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

Results 51 - 100 of 155
Sunshine Act Meeting
Document Number: 2011-12018
Type: Notice
Date: 2011-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/16/2011-12018.html
Securities Act of 1933, Release No. 9206/May 11, 2011; Securities Exchange Act of 1934, Release No. 64462/May 11, 2011; Order Directing Funding for the Governmental Accounting Standards Board
Document Number: 2011-11931
Type: Notice
Date: 2011-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/16/2011-11931.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Modify Chapter V, Section 4 and Chapter VI, Section 8 of the Exchange's Rules Relating to Opening and Halt Crosses on the NASDAQ Options Market
Document Number: 2011-11919
Type: Notice
Date: 2011-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/16/2011-11919.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Collection of the Covered Sales Fee
Document Number: 2011-11917
Type: Notice
Date: 2011-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/16/2011-11917.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Inactive Nominees
Document Number: 2011-11898
Type: Notice
Date: 2011-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/16/2011-11898.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Non Co-Location Services
Document Number: 2011-11886
Type: Notice
Date: 2011-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/16/2011-11886.html
Solicitation of Comment To Assist in Study on Assigned Credit Ratings
Document Number: 2011-11877
Type: Notice
Date: 2011-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') requests public comment to assist it in carrying out a study on, among other matters, the feasibility of establishing a system in which a public or private utility or a self-regulatory organization (``SRO'') assigns nationally recognized statistical rating organizations (``NRSROs'') to determine credit ratings for structured finance products. This study, and a resulting report to Congress, are required by Section 939F of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the ``Dodd-Frank Act'').
https://regulations.justia.com/regulations/fedreg/2011/05/16/2011-11877.html
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
Document Number: 2011-11860
Type: Notice
Date: 2011-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/16/2011-11860.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Modify Fees for Non Co-Location Services
Document Number: 2011-11859
Type: Notice
Date: 2011-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/16/2011-11859.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Non Co-Location Services
Document Number: 2011-11858
Type: Notice
Date: 2011-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/16/2011-11858.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Rule Change Consisting of Fee Changes to Its Historical Transaction Data Reports
Document Number: 2011-11841
Type: Notice
Date: 2011-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/16/2011-11841.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Strategy Fee Cap and Clarifications to the CBOE Fees Schedule
Document Number: 2011-11838
Type: Notice
Date: 2011-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/16/2011-11838.html
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
Order of Suspension of Trading; In the Matter of Diversified Investors Corp. (n/k/a Diverse Holdings Corp.), Drew Resources (n/k/a Galloway Energy, Inc.), DTI Medical Corp., DTLL, Inc. (n/k/a Solstice Resorts, Inc.), and Dunn's Supply Store, Inc.
Document Number: 2011-11760
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11760.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Extend a Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Document Number: 2011-11681
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11681.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change Related to the Individual Trading Pause Pilot and CBSX Market-Maker Quoting Obligations
Document Number: 2011-11680
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11680.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Extend a Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Document Number: 2011-11675
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11675.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Change To Add All NMS Stocks to the Single Securities Circuit Breaker Pilot Program
Document Number: 2011-11674
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11674.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Its Rules To Extend a Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility to All NMS Stocks and To Make Conforming Changes to Market Maker Quoting Obligations
Document Number: 2011-11673
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11673.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11 To Include Additional Securities in the Pilot by Which Such Rule Operates and Amending NYSE Arca Equities Rule 7.23 To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 7.11
Document Number: 2011-11672
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11672.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Rule 3100(a)(4) To Include Additional Securities in the Pilot by Which Such Rule Operates
Document Number: 2011-11669
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11669.html
Submission for OMB Review; Comment Request
Document Number: 2011-11627
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11627.html
Submission for OMB Review; Comment Request
Document Number: 2011-11626
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11626.html
Submission for OMB Review; Comment Request
Document Number: 2011-11625
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11625.html
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.
Document Number: 2011-11624
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11624.html
Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Provide Flexibility to the Options Clearing Corporation With Respect to Its Obligations To Pay Settlement Amounts to Clearing Members Generally as Well as in Emergency Situations
Document Number: 2011-11623
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11623.html
PennantPark Investment Corporation, et al.; Notice of Application
Document Number: 2011-11622
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11622.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Midpoint Peg Post-Only Order
Document Number: 2011-11619
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11619.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGA Rules 11.13 and 11.14
Document Number: 2011-11618
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11618.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGX Rules 11.13 and 11.14
Document Number: 2011-11617
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11617.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend IM-4120-3 To Include Additional Securities in the Pilot by Which Such Rule Operates and Amend Rule 4613(a) To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Price Move Percentages That Trigger a Circuit Breaker Pilot Pause
Document Number: 2011-11616
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11616.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4120(a)(11) To Include Additional Securities in the Pilot by Which Such Rule Operates and Amend Rule 4613(a) To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 4120(a)(11)
Document Number: 2011-11615
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11615.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and FINRA Rule 6272 (Character of Quotations) To Include all NMS Stocks
Document Number: 2011-11614
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11614.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change by International Securities Exchange to Amend ISE Rule 2102
Document Number: 2011-11613
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11613.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Rule 80C-NYSE Amex Equities To Include Additional Securities in the Pilot by Which Such Rule Operates and Amending Rule 104-NYSE Amex Equities To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 80C
Document Number: 2011-11612
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11612.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 80C To Include Additional Securities in the Pilot by Which Such Rule Operates and Amending Rule 104 To Simplify Certain Aspects of the Text While Also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 80C
Document Number: 2011-11611
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11611.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Create a Listing Market on the Exchange
Document Number: 2011-11610
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11610.html
Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Treatment of Customer Orders and the Prohibition Against Trading Ahead of Customer Orders
Document Number: 2011-11585
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11585.html
Self-Regulatory Organizations; The NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Establish a Qualified Contingent Cross Order for Execution on the Floor of the Exchange
Document Number: 2011-11584
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11584.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule
Document Number: 2011-11583
Type: Notice
Date: 2011-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/12/2011-11583.html
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
Document Number: 2011-11456
Type: Notice
Date: 2011-05-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/11/2011-11456.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Reduce the Minimum Size of the Nominating and Governance Committee
Document Number: 2011-11381
Type: Notice
Date: 2011-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/05/10/2011-11381.html
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