Securities and Exchange Commission March 4, 2011 – Federal Register Recent Federal Regulation Documents

Results 1 - 22 of 22
Advanced Optics Electronics, Inc.; Order of Suspension of Trading
Document Number: 2011-5038
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-5038.html
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
Document Number: 2011-4905
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4905.html
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
Document Number: 2011-4904
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4904.html
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
Document Number: 2011-4903
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4903.html
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
Document Number: 2011-4901
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4901.html
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
Document Number: 2011-4900
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4900.html
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
Document Number: 2011-4898
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4898.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Quality Opening Markets
Document Number: 2011-4897
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4897.html
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
Document Number: 2011-4896
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4896.html
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
Document Number: 2011-4895
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4895.html
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
Document Number: 2011-4894
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4894.html
Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 4763 Regarding Short Sales
Document Number: 2011-4893
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4893.html
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
Document Number: 2011-4892
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4892.html
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
Document Number: 2011-4891
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4891.html
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
Document Number: 2011-4890
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4890.html
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
Document Number: 2011-4889
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4889.html
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”
Document Number: 2011-4888
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4888.html
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”
Document Number: 2011-4886
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4886.html
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
Document Number: 2011-4885
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4885.html
Submission for OMB Review; Comment Request
Document Number: 2011-4883
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4883.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2011-4861
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Each applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. By July 24, 2009, each applicant had redeemed all of its outstanding preferred shares. On December 18, 2009, each applicant transferred its assets to Cohen & Steers Quality Income Realty Fund, Inc., based on net asset value. Expenses of $232,022 and $255,944, respectively, incurred in connection with the reorganizations were paid by each applicant. Filing Dates: The applications were filed on January 19, 2011 and amended on February 14, 2011. Applicants' Address: 280 Park Ave., 10th Floor, New York, NY 10017.
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4861.html
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
Document Number: 2011-4836
Type: Notice
Date: 2011-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4836.html
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