Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/03?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-23T19:11:13-07:00 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