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

<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/04/12?registers=between Sun, 28 Apr 2024 07:08:48 -0700 Sun, 28 Apr 2024 07:08:48 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/04/12?registers=between Notice - MaxLife Fund Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8811.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8811.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8811 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8811.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Credits for Posting Liquidity for Certain Transactions and Imposing Routing Fees To Defray the Costs of Routing Orders to Away Markets https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8732.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8732.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8732 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8732.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 7.10, Clearly Erroneous Executions, To Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or the Date on Which a Limit Up/Limit Down Mechanism To Address Extraordinary Market Volatility, if Adopted, Applies https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8726.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8726.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8726 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8726.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Guggenheim Enhanced Core Bond ETF and Guggenheim Enhanced Ultra-Short Bond ETF https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8725.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8725.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8725 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8725.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8684.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8684.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8684 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8684.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8683.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8683.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8683 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8683.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to CBSX Rule 52.6 https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8656.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8656.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8656 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8656.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rule 3011 To Reflect Changes to a Corresponding Financial Industry Regulatory Authority, Inc. Rule https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8633.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8633.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8633 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8633.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend a Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8632.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8632.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8632 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8632.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to CBOE's Marketing Fee Program https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8631.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8631.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8631 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8631.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NSX Fee and Rebate Schedule and NSX Rule 16.4 https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8630.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8630.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8630 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8630.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8628.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8628.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8628 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8628.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees in Penny Pilot and Non-Penny Pilot Options https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8627.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8627.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8627 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8627.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, To Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or the Date on Which a Limit Up/Limit Down Mechanism To Address Extraordinary Market Volatility, If Adopted, Applies https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8626.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8626.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8626 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8626.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Pilot Program https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8625.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8625.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8625 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8625.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Pilot Program https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8624.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8624.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8624 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8624.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to Individual Securities Circuit Breakers https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8623.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8623.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8623 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8623.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CBSX Maker and Taker Transaction Fees and Rebates for Transactions in Securities Priced $1 or Greater https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8622.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8622.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8622 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8622.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Waiver of Transaction Fee for Public Customer Orders in SPY Options Executed in Open Outcry or in the Automated Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8621.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8621.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8621 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8621.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of the CBSX Individual Stock Trading Pause Pilot Program https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8620.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8620.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8620 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8620.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, To Extend the Effective Date of the Pilot Until the Earlier of August 11, 2011 or the Date on Which a Limit Up/Limit Down Mechanism To Address Extraordinary Market Volatility, if Adopted, Applies https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8600.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8600.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8600 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8600.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8599.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8599.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8599 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8599.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Relating to Establishing an Automated Service for the Processing of Transfers, Replacements, and Exchanges of Insurance and Retirement Products https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8585.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8585.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8585 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8585.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend the Fee Schedule of the Boston Options Exchange Facility https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8582.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8582.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8582 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8582.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange Price List https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8581.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8581.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8581 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8581.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8580.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8580.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8580 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8580.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8579.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8579.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8579 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8579.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8578.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8578.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8578 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8578.pdf Notice - Russell Investment Company, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8577.html https://regulations.justia.com/regulations/fedreg/2011/04/12/2011-8577.html Tue, 12 Apr 2011 00:00:00 -0700 2011-8577 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-12/pdf/2011-8577.pdf