Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/04/13?limit=200&registers=between&mode=atom 2024-11-27T10:03:00-08:00 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/2011/04/13/2011-9060.html Notice - RINO International Corporation; Order of Suspension of Trading 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-9060 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-9060.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8923.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to API Fees 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8923 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8923.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8922.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Designation of a Longer Period for Commission Action on a 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 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8922 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8922.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8921.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Cap and a Service Fee 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8921 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8921.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8920.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending Exchange Rule 103B 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 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8920 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8920.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8919.html Rule - Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8919 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8919.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8918.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Allow the Listing and Trading of a P.M.-Settled S&P 500 Index Option Product 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8918 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8918.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8917.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Effective Hours of Rule 4753(c) 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8917 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8917.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8916.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8916 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8916.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8914.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify an Initial Listing Standard for the Nasdaq Global Select Market 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8914 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8914.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8913.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform Rules 2360, 2361, 2370, 6951 to FINRA Rule Changes 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8913 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8913.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8911.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 2360, 2361, 2370, and 6951 To Reflect Changes to Corresponding FINRA Rules 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8911 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8911.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8910.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 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8910 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8910.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8897.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Promissory Note Proceedings 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8897 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8897.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8896.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating To Motions in Arbitration 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8896 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8896.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8873.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation date of FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability) 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8873 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8873.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8872.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Time Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Adopt Additional Criteria for Listing Commodity Stockpiling Companies That Have Indicated That Their Business Plan Is To Buy and Hold Commodities 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8872 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8872.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8871.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 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8871 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8871.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8865.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend Pilot Program Regarding Clearly Erroneous Executions 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8865 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8865.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8856.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the $2.50 Strike Price Program 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8856 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8856.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8855.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE 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 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8855 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8855.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8851.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGA Rule 11.9 To Introduce Additional Routing Options to the Rule 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8851 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8851.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8850.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGX Rule 11.9 To Introduce Additional Routing Options to the Rule 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8850 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8850.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8849.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8849 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8849.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8848.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Pilot Program Related to Clearly Erroneous Execution Reviews 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8848 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8848.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8832.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Amend Phlx Rule 1001A, Position Limits 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8832 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8832.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8831.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8831 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8831.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8829.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Pilot Program Related to Clearly Erroneous Execution Reviews 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8829 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8829.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8809.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 To Extend the Pilot Program 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8809 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8809.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8808.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, 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 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8808 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8808.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8807.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128, 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 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8807 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8807.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8806.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.13 To Extend the Operation of a Pilot 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8806 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8806.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8805.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13 To Extend the Operation of a Pilot 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8805 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8805.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8804.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Close of Trading Hours for Expiring End of Week and End of Month Expirations 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8804 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8804.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8803.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Establish a Qualified Contingent Cross Order 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8803 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8803.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8802.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 Gold/Silver SectorSM 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8802 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8802.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8801.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Legal Certainty for the Trading of Futures on the CBOE Gold ETF Volatility Index 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8801 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8801.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8800.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8800 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8800.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8799.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8799 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8799.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8798.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change To Amend the MSRB Short-Term Obligation Rate Transparency (SHORT) Subscription Service 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8798 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8798.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8793.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Trade Options on Individual Stock Based Volatility Indexes and Certain Exchange-Traded Fund Based Volatility Indexes 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8793 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8793.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8792.html 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 Clearly Erroneous Transactions 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8792 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8792.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8791.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PAR Official Fees 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8791 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8791.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8790.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of a CBSX Clearly Erroneous Policy Pilot Program 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8790 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8790.pdf https://regulations.justia.com/regulations/fedreg/2011/04/13/2011-8731.html Notice - National Life Insurance Company, et al. 2011-04-13T00:00:00-07:00 2011-04-13T00:00:00-07:00 2011-8731 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8731.pdf