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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2021-04-11T11:39:37-07:00 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/2011/03/31/2011-7731.html Notice - Sunshine Act Meeting 2011-03-31T00:00:00-07:00 2011-03-31T00:00:00-07:00 2011-7731 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-31/pdf/2011-7731.pdf https://regulations.justia.com/regulations/fedreg/2011/03/31/2011-7605.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Bylaw and Related Rule Changes 2011-03-31T00:00:00-07:00 2011-03-31T00:00:00-07:00 2011-7605 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-31/pdf/2011-7605.pdf https://regulations.justia.com/regulations/fedreg/2011/03/31/2011-7604.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Bylaw and Related Rule Changes 2011-03-31T00:00:00-07:00 2011-03-31T00:00:00-07:00 2011-7604 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-31/pdf/2011-7604.pdf https://regulations.justia.com/regulations/fedreg/2011/03/31/2011-7516.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2011-03-31T00:00:00-07:00 2011-03-31T00:00:00-07:00 2011-7516 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-31/pdf/2011-7516.pdf https://regulations.justia.com/regulations/fedreg/2011/03/30/2011-7572.html Notice - In the Matter of Euro Solar Parks, Inc.; Order of Suspension of Trading 2011-03-30T00:00:00-07:00 2011-03-30T00:00:00-07:00 2011-7572 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-30/pdf/2011-7572.pdf https://regulations.justia.com/regulations/fedreg/2011/03/30/2011-7458.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Change to Rules Regarding Proxy Voting by Participants 2011-03-30T00:00:00-07:00 2011-03-30T00:00:00-07:00 2011-7458 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-30/pdf/2011-7458.pdf https://regulations.justia.com/regulations/fedreg/2011/03/30/2011-7418.html Notice - American Family Life Insurance Company, et al. 2011-03-30T00:00:00-07:00 2011-03-30T00:00:00-07:00 2011-7418 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-30/pdf/2011-7418.pdf https://regulations.justia.com/regulations/fedreg/2011/03/30/2011-7417.html Notice - Simple Alternatives, LLC and The RBB Fund, Inc.; Notice of Application 2011-03-30T00:00:00-07:00 2011-03-30T00:00:00-07:00 2011-7417 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-30/pdf/2011-7417.pdf https://regulations.justia.com/regulations/fedreg/2011/03/30/2011-7415.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Amendment to Rule 862 Relating to Discretionary Proxy Voting on Executive Compensation Matters 2011-03-30T00:00:00-07:00 2011-03-30T00:00:00-07:00 2011-7415 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-30/pdf/2011-7415.pdf https://regulations.justia.com/regulations/fedreg/2011/03/30/2011-7398.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XI of the BOX Trading Rules To Harmonize Them With Rules of the Financial Industry Regulatory Authority, Inc. and Other Options Exchanges 2011-03-30T00:00:00-07:00 2011-03-30T00:00:00-07:00 2011-7398 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-30/pdf/2011-7398.pdf https://regulations.justia.com/regulations/fedreg/2011/03/30/2011-7366.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Accommodate the Clearance of Relative Performance Options 2011-03-30T00:00:00-07:00 2011-03-30T00:00:00-07:00 2011-7366 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-30/pdf/2011-7366.pdf https://regulations.justia.com/regulations/fedreg/2011/03/29/2011-7285.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc. (n/k/a the International Securities Exchange, LLC); Order Approving a Proposed Rule Change To Amend Exchange Rule Governing Directed Orders 2011-03-29T00:00:00-07:00 2011-03-29T00:00:00-07:00 2011-7285 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-29/pdf/2011-7285.pdf https://regulations.justia.com/regulations/fedreg/2011/03/29/2011-7282.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Equity Options Monthly Cap 2011-03-29T00:00:00-07:00 2011-03-29T00:00:00-07:00 2011-7282 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-29/pdf/2011-7282.pdf https://regulations.justia.com/regulations/fedreg/2011/03/29/2011-7265.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Qualified Contingent Cross Orders 2011-03-29T00:00:00-07:00 2011-03-29T00:00:00-07:00 2011-7265 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-29/pdf/2011-7265.pdf https://regulations.justia.com/regulations/fedreg/2011/03/29/2011-7264.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Pilot Programs Relating to FLEX Exercise Settlement Values and Minimum Value Sizes 2011-03-29T00:00:00-07:00 2011-03-29T00:00:00-07:00 2011-7264 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-29/pdf/2011-7264.pdf https://regulations.justia.com/regulations/fedreg/2011/03/28/2011-7342.html Notice - Sunshine Act Meeting 2011-03-28T00:00:00-07:00 2011-03-28T00:00:00-07:00 2011-7342 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-28/pdf/2011-7342.pdf https://regulations.justia.com/regulations/fedreg/2011/03/28/2011-7231.html Notice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options 2011-03-28T00:00:00-07:00 2011-03-28T00:00:00-07:00 2011-7231 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-28/pdf/2011-7231.pdf https://regulations.justia.com/regulations/fedreg/2011/03/28/2011-7181.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Extend the FLEX No Minimum Value Pilot Program 2011-03-28T00:00:00-07:00 2011-03-28T00:00:00-07:00 2011-7181 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-28/pdf/2011-7181.pdf https://regulations.justia.com/regulations/fedreg/2011/03/28/2011-7167.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options 2011-03-28T00:00:00-07:00 2011-03-28T00:00:00-07:00 2011-7167 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-28/pdf/2011-7167.pdf https://regulations.justia.com/regulations/fedreg/2011/03/28/2011-7152.html Notice - TIAA-CREF Life Insurance Company, et al. 2011-03-28T00:00:00-07:00 2011-03-28T00:00:00-07:00 2011-7152 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-28/pdf/2011-7152.pdf https://regulations.justia.com/regulations/fedreg/2011/03/28/2011-7151.html Notice - Submission for OMB Review; Comments Requested 2011-03-28T00:00:00-07:00 2011-03-28T00:00:00-07:00 2011-7151 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-28/pdf/2011-7151.pdf https://regulations.justia.com/regulations/fedreg/2011/03/28/2011-5584.html Rule - Staff Accounting Bulletin No. 114 2011-03-28T00:00:00-07:00 2011-03-28T00:00:00-07:00 2011-5584 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-03-28/pdf/2011-5584.pdf https://regulations.justia.com/regulations/fedreg/2011/03/25/2011-7109.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness Relating to Changing the Starting Time 2011-03-25T00:00:00-07:00 2011-03-25T00:00:00-07:00 2011-7109 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-25/pdf/2011-7109.pdf https://regulations.justia.com/regulations/fedreg/2011/03/25/2011-7100.html Notice - Order Cancelling Registrations of Certain Transfer Agents 2011-03-25T00:00:00-07:00 2011-03-25T00:00:00-07:00 2011-7100 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-25/pdf/2011-7100.pdf https://regulations.justia.com/regulations/fedreg/2011/03/25/2011-6940.html Proposed Rule - Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders; Paying Agents' Obligation To Search for Missing Securityholders 2011-03-25T00:00:00-07:00 2011-03-25T00:00:00-07:00 2011-6940 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-03-25/pdf/2011-6940.pdf https://regulations.justia.com/regulations/fedreg/2011/03/24/2011-7145.html Notice - Sunshine Act Meeting 2011-03-24T00:00:00-07:00 2011-03-24T00:00:00-07:00 2011-7145 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-24/pdf/2011-7145.pdf https://regulations.justia.com/regulations/fedreg/2011/03/24/2011-7143.html Notice - Sunshine Act Meeting 2011-03-24T00:00:00-07:00 2011-03-24T00:00:00-07:00 2011-7143 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-24/pdf/2011-7143.pdf https://regulations.justia.com/regulations/fedreg/2011/03/24/2011-7069.html Notice - Circadian, Inc., Clean Energy Combustion, Inc. (n/k/a Clean Energy Combustion Systems, Inc.), Collectible Concepts Group, Inc., Communitronics of America, Inc. (n/k/a RPM Advantage, Inc.), and ConSyGen, Inc., Order of Suspension of Trading 2011-03-24T00:00:00-07:00 2011-03-24T00:00:00-07:00 2011-7069 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-24/pdf/2011-7069.pdf https://regulations.justia.com/regulations/fedreg/2011/03/24/2011-6909.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change To Amend Chapter IV of the BOX Rules To Allow Executing Participants To Provide BOX a List of the Order Flow Providers for Which the Executing Participants Will Provide Directed Order Services 2011-03-24T00:00:00-07:00 2011-03-24T00:00:00-07:00 2011-6909 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-24/pdf/2011-6909.pdf https://regulations.justia.com/regulations/fedreg/2011/03/24/2011-6908.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options 2011-03-24T00:00:00-07:00 2011-03-24T00:00:00-07:00 2011-6908 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-24/pdf/2011-6908.pdf https://regulations.justia.com/regulations/fedreg/2011/03/23/2011-6943.html Notice - In the Matter of Heli Electronics Corp., Order of Suspension of Trading 2011-03-23T00:00:00-07:00 2011-03-23T00:00:00-07:00 2011-6943 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-23/pdf/2011-6943.pdf https://regulations.justia.com/regulations/fedreg/2011/03/23/2011-6837.html Notice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by EDGX Exchange, Inc. To Delete the Description of and All References to Step-Up Orders in EDGX Rules 2011-03-23T00:00:00-07:00 2011-03-23T00:00:00-07:00 2011-6837 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-23/pdf/2011-6837.pdf https://regulations.justia.com/regulations/fedreg/2011/03/23/2011-6836.html Notice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by EDGA Exchange, Inc. To Delete the Description of and All References to Step-Up Orders in EDGA Rules 2011-03-23T00:00:00-07:00 2011-03-23T00:00:00-07:00 2011-6836 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-23/pdf/2011-6836.pdf https://regulations.justia.com/regulations/fedreg/2011/03/23/2011-6810.html Notice - Proposed Collection; Comment Request 2011-03-23T00:00:00-07:00 2011-03-23T00:00:00-07:00 2011-6810 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-23/pdf/2011-6810.pdf https://regulations.justia.com/regulations/fedreg/2011/03/23/2011-6809.html Notice - Proposed Collection; Comment Request 2011-03-23T00:00:00-07:00 2011-03-23T00:00:00-07:00 2011-6809 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-23/pdf/2011-6809.pdf https://regulations.justia.com/regulations/fedreg/2011/03/23/2011-6786.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change To Establish New Classes of Market Makers for Index Options 2011-03-23T00:00:00-07:00 2011-03-23T00:00:00-07:00 2011-6786 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-23/pdf/2011-6786.pdf https://regulations.justia.com/regulations/fedreg/2011/03/23/2011-6785.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX LLC; Order Approving a Proposed Rule Change Relating to Permanent Approval of the BX and NES Inbound Routing Relationship 2011-03-23T00:00:00-07:00 2011-03-23T00:00:00-07:00 2011-6785 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-23/pdf/2011-6785.pdf https://regulations.justia.com/regulations/fedreg/2011/03/22/2011-6830.html Rule - General Rules and Regulations, Securities Act of 1933 2011-03-22T00:00:00-07:00 2011-03-22T00:00:00-07:00 2011-6830 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-03-22/pdf/2011-6830.pdf https://regulations.justia.com/regulations/fedreg/2011/03/22/2011-6750.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rules Related to Qualified Contingent Cross Orders 2011-03-22T00:00:00-07:00 2011-03-22T00:00:00-07:00 2011-6750 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-22/pdf/2011-6750.pdf https://regulations.justia.com/regulations/fedreg/2011/03/22/2011-6709.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rules Related to Qualified Contingent Cross Orders 2011-03-22T00:00:00-07:00 2011-03-22T00:00:00-07:00 2011-6709 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-22/pdf/2011-6709.pdf https://regulations.justia.com/regulations/fedreg/2011/03/22/2011-6708.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 36 To Permit Written Communications To Be Sent Electronically Between the Designated Market Maker Unit's Post Location on the Floor and the DMM Unit's Off-Floor Offices and to Persons Permitted To Provide Non-Trading Related Services to the DMM Under Rule 98 2011-03-22T00:00:00-07:00 2011-03-22T00:00:00-07:00 2011-6708 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-22/pdf/2011-6708.pdf https://regulations.justia.com/regulations/fedreg/2011/03/22/2011-6707.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 36 To Permit Written Communications To Be Sent Electronically Between the Designated Market Maker Unit's Post Location on The Floor and the DMM Unit's Off-Floor Offices and to Persons Permitted To Provide Non-Trading Related Services to the DMM Under NYSE Amex Equities Rule 98 2011-03-22T00:00:00-07:00 2011-03-22T00:00:00-07:00 2011-6707 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-22/pdf/2011-6707.pdf https://regulations.justia.com/regulations/fedreg/2011/03/22/2011-6685.html Proposed Rule - Beneficial Ownership Reporting Requirements and Security-Based Swaps 2011-03-22T00:00:00-07:00 2011-03-22T00:00:00-07:00 2011-6685 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-03-22/pdf/2011-6685.pdf https://regulations.justia.com/regulations/fedreg/2011/03/22/2011-6656.html Notice - Proposed Collection; Comment Request 2011-03-22T00:00:00-07:00 2011-03-22T00:00:00-07:00 2011-6656 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-22/pdf/2011-6656.pdf https://regulations.justia.com/regulations/fedreg/2011/03/22/2011-6655.html Notice - Proposed Collection; Comment Request 2011-03-22T00:00:00-07:00 2011-03-22T00:00:00-07:00 2011-6655 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-22/pdf/2011-6655.pdf https://regulations.justia.com/regulations/fedreg/2011/03/21/2011-6706.html Notice - Sunshine Act Meeting 2011-03-21T00:00:00-07:00 2011-03-21T00:00:00-07:00 2011-6706 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-21/pdf/2011-6706.pdf https://regulations.justia.com/regulations/fedreg/2011/03/21/2011-6567.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to TRACE Reporting of Asset-Backed Securities 2011-03-21T00:00:00-07:00 2011-03-21T00:00:00-07:00 2011-6567 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-21/pdf/2011-6567.pdf https://regulations.justia.com/regulations/fedreg/2011/03/21/2011-6513.html Notice - Proposed Collection; Comment Request 2011-03-21T00:00:00-07:00 2011-03-21T00:00:00-07:00 2011-6513 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-21/pdf/2011-6513.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6367.html Notice - Proposed Collection; Comment Request 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6367 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6367.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6366.html Notice - Proposed Collection; Comment Request 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6366 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6366.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6365.html Notice - Proposed Collection; Comment Request 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6365 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6365.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6364.html Notice - Proposed Collection; Comment Request 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6364 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6364.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6363.html Notice - Proposed Collection; Comment Request 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6363 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6363.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6362.html Notice - Proposed Collection; Comment Request 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6362 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6362.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6320.html Notice - Submission for OMB Review; Comment Request 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6320 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6320.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6319.html Notice - Submission for OMB Review; Comment Request 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6319 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6319.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6318.html Notice - Submission for OMB Review; Comment Request 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6318 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6318.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6317.html Notice - Submission for OMB Review; Comment Request 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6317 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6317.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6316.html Notice - Submission for OMB Review; Comment Request 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6316 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6316.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6315.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6315 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6315.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6313.html Notice - Proposed Collection; Comment Request 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6313 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6313.pdf https://regulations.justia.com/regulations/fedreg/2011/03/18/2011-6301.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to PAR Official Fees 2011-03-18T00:00:00-07:00 2011-03-18T00:00:00-07:00 2011-6301 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-18/pdf/2011-6301.pdf https://regulations.justia.com/regulations/fedreg/2011/03/17/2011-6172.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC To Expand the Number of Components in the PHLX Oil Service SectorSM 2011-03-17T00:00:00-07:00 2011-03-17T00:00:00-07:00 2011-6172 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-17/pdf/2011-6172.pdf https://regulations.justia.com/regulations/fedreg/2011/03/17/2011-6171.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 3 to a Proposed Rule Change and Order Granting Accelerated Approval to the Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To Adopt Rule 4753(c) as a Six-Month Pilot in 100 NASDAQ-Listed Securities 2011-03-17T00:00:00-07:00 2011-03-17T00:00:00-07:00 2011-6171 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-17/pdf/2011-6171.pdf https://regulations.justia.com/regulations/fedreg/2011/03/16/2011-6074.html Notice - Proposed Collection; Comment Request 2011-03-16T00:00:00-07:00 2011-03-16T00:00:00-07:00 2011-6074 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-16/pdf/2011-6074.pdf https://regulations.justia.com/regulations/fedreg/2011/03/16/2011-5182.html Proposed Rule - Clearing Agency Standards for Operation and Governance 2011-03-16T00:00:00-07:00 2011-03-16T00:00:00-07:00 2011-5182 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-03-16/pdf/2011-5182.pdf https://regulations.justia.com/regulations/fedreg/2011/03/15/2011-6132.html Notice - Sunshine Act Meeting 2011-03-15T00:00:00-07:00 2011-03-15T00:00:00-07:00 2011-6132 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-15/pdf/2011-6132.pdf https://regulations.justia.com/regulations/fedreg/2011/03/15/2011-6075.html Notice - Sunshine Act Meeting 2011-03-15T00:00:00-07:00 2011-03-15T00:00:00-07:00 2011-6075 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-15/pdf/2011-6075.pdf https://regulations.justia.com/regulations/fedreg/2011/03/15/2011-5954.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Modification of Trade Recording Fee for Bonds and Other Technical Rule Changes 2011-03-15T00:00:00-07:00 2011-03-15T00:00:00-07:00 2011-5954 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-15/pdf/2011-5954.pdf https://regulations.justia.com/regulations/fedreg/2011/03/15/2011-5862.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Options Market Rules Chapter VII, Various Sections, Dealing With Market Maker Obligations 2011-03-15T00:00:00-07:00 2011-03-15T00:00:00-07:00 2011-5862 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-15/pdf/2011-5862.pdf https://regulations.justia.com/regulations/fedreg/2011/03/15/2011-5847.html Notice - Order Regarding Review of FASB Accounting Support Fee for 2011 Under Section 109 of the Sarbanes-Oxley Act of 2002 2011-03-15T00:00:00-07:00 2011-03-15T00:00:00-07:00 2011-5847 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-15/pdf/2011-5847.pdf https://regulations.justia.com/regulations/fedreg/2011/03/14/2011-5934.html Notice - Admiralty Holding Co., American Consolidated Management Group, Inc., DnC Multimedia Corp., Dorsey Trailers, Inc. (n/k/a DT Liquidation, Inc.), and ElectraCapital, Inc. (a/k/a Electra Capital, Inc.); Order of Suspension of Trading 2011-03-14T00:00:00-07:00 2011-03-14T00:00:00-07:00 2011-5934 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-14/pdf/2011-5934.pdf https://regulations.justia.com/regulations/fedreg/2011/03/14/2011-5776.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Co-Location Services 2011-03-14T00:00:00-07:00 2011-03-14T00:00:00-07:00 2011-5776 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-14/pdf/2011-5776.pdf https://regulations.justia.com/regulations/fedreg/2011/03/14/2011-5775.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations 2011-03-14T00:00:00-07:00 2011-03-14T00:00:00-07:00 2011-5775 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-14/pdf/2011-5775.pdf https://regulations.justia.com/regulations/fedreg/2011/03/14/2011-5774.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. 2011-03-14T00:00:00-07:00 2011-03-14T00:00:00-07:00 2011-5774 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-14/pdf/2011-5774.pdf https://regulations.justia.com/regulations/fedreg/2011/03/14/2011-5773.html Notice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Notify Participants That the Mortgage Backed Securities Division Intends To Move the Time at Which It Runs Its Daily Morning Pass 2011-03-14T00:00:00-07:00 2011-03-14T00:00:00-07:00 2011-5773 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-14/pdf/2011-5773.pdf https://regulations.justia.com/regulations/fedreg/2011/03/14/2011-5764.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Co-Location Services 2011-03-14T00:00:00-07:00 2011-03-14T00:00:00-07:00 2011-5764 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-14/pdf/2011-5764.pdf https://regulations.justia.com/regulations/fedreg/2011/03/14/2011-5763.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Co-Location Services 2011-03-14T00:00:00-07:00 2011-03-14T00:00:00-07:00 2011-5763 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-14/pdf/2011-5763.pdf https://regulations.justia.com/regulations/fedreg/2011/03/14/2011-5762.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Opening System 2011-03-14T00:00:00-07:00 2011-03-14T00:00:00-07:00 2011-5762 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-14/pdf/2011-5762.pdf https://regulations.justia.com/regulations/fedreg/2011/03/14/2011-5761.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the CBOE Fees Schedule 2011-03-14T00:00:00-07:00 2011-03-14T00:00:00-07:00 2011-5761 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-14/pdf/2011-5761.pdf https://regulations.justia.com/regulations/fedreg/2011/03/14/2011-5720.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Revenue Sharing Program With Correlix, Inc. 2011-03-14T00:00:00-07:00 2011-03-14T00:00:00-07:00 2011-5720 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-14/pdf/2011-5720.pdf https://regulations.justia.com/regulations/fedreg/2011/03/14/2011-5719.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Revenue Sharing Program With Correlix, Inc. 2011-03-14T00:00:00-07:00 2011-03-14T00:00:00-07:00 2011-5719 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-14/pdf/2011-5719.pdf https://regulations.justia.com/regulations/fedreg/2011/03/14/2011-5718.html 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 2011-03-14T00:00:00-07:00 2011-03-14T00:00:00-07:00 2011-5718 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-14/pdf/2011-5718.pdf https://regulations.justia.com/regulations/fedreg/2011/03/11/2011-5802.html Notice - In the Matter of AdAl Group, Inc., Com/Tech Communications Technologies, Inc., Dialog Group, Inc., Eurogas, Inc., Golden Books Family Entertainment, Inc. (n/k/a GB Holdings Liquidation, Inc.), Information Management Technologies Corporation, Interiors, Inc., and SFG Financial Corp.; Order of Suspension of Trading 2011-03-11T00:00:00-08:00 2011-03-11T00:00:00-08:00 2011-5802 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-11/pdf/2011-5802.pdf https://regulations.justia.com/regulations/fedreg/2011/03/11/2011-5645.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Dividends Service Guide as It Relates to the Domestic Tax Reporting Service and the U.S. Tax Withholding Service 2011-03-11T00:00:00-08:00 2011-03-11T00:00:00-08:00 2011-5645 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-11/pdf/2011-5645.pdf https://regulations.justia.com/regulations/fedreg/2011/03/11/2011-5644.html Notice - AccessTel, Inc., American Asset Management Corp., DME Interactive Holdings, Inc., DocuPort, Inc., and iCarbon Corp., Order of Suspension of Trading 2011-03-11T00:00:00-08:00 2011-03-11T00:00:00-08:00 2011-5644 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-11/pdf/2011-5644.pdf https://regulations.justia.com/regulations/fedreg/2011/03/11/2011-5579.html Notice - Joint Industry Plan; Order Approving 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. 2011-03-11T00:00:00-08:00 2011-03-11T00:00:00-08:00 2011-5579 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-11/pdf/2011-5579.pdf https://regulations.justia.com/regulations/fedreg/2011/03/11/2011-5578.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period of the Exchange's Prior Approvals To Receive Inbound Routes of Certain Equities Orders From Archipelago Securities LLC 2011-03-11T00:00:00-08:00 2011-03-11T00:00:00-08:00 2011-5578 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-11/pdf/2011-5578.pdf https://regulations.justia.com/regulations/fedreg/2011/03/10/2011-5518.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities 2011-03-10T00:00:00-08:00 2011-03-10T00:00:00-08:00 2011-5518 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-10/pdf/2011-5518.pdf https://regulations.justia.com/regulations/fedreg/2011/03/10/2011-5517.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Rule 103B-NYSE Amex Equities To Modify the Application of the Exchange's Designated Market Maker Allocation Policy in the Event of a Merger Involving One or More Listed Companies 2011-03-10T00:00:00-08:00 2011-03-10T00:00:00-08:00 2011-5517 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-10/pdf/2011-5517.pdf https://regulations.justia.com/regulations/fedreg/2011/03/10/2011-5516.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Exchange Rule 103B To Modify the Application of the Exchange's Designated Market Maker (“DMM”) Allocation Policy in the Event of a Merger Involving One or More Listed Companies 2011-03-10T00:00:00-08:00 2011-03-10T00:00:00-08:00 2011-5516 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-10/pdf/2011-5516.pdf https://regulations.justia.com/regulations/fedreg/2011/03/10/2011-5444.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Access Fees for Foreign Currency Options 2011-03-10T00:00:00-08:00 2011-03-10T00:00:00-08:00 2011-5444 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-10/pdf/2011-5444.pdf https://regulations.justia.com/regulations/fedreg/2011/03/10/2011-5443.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 2011-03-10T00:00:00-08:00 2011-03-10T00:00:00-08:00 2011-5443 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-10/pdf/2011-5443.pdf https://regulations.justia.com/regulations/fedreg/2011/03/10/2011-5442.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 2011-03-10T00:00:00-08:00 2011-03-10T00:00:00-08:00 2011-5442 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-10/pdf/2011-5442.pdf https://regulations.justia.com/regulations/fedreg/2011/03/10/2011-5441.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. 2011-03-10T00:00:00-08:00 2011-03-10T00:00:00-08:00 2011-5441 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-10/pdf/2011-5441.pdf https://regulations.justia.com/regulations/fedreg/2011/03/09/2011-5380.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Minor Rules Violation Plan of the Nasdaq Options Market With Respect to Standardized Options 2011-03-09T00:00:00-08:00 2011-03-09T00:00:00-08:00 2011-5380 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-09/pdf/2011-5380.pdf https://regulations.justia.com/regulations/fedreg/2011/03/09/2011-5379.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; 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 Create a Listing Market on the Exchange 2011-03-09T00:00:00-08:00 2011-03-09T00:00:00-08:00 2011-5379 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-09/pdf/2011-5379.pdf https://regulations.justia.com/regulations/fedreg/2011/03/09/2011-5377.html 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 2011-03-09T00:00:00-08:00 2011-03-09T00:00:00-08:00 2011-5377 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-09/pdf/2011-5377.pdf https://regulations.justia.com/regulations/fedreg/2011/03/09/2011-5304.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Adopt Section 16 (Proxy Voting) to Chapter III of the BOX Trading Rules Concerning Broker Voting 2011-03-09T00:00:00-08:00 2011-03-09T00:00:00-08:00 2011-5304 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-09/pdf/2011-5304.pdf https://regulations.justia.com/regulations/fedreg/2011/03/09/2011-5303.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Prohibit Members From Voting Uninstructed Shares on Certain Matters 2011-03-09T00:00:00-08:00 2011-03-09T00:00:00-08:00 2011-5303 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-09/pdf/2011-5303.pdf https://regulations.justia.com/regulations/fedreg/2011/03/09/2011-5283.html Notice - Submission for OMB Review; Comment Request 2011-03-09T00:00:00-08:00 2011-03-09T00:00:00-08:00 2011-5283 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-09/pdf/2011-5283.pdf https://regulations.justia.com/regulations/fedreg/2011/03/09/2011-5282.html Notice - Proposed Collection; Comment Request 2011-03-09T00:00:00-08:00 2011-03-09T00:00:00-08:00 2011-5282 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-09/pdf/2011-5282.pdf https://regulations.justia.com/regulations/fedreg/2011/03/09/2011-5281.html Notice - Proposed Collection; Comment Request 2011-03-09T00:00:00-08:00 2011-03-09T00:00:00-08:00 2011-5281 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-09/pdf/2011-5281.pdf https://regulations.justia.com/regulations/fedreg/2011/03/09/2011-5280.html Notice - Proposed Collection; Comment Request 2011-03-09T00:00:00-08:00 2011-03-09T00:00:00-08:00 2011-5280 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-09/pdf/2011-5280.pdf https://regulations.justia.com/regulations/fedreg/2011/03/09/2011-5279.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Rule Change Consisting of Amendments to MSRB Rule A-3, on Membership on the Board 2011-03-09T00:00:00-08:00 2011-03-09T00:00:00-08:00 2011-5279 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-09/pdf/2011-5279.pdf https://regulations.justia.com/regulations/fedreg/2011/03/09/2011-5278.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees 2011-03-09T00:00:00-08:00 2011-03-09T00:00:00-08:00 2011-5278 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-09/pdf/2011-5278.pdf https://regulations.justia.com/regulations/fedreg/2011/03/09/2011-5277.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees 2011-03-09T00:00:00-08:00 2011-03-09T00:00:00-08:00 2011-5277 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-09/pdf/2011-5277.pdf https://regulations.justia.com/regulations/fedreg/2011/03/09/2011-5184.html Proposed Rule - References to Credit Ratings in Certain Investment Company Act Rules and Forms 2011-03-09T00:00:00-08:00 2011-03-09T00:00:00-08:00 2011-5184 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-03-09/pdf/2011-5184.pdf https://regulations.justia.com/regulations/fedreg/2011/03/08/2011-5270.html Notice - Sunshine Act Meeting 2011-03-08T00:00:00-08:00 2011-03-08T00:00:00-08:00 2011-5270 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-08/pdf/2011-5270.pdf https://regulations.justia.com/regulations/fedreg/2011/03/08/2011-5192.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period of the Exchange's Prior Approvals To Receive Inbound Routes of Equities Orders From Archipelago Securities LLC 2011-03-08T00:00:00-08:00 2011-03-08T00:00:00-08:00 2011-5192 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-08/pdf/2011-5192.pdf https://regulations.justia.com/regulations/fedreg/2011/03/08/2011-5191.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period of the Exchange's Prior Approvals To Receive Inbound Routes of Certain Equities Orders From Archipelago Securities LLC 2011-03-08T00:00:00-08:00 2011-03-08T00:00:00-08:00 2011-5191 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-08/pdf/2011-5191.pdf https://regulations.justia.com/regulations/fedreg/2011/03/08/2011-5190.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Allow the Listing and Trading of a P.M.-Settled S&P 500 Index Option Product 2011-03-08T00:00:00-08:00 2011-03-08T00:00:00-08:00 2011-5190 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-08/pdf/2011-5190.pdf https://regulations.justia.com/regulations/fedreg/2011/03/08/2011-5186.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 2011-03-08T00:00:00-08:00 2011-03-08T00:00:00-08:00 2011-5186 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-08/pdf/2011-5186.pdf https://regulations.justia.com/regulations/fedreg/2011/03/08/2011-5183.html Proposed Rule - Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC 2011-03-08T00:00:00-08:00 2011-03-08T00:00:00-08:00 2011-5183 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-03-08/pdf/2011-5183.pdf https://regulations.justia.com/regulations/fedreg/2011/03/08/2011-5142.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inactive Nominee Fee 2011-03-08T00:00:00-08:00 2011-03-08T00:00:00-08:00 2011-5142 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-08/pdf/2011-5142.pdf https://regulations.justia.com/regulations/fedreg/2011/03/08/2011-5141.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 To Expand the Short Term Option Series Program 2011-03-08T00:00:00-08:00 2011-03-08T00:00:00-08:00 2011-5141 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-08/pdf/2011-5141.pdf https://regulations.justia.com/regulations/fedreg/2011/03/08/2011-5140.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board 2011-03-08T00:00:00-08:00 2011-03-08T00:00:00-08:00 2011-5140 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-08/pdf/2011-5140.pdf https://regulations.justia.com/regulations/fedreg/2011/03/08/2011-5139.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correct Cross-References in the Customer Code 2011-03-08T00:00:00-08:00 2011-03-08T00:00:00-08:00 2011-5139 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-08/pdf/2011-5139.pdf https://regulations.justia.com/regulations/fedreg/2011/03/08/2011-5138.html Notice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Technical, Clarifying Change to the Corporation Default Rule of the Government Securities Division 2011-03-08T00:00:00-08:00 2011-03-08T00:00:00-08:00 2011-5138 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-08/pdf/2011-5138.pdf https://regulations.justia.com/regulations/fedreg/2011/03/08/2011-5137.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 2011-03-08T00:00:00-08:00 2011-03-08T00:00:00-08:00 2011-5137 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-08/pdf/2011-5137.pdf https://regulations.justia.com/regulations/fedreg/2011/03/07/2011-5080.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the By-Laws of FINRA Regulation, Inc. With Regard to District Committee Structure and Governance 2011-03-07T00:00:00-08:00 2011-03-07T00:00:00-08:00 2011-5080 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-07/pdf/2011-5080.pdf https://regulations.justia.com/regulations/fedreg/2011/03/07/2011-5064.html Notice - Eaton Vance Management, et al.; Notice of Application 2011-03-07T00:00:00-08:00 2011-03-07T00:00:00-08:00 2011-5064 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-07/pdf/2011-5064.pdf https://regulations.justia.com/regulations/fedreg/2011/03/07/2011-5063.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify a Fee Schedule for the Sale by Market Data Express, LLC, of a BBO Data Feed for Securities Traded on CBSX 2011-03-07T00:00:00-08:00 2011-03-07T00:00:00-08:00 2011-5063 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-07/pdf/2011-5063.pdf https://regulations.justia.com/regulations/fedreg/2011/03/07/2011-5061.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify a Fee Schedule for the Sale by Market Data Express, LLC, of a BBO Data Feed for CBOE Listed Options 2011-03-07T00:00:00-08:00 2011-03-07T00:00:00-08:00 2011-5061 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-07/pdf/2011-5061.pdf https://regulations.justia.com/regulations/fedreg/2011/03/07/2011-5060.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify a Fee Schedule for the Sale by Market Data Express, LLC, of a BBO Data Feed for C2 Listed Options 2011-03-07T00:00:00-08:00 2011-03-07T00:00:00-08:00 2011-5060 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-07/pdf/2011-5060.pdf https://regulations.justia.com/regulations/fedreg/2011/03/07/2011-5024.html 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 Adopting, as Modified by Amendment No. 1, Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook 2011-03-07T00:00:00-08:00 2011-03-07T00:00:00-08:00 2011-5024 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-07/pdf/2011-5024.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-5038.html Notice - Advanced Optics Electronics, Inc.; Order of Suspension of Trading 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-5038 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-5038.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4905.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4905 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4905.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4904.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4904 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4904.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4903.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4903 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4903.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4901.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4901 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4901.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4900.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4900 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4900.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4898.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4898 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4898.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4897.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Quality Opening Markets 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4897 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4897.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4896.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4896 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4896.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4895.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4895 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4895.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4894.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4894 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4894.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4893.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4893 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4893.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4892.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4892 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4892.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4891.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4891 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4891.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4890.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4890 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4890.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4889.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4889 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4889.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4888.html 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” 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4888 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4888.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4886.html 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” 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4886 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4886.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4885.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4885 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4885.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4883.html Notice - Submission for OMB Review; Comment Request 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4883 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4883.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4861.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4861 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4861.pdf https://regulations.justia.com/regulations/fedreg/2011/03/04/2011-4836.html 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 2011-03-04T00:00:00-08:00 2011-03-04T00:00:00-08:00 2011-4836 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-04/pdf/2011-4836.pdf https://regulations.justia.com/regulations/fedreg/2011/03/03/2011-4730.html Notice - Submission for OMB Review; Comment Request 2011-03-03T00:00:00-08:00 2011-03-03T00:00:00-08:00 2011-4730 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-03/pdf/2011-4730.pdf https://regulations.justia.com/regulations/fedreg/2011/03/03/2011-4727.html Notice - Submission for OMB Review; Comment Request 2011-03-03T00:00:00-08:00 2011-03-03T00:00:00-08:00 2011-4727 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-03/pdf/2011-4727.pdf https://regulations.justia.com/regulations/fedreg/2011/03/03/2011-4725.html Notice - Submission for OMB Review; Comment Request 2011-03-03T00:00:00-08:00 2011-03-03T00:00:00-08:00 2011-4725 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-03/pdf/2011-4725.pdf https://regulations.justia.com/regulations/fedreg/2011/03/03/2011-4724.html Notice - Submission for OMB Review; Comment Request 2011-03-03T00:00:00-08:00 2011-03-03T00:00:00-08:00 2011-4724 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-03/pdf/2011-4724.pdf https://regulations.justia.com/regulations/fedreg/2011/03/03/2011-4723.html Notice - Submission for OMB Review; Comment Request 2011-03-03T00:00:00-08:00 2011-03-03T00:00:00-08:00 2011-4723 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-03/pdf/2011-4723.pdf https://regulations.justia.com/regulations/fedreg/2011/03/03/2011-4722.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 4763 To Implement the Amendments to Regulation SHO 2011-03-03T00:00:00-08:00 2011-03-03T00:00:00-08:00 2011-4722 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-03/pdf/2011-4722.pdf https://regulations.justia.com/regulations/fedreg/2011/03/03/2011-4721.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610(a) 2011-03-03T00:00:00-08:00 2011-03-03T00:00:00-08:00 2011-4721 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-03/pdf/2011-4721.pdf https://regulations.justia.com/regulations/fedreg/2011/03/03/2011-4720.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Require Public Disclosure of Any Access or Post-Transaction Fees for Executions Against a Public Quotation in an OTC Equity Security 2011-03-03T00:00:00-08:00 2011-03-03T00:00:00-08:00 2011-4720 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-03/pdf/2011-4720.pdf https://regulations.justia.com/regulations/fedreg/2011/03/02/2011-4694.html Rule - Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions 2011-03-02T00:00:00-08:00 2011-03-02T00:00:00-08:00 2011-4694 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-03-02/pdf/2011-4694.pdf https://regulations.justia.com/regulations/fedreg/2011/03/02/2011-4692.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendments to Rule A-15, on Notification To Board of Termination of Municipal Securities Activities and Change of Name or Address 2011-03-02T00:00:00-08:00 2011-03-02T00:00:00-08:00 2011-4692 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-02/pdf/2011-4692.pdf https://regulations.justia.com/regulations/fedreg/2011/03/02/2011-4691.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the NASDAQ Order Imbalance Snapshot 2011-03-02T00:00:00-08:00 2011-03-02T00:00:00-08:00 2011-4691 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-02/pdf/2011-4691.pdf https://regulations.justia.com/regulations/fedreg/2011/03/02/2011-4690.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook 2011-03-02T00:00:00-08:00 2011-03-02T00:00:00-08:00 2011-4690 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-02/pdf/2011-4690.pdf https://regulations.justia.com/regulations/fedreg/2011/03/02/2011-4689.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 2011-03-02T00:00:00-08:00 2011-03-02T00:00:00-08:00 2011-4689 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-02/pdf/2011-4689.pdf https://regulations.justia.com/regulations/fedreg/2011/03/02/2011-4688.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Dividend and Merger Strategies 2011-03-02T00:00:00-08:00 2011-03-02T00:00:00-08:00 2011-4688 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-02/pdf/2011-4688.pdf https://regulations.justia.com/regulations/fedreg/2011/03/02/2011-4583.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change To Amend the MSRB Short-term Obligation Rate Transparency (“SHORT”) Subscription Service 2011-03-02T00:00:00-08:00 2011-03-02T00:00:00-08:00 2011-4583 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-02/pdf/2011-4583.pdf https://regulations.justia.com/regulations/fedreg/2011/03/02/2011-4575.html Notice - Securities Exchange Act of 1934; In the Matter of Chicago Board Options Exchange, Incorporated, 400 South LaSalle Street, Chicago, IL 60605; Order Setting Aside the Order by Delegated Authority Approving SR-ISE-2009-35 and Dismissing CBOE's Petition for Review 2011-03-02T00:00:00-08:00 2011-03-02T00:00:00-08:00 2011-4575 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-02/pdf/2011-4575.pdf https://regulations.justia.com/regulations/fedreg/2011/03/02/2011-4574.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of a Proposed Rule Change To Modify Qualified Contingent Cross Order Rules 2011-03-02T00:00:00-08:00 2011-03-02T00:00:00-08:00 2011-4574 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-02/pdf/2011-4574.pdf https://regulations.justia.com/regulations/fedreg/2011/03/01/2011-4695.html Notice - Sunshine Act Meeting 2011-03-01T00:00:00-08:00 2011-03-01T00:00:00-08:00 2011-4695 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-01/pdf/2011-4695.pdf https://regulations.justia.com/regulations/fedreg/2011/03/01/2011-4498.html Notice - Sunshine Act Meeting 2011-03-01T00:00:00-08:00 2011-03-01T00:00:00-08:00 2011-4498 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-01/pdf/2011-4498.pdf https://regulations.justia.com/regulations/fedreg/2011/03/01/2011-4480.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To Amend BATS Rules in Connection With the Implementation of Amendments to Regulation SHO 2011-03-01T00:00:00-08:00 2011-03-01T00:00:00-08:00 2011-4480 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-01/pdf/2011-4480.pdf https://regulations.justia.com/regulations/fedreg/2011/03/01/2011-4479.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To Amend BYX Rules in Connection With the Implementation of Amendments to Regulation SHO 2011-03-01T00:00:00-08:00 2011-03-01T00:00:00-08:00 2011-4479 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-01/pdf/2011-4479.pdf https://regulations.justia.com/regulations/fedreg/2011/03/01/2011-4427.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the Proposal of NYSE Euronext To Eliminate the Requirement of an 80 percent Supermajority Vote To Amend or Repeal Section 3.1 of Its Bylaws 2011-03-01T00:00:00-08:00 2011-03-01T00:00:00-08:00 2011-4427 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-01/pdf/2011-4427.pdf https://regulations.justia.com/regulations/fedreg/2011/03/01/2011-4425.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change 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 2011-03-01T00:00:00-08:00 2011-03-01T00:00:00-08:00 2011-4425 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-03-01/pdf/2011-4425.pdf