Securities and Exchange Commission May 13, 2011 – Federal Register Recent Federal Regulation Documents

Order of Suspension of Trading; American Resource Technologies, Inc., Apollo Resources International, Inc., Bloodhound Search Technologies, Inc., BlueStar Health, Inc., Columbus Networks Corp., Continental Fuels, Inc., Data Race, Inc., Golden Oil Co., and Ness Energy International, Inc., Order of Suspension of Trading

Document Number: 2011-11905

Type: Notice

Date: 2011-05-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/05/13/2011-11905.html

Order of Suspension of Trading; City Network, Inc.

Document Number: 2011-11904

Type: Notice

Date: 2011-05-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/05/13/2011-11904.html

Investment Adviser Performance Compensation

Document Number: 2011-11801

Type: Proposed Rule

Date: 2011-05-13

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission (``Commission'' or ``SEC'') intends to issue an order that would adjust two dollar amount tests in the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge performance based compensation to ``qualified clients.'' The adjustments would revise the dollar amount tests to account for the effects of inflation. The Commission is also proposing to amend the rule to: provide that the Commission will issue an order every five years adjusting for inflation the dollar amount tests; exclude the value of a person's primary residence from the test of whether a person has sufficient net worth to be considered a ``qualified client;'' and add certain transition provisions to the rule.

https://regulations.justia.com/regulations/fedreg/2011/05/13/2011-11801.html

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add BATS Rule 11.22, Entitled “Data Products”

Document Number: 2011-11767

Type: Notice

Date: 2011-05-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/05/13/2011-11767.html

Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add BYX Rule 11.22, Entitled “Data Products”

Document Number: 2011-11766

Type: Notice

Date: 2011-05-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/05/13/2011-11766.html

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy

Document Number: 2011-11765

Type: Notice

Date: 2011-05-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/05/13/2011-11765.html

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

Document Number: 2011-11764

Type: Notice

Date: 2011-05-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/05/13/2011-11764.html

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

Document Number: 2011-11763

Type: Notice

Date: 2011-05-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/05/13/2011-11763.html

UBS AG., et al.; Notice of Application and Temporary Order

Document Number: 2011-11750

Type: Notice

Date: 2011-05-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/05/13/2011-11750.html