<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/03/04?registers=between Tue, 30 Apr 2024 03:38:46 -0700 Tue, 30 Apr 2024 03:38:46 -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/2011/03/04?registers=between Notice - Advanced Optics Electronics, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-5038.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-5038.html Fri, 04 Mar 2011 00:00:00 -0800 2011-5038 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-5038.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rules 11.5, 11.9, and 11.15 To Make Certain Changes Consistent With the Upcoming Implementation of Amendments to Regulation SHO https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4905.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4905.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4905 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4905.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rules 11.5, 11.9, and 11.15 to Make Certain Changes Consistent With the Upcoming Implementation of Amendments to Regulation SHO https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4904.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4904.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4904 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4904.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Clarifying Changes to Rules 607 and 3202 Concerning the Application and Collection of the Covered Sale Fee https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4903.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4903.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4903 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4903.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Clarifying Changes to Rule 7002 Concerning the Application and Collection of the Sales Fee https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4901.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4901.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4901 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4901.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Market Data to the Public at No Charge https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4900.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4900.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4900 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4900.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Amendments to NASDAQ OMX PHLX LLC's Limited Liability Company Agreement, By-Laws, Rules, Advices and Regulations https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4898.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4898.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4898 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4898.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Quality Opening Markets https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4897.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4897.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4897 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4897.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 3303 To Implement the Amendments to Regulation SHO https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4896.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4896.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4896 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4896.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Rule 440B (Short Sales) in Order To Implement the Provisions of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4895.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4895.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4895 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4895.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Supplementary Material .20 to Rule 123C To Provide for the Treatment of Short Sale Orders at the Close https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4894.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4894.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4894 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4894.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 4763 Regarding Short Sales https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4893.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4893.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4893 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4893.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 440B (Short Sales) in Order To Implement the Provisions of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4892.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4892.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4892 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4892.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1600 (New York Block Exchange SM https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4891.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4891.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4891 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4891.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Supplementary Material .20 to NYSE Amex Equities Rule 123C To Provide for the Treatment of Short Sale Orders at the Close https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4890.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4890.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4890 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4890.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.16 (Short Sales) in Order To Implement the Provisions of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4889.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4889.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4889 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4889.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. To Adopt BYX Rule 11.21, entitled “Input of Accurate Information” https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4888.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4888.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4888 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4888.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Adopt BATS Rule 11.21, entitled “Input of Accurate Information” https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4886.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4886.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4886 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4886.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Amendments to Rules 200(g) and 201 of Regulation SHO Applicable to Complex Orders https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4885.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4885.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4885 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4885.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4883.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4883.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4883 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4883.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4861.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4861.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4861 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4861.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Introduce Cross-Margining of Certain Positions Cleared at the Fixed Income Clearing Corporation and Certain Positions Cleared at New York Portfolio Clearing, LLC https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4836.html https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4836.html Fri, 04 Mar 2011 00:00:00 -0800 2011-4836 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4836.pdf