Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/06/29?limit=200&registers=between&mode=atom 2024-11-24T16:49:36-08:00 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/2011/06/29/2011-16302.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving 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 2011-06-29T00:00:00-07:00 2011-06-29T00:00:00-07:00 2011-16302 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16302.pdf https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16293.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to Amending the BOX Trading Rules To Establish Facilitation and Solicitation Auction Mechanisms 2011-06-29T00:00:00-07:00 2011-06-29T00:00:00-07:00 2011-16293 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16293.pdf https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16243.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Reduce the Minimum Size of the Nominating and Governance Committee 2011-06-29T00:00:00-07:00 2011-06-29T00:00:00-07:00 2011-16243 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16243.pdf https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16232.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook 2011-06-29T00:00:00-07:00 2011-06-29T00:00:00-07:00 2011-16232 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16232.pdf https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16229.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; National Stock Exchange, Inc.; NASDAX OMX PHLX LLC; Order Approving Proposed Rule Changes Relating To Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to All NMS Stocks 2011-06-29T00:00:00-07:00 2011-06-29T00:00:00-07:00 2011-16229 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16229.pdf https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16228.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Text in Its Options Rules Governing the Use of Its Affiliate Broker-Dealer, Archipelago Securities LLC for Outbound Routing of Option Orders, and To Adopt Text in Its Options Rules To Permit the Exchange To Receive Inbound Routes of Option Orders From Arca Securities, Acting as the Outbound Router for NYSE Arca, Inc. 2011-06-29T00:00:00-07:00 2011-06-29T00:00:00-07:00 2011-16228 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16228.pdf https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16227.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Text in Its Options Rules Governing the Use of Its Affiliate Broker-Dealer, Archipelago Securities LLC for Outbound Routing of Option Orders, and To Adopt Text in Its Options Rules To Permit the Exchange To Receive Inbound Routes of Option Orders From Arca Securities, Acting as the Outbound Router for NYSE Amex LLC 2011-06-29T00:00:00-07:00 2011-06-29T00:00:00-07:00 2011-16227 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16227.pdf https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16225.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE Arca Equities Rule 7.41 to Codify Outbound and Inbound Routing Functions Performed by Its Affiliate Broker-dealer, Archipelago Securities LLC 2011-06-29T00:00:00-07:00 2011-06-29T00:00:00-07:00 2011-16225 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16225.pdf https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16224.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 To Codify Inbound Routing Functions Performed by Its Affiliate Broker-Dealer, Archipelago Securities LLC 2011-06-29T00:00:00-07:00 2011-06-29T00:00:00-07:00 2011-16224 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16224.pdf https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16223.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17-NYSE Amex Equities To Codify Inbound Routing Functions Performed by Its Affiliate Broker-Dealer, Archipelago Securities LLC 2011-06-29T00:00:00-07:00 2011-06-29T00:00:00-07:00 2011-16223 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16223.pdf https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16117.html Rule - Family Offices 2011-06-29T00:00:00-07:00 2011-06-29T00:00:00-07:00 2011-16117 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16117.pdf