2970.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2970.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2970 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2970.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2969.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2969.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2969 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2969.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Modify Fees for NASDAQ OMX PSX https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2951.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2951.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2951 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2951.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2950.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2950.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2950 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2950.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Fees Schedule for the CBOE Stock Exchange https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2949.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2949.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2949 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2949.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2933.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2933.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2933 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2933.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2932.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2932.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2932 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2932.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2931.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2931.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2931 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2931.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2930.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2930.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2930 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2930.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4758 To Add a New Routing Option, LIST https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2927.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2927.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2927 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2927.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand Use of Self Trade Prevention Order Modifiers https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2925.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2925.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2925 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2925.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2924.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2924.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2924 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2924.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2923.html https://regulations.justia.com/regulations/fedreg/2011/02/10/2011-2923.html Thu, 10 Feb 2011 00:00:00 -0800 2011-2923 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-10/pdf/2011-2923.pdf Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Boston Stock Exchange Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Stockholders' Agreement Between The NASDAQ OMX Group, Inc. and Investor AB https://regulations.justia.com/regulations/fedreg/2011/02/09/2011-2795.html https://regulations.justia.com/regulations/fedreg/2011/02/09/2011-2795.html Wed, 09 Feb 2011 00:00:00 -0800 2011-2795 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-09/pdf/2011-2795.pdf Notice - ActiveCore Technologies, Inc., Battery Technologies, Inc., China Media1 Corp., Dura Products International, Inc. (n/k/a Dexx Corp.), Global Mainframe Corp., GrandeTel Technologies, Inc., Magna Entertainment Corp. (n/k/a Reorganized Magna Entertainment Corp.), and 649 Com, Inc. (n/k/a Infinite Holdings Group, Inc.), Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/02/08/2011-2827.html https://regulations.justia.com/regulations/fedreg/2011/02/08/2011-2827.html Tue, 08 Feb 2011 00:00:00 -0800 2011-2827 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-08/pdf/2011-2827.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/02/08/2011-2796.html https://regulations.justia.com/regulations/fedreg/2011/02/08/2011-2796.html Tue, 08 Feb 2011 00:00:00 -0800 2011-2796 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-08/pdf/2011-2796.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/02/08/2011-2667.html https://regulations.justia.com/regulations/fedreg/2011/02/08/2011-2667.html Tue, 08 Feb 2011 00:00:00 -0800 2011-2667 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-08/pdf/2011-2667.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Margin Requirements for Credit Options https://regulations.justia.com/regulations/fedreg/2011/02/08/2011-2645.html https://regulations.justia.com/regulations/fedreg/2011/02/08/2011-2645.html Tue, 08 Feb 2011 00:00:00 -0800 2011-2645 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-08/pdf/2011-2645.pdf Notice - Advantage Life Products, Inc., and B-Teller, Inc. (n/k/a CA Goldfields, Inc.), Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2744.html https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2744.html Mon, 07 Feb 2011 00:00:00 -0800 2011-2744 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-07/pdf/2011-2744.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify NASDAQ Options Market Rules Chapter VII, Various Sections, Dealing With Market Maker Obligations https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2616.html https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2616.html Mon, 07 Feb 2011 00:00:00 -0800 2011-2616 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-07/pdf/2011-2616.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2571.html https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2571.html Mon, 07 Feb 2011 00:00:00 -0800 2011-2571 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-07/pdf/2011-2571.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Accommodate the Clearance of Relative Performance Options https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2570.html https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2570.html Mon, 07 Feb 2011 00:00:00 -0800 2011-2570 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-07/pdf/2011-2570.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Regarding the Listing of Option Series with $1 Strike Prices https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2569.html https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2569.html Mon, 07 Feb 2011 00:00:00 -0800 2011-2569 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-07/pdf/2011-2569.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Regarding the Listing of Option Series with $1 Strike Prices https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2568.html https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2568.html Mon, 07 Feb 2011 00:00:00 -0800 2011-2568 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-07/pdf/2011-2568.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a $5 Strike Price Program https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2567.html https://regulations.justia.com/regulations/fedreg/2011/02/07/2011-2567.html Mon, 07 Feb 2011 00:00:00 -0800 2011-2567 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-07/pdf/2011-2567.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/02/04/2011-2649.html https://regulations.justia.com/regulations/fedreg/2011/02/04/2011-2649.html Fri, 04 Feb 2011 00:00:00 -0800 2011-2649 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-04/pdf/2011-2649.pdf Notice - China 9D Construction Group; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/02/04/2011-2602.html https://regulations.justia.com/regulations/fedreg/2011/02/04/2011-2602.html Fri, 04 Feb 2011 00:00:00 -0800 2011-2602 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-04/pdf/2011-2602.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Amendments to the Panel Composition Rule, and Related Rules, of the Code of Arbitration Procedure for Customer Disputes https://regulations.justia.com/regulations/fedreg/2011/02/04/2011-2492.html https://regulations.justia.com/regulations/fedreg/2011/02/04/2011-2492.html Fri, 04 Feb 2011 00:00:00 -0800 2011-2492 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-04/pdf/2011-2492.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the SiM Dynamic Allocation Diversified Income ETF and SiM Dynamic Allocation Growth Income ETF https://regulations.justia.com/regulations/fedreg/2011/02/04/2011-2457.html https://regulations.justia.com/regulations/fedreg/2011/02/04/2011-2457.html Fri, 04 Feb 2011 00:00:00 -0800 2011-2457 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-04/pdf/2011-2457.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Change To Adopt Additional Criteria for Listing Commodity Stockpiling Companies That Have Indicated Their Business Plan Is To Buy and Hold Commodities https://regulations.justia.com/regulations/fedreg/2011/02/04/2011-2447.html https://regulations.justia.com/regulations/fedreg/2011/02/04/2011-2447.html Fri, 04 Feb 2011 00:00:00 -0800 2011-2447 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-04/pdf/2011-2447.pdf Notice - Andresmin Gold Corp., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2502.html https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2502.html Thu, 03 Feb 2011 00:00:00 -0800 2011-2502 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-03/pdf/2011-2502.pdf Notice - Eternal Technologies Group, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2495.html https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2495.html Thu, 03 Feb 2011 00:00:00 -0800 2011-2495 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-03/pdf/2011-2495.pdf Notice - Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2424.html https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2424.html Thu, 03 Feb 2011 00:00:00 -0800 2011-2424 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-03/pdf/2011-2424.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Link Market Data Fees and Transaction Execution Fees https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2376.html https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2376.html Thu, 03 Feb 2011 00:00:00 -0800 2011-2376 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-03/pdf/2011-2376.pdf Proposed Rule - Conflict Minerals https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2374.html https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2374.html Thu, 03 Feb 2011 00:00:00 -0800 2011-2374 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-02-03/pdf/2011-2374.pdf Proposed Rule - Mine Safety Disclosure https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2373.html https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2373.html Thu, 03 Feb 2011 00:00:00 -0800 2011-2373 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-02-03/pdf/2011-2373.pdf Proposed Rule - Disclosure of Payments by Resource Extraction Issuers https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2359.html https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2359.html Thu, 03 Feb 2011 00:00:00 -0800 2011-2359 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-02-03/pdf/2011-2359.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2354.html https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2354.html Thu, 03 Feb 2011 00:00:00 -0800 2011-2354 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-03/pdf/2011-2354.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, in Connection With the Proposal of NYSE Euronext To Eliminate the Requirement of an 80% Supermajority Vote To Amend or Repeal Section 3.1 of its Bylaws https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2353.html https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2353.html Thu, 03 Feb 2011 00:00:00 -0800 2011-2353 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-03/pdf/2011-2353.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; NASDAQ OMX PHLX LLC; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to a Stockholders' Agreement Between the NASDAQ OMX Group, Inc. and Investor AB https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2293.html https://regulations.justia.com/regulations/fedreg/2011/02/03/2011-2293.html Thu, 03 Feb 2011 00:00:00 -0800 2011-2293 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-03/pdf/2011-2293.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Adopting FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2011/02/02/2011-2292.html https://regulations.justia.com/regulations/fedreg/2011/02/02/2011-2292.html Wed, 02 Feb 2011 00:00:00 -0800 2011-2292 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-02/pdf/2011-2292.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/02/02/2011-2229.html https://regulations.justia.com/regulations/fedreg/2011/02/02/2011-2229.html Wed, 02 Feb 2011 00:00:00 -0800 2011-2229 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-02/pdf/2011-2229.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Order Entry Port Fee https://regulations.justia.com/regulations/fedreg/2011/02/02/2011-2227.html https://regulations.justia.com/regulations/fedreg/2011/02/02/2011-2227.html Wed, 02 Feb 2011 00:00:00 -0800 2011-2227 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-02/pdf/2011-2227.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Firm Related Equity Option Cap, Active SQF Port Fees and Other Membership Fees https://regulations.justia.com/regulations/fedreg/2011/02/02/2011-2226.html https://regulations.justia.com/regulations/fedreg/2011/02/02/2011-2226.html Wed, 02 Feb 2011 00:00:00 -0800 2011-2226 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-02/pdf/2011-2226.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Dividends Service Guide https://regulations.justia.com/regulations/fedreg/2011/02/02/2011-2225.html https://regulations.justia.com/regulations/fedreg/2011/02/02/2011-2225.html Wed, 02 Feb 2011 00:00:00 -0800 2011-2225 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-02/pdf/2011-2225.pdf Rule - Shareholder Approval of Executive Compensation and Golden Parachute Compensation https://regulations.justia.com/regulations/fedreg/2011/02/02/2011-1971.html https://regulations.justia.com/regulations/fedreg/2011/02/02/2011-1971.html Wed, 02 Feb 2011 00:00:00 -0800 2011-1971 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-02-02/pdf/2011-1971.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2228.html https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2228.html Tue, 01 Feb 2011 00:00:00 -0800 2011-2228 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-01/pdf/2011-2228.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.9 https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2132.html https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2132.html Tue, 01 Feb 2011 00:00:00 -0800 2011-2132 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-01/pdf/2011-2132.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.9 https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2131.html https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2131.html Tue, 01 Feb 2011 00:00:00 -0800 2011-2131 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-01/pdf/2011-2131.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Complex Orders https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2127.html https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2127.html Tue, 01 Feb 2011 00:00:00 -0800 2011-2127 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-01/pdf/2011-2127.pdf Notice - Notice and Opportunity for Hearing: SinoFresh Healthcare, Inc. https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2126.html https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2126.html Tue, 01 Feb 2011 00:00:00 -0800 2011-2126 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-01/pdf/2011-2126.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Listing of $1 Strike Prices on the Boston Options Exchange Facility https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2123.html https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2123.html Tue, 01 Feb 2011 00:00:00 -0800 2011-2123 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-01/pdf/2011-2123.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change Regarding the Listing of Options Series With $1 Strike Prices https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2122.html https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2122.html Tue, 01 Feb 2011 00:00:00 -0800 2011-2122 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-01/pdf/2011-2122.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Listing of Option Series With $1 Strike Prices https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2119.html https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2119.html Tue, 01 Feb 2011 00:00:00 -0800 2011-2119 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-01/pdf/2011-2119.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Listing of Option Series With $1 Strike Prices https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2118.html https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2118.html Tue, 01 Feb 2011 00:00:00 -0800 2011-2118 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-01/pdf/2011-2118.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Regarding the Listing of Options Series with $1 Strike Prices https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2115.html https://regulations.justia.com/regulations/fedreg/2011/02/01/2011-2115.html Tue, 01 Feb 2011 00:00:00 -0800 2011-2115 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-02-01/pdf/2011-2115.pdf