<![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/2011/06?registers=between&min-day=1&max-day=30 Fri, 26 Apr 2024 23:58:24 -0700 Fri, 26 Apr 2024 23:58:24 -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/2011/06?registers=between&min-day=1&max-day=30 Notice - In the Matter of International Poultry Co., Inc. (n/k/a Carley Enterprises, Inc.), International Thoroughbred Breeders, Inc., Internet Marketing, Inc., Intrepid Technology & Resources, Inc., Ion Technology, Inc., Ionic Fuel Technology, Inc., Ipex, Inc. (n/k/a Salus Labs International, Inc.), Itemus, Inc., and ITIS Holdings, Inc. ; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16567.html https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16567.html Thu, 30 Jun 2011 00:00:00 -0700 2011-16567 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16567.pdf Rule - Risk Management Controls for Brokers or Dealers With Market Access https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16467.html https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16467.html Thu, 30 Jun 2011 00:00:00 -0700 2011-16467 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16467.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operation of the Pilot Program That Allows Nasdaq Stock Market Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16448.html https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16448.html Thu, 30 Jun 2011 00:00:00 -0700 2011-16448 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16448.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Regarding Co-Location Fees for Additional Power and Cable Options https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16433.html https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16433.html Thu, 30 Jun 2011 00:00:00 -0700 2011-16433 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16433.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16427.html https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16427.html Thu, 30 Jun 2011 00:00:00 -0700 2011-16427 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16427.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16426.html https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16426.html Thu, 30 Jun 2011 00:00:00 -0700 2011-16426 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16426.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16419.html https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16419.html Thu, 30 Jun 2011 00:00:00 -0700 2011-16419 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16419.pdf Notice - [Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Regarding Opening Index Option Months and Series https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16418.html https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16418.html Thu, 30 Jun 2011 00:00:00 -0700 2011-16418 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16418.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Formation of a Joint Venture Between the Exchange, Its Ultimate Parent NYSE Euronext, and Seven Other Entities To Operate an Electronic Trading Facility for Options Contracts https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16417.html https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16417.html Thu, 30 Jun 2011 00:00:00 -0700 2011-16417 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16417.pdf Notice - TIAA-CREF Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16403.html https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16403.html Thu, 30 Jun 2011 00:00:00 -0700 2011-16403 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16403.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Fee Discount Pilot Program for Large-Sized Foreign Currency Options https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16397.html https://regulations.justia.com/regulations/fedreg/2011/06/30/2011-16397.html Thu, 30 Jun 2011 00:00:00 -0700 2011-16397 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-30/pdf/2011-16397.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16302.html https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16302.html Wed, 29 Jun 2011 00:00:00 -0700 2011-16302 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16302.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16293.html https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16293.html Wed, 29 Jun 2011 00:00:00 -0700 2011-16293 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16293.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16243.html https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16243.html Wed, 29 Jun 2011 00:00:00 -0700 2011-16243 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16243.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16232.html https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16232.html Wed, 29 Jun 2011 00:00:00 -0700 2011-16232 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16232.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16229.html https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16229.html Wed, 29 Jun 2011 00:00:00 -0700 2011-16229 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16229.pdf 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. https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16228.html https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16228.html Wed, 29 Jun 2011 00:00:00 -0700 2011-16228 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16228.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16227.html https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16227.html Wed, 29 Jun 2011 00:00:00 -0700 2011-16227 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16227.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16225.html https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16225.html Wed, 29 Jun 2011 00:00:00 -0700 2011-16225 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16225.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16224.html https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16224.html Wed, 29 Jun 2011 00:00:00 -0700 2011-16224 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16224.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16223.html https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16223.html Wed, 29 Jun 2011 00:00:00 -0700 2011-16223 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16223.pdf Rule - Family Offices https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16117.html https://regulations.justia.com/regulations/fedreg/2011/06/29/2011-16117.html Wed, 29 Jun 2011 00:00:00 -0700 2011-16117 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-06-29/pdf/2011-16117.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16230.html https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16230.html Tue, 28 Jun 2011 00:00:00 -0700 2011-16230 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16230.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16148.html https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16148.html Tue, 28 Jun 2011 00:00:00 -0700 2011-16148 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16148.pdf Notice - Russell Exchange Traded Funds Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16142.html https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16142.html Tue, 28 Jun 2011 00:00:00 -0700 2011-16142 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16142.pdf Notice - Self-Regulatory Organizations; Chicago Board 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 https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16133.html https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16133.html Tue, 28 Jun 2011 00:00:00 -0700 2011-16133 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16133.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Order Timer https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16085.html https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16085.html Tue, 28 Jun 2011 00:00:00 -0700 2011-16085 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16085.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change to Trade Options on the CBOE Silver ETF Volatility Index https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16075.html https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16075.html Tue, 28 Jun 2011 00:00:00 -0700 2011-16075 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16075.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Appointments to Competitive Market Makers https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16033.html https://regulations.justia.com/regulations/fedreg/2011/06/28/2011-16033.html Tue, 28 Jun 2011 00:00:00 -0700 2011-16033 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-28/pdf/2011-16033.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-16086.html https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-16086.html Mon, 27 Jun 2011 00:00:00 -0700 2011-16086 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-16086.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-16006.html https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-16006.html Mon, 27 Jun 2011 00:00:00 -0700 2011-16006 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-16006.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities That Are Part of a Distribution and Transfers of Equity Securities To Create or Redeem Instruments Such as ADRs and ETFs https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-16005.html https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-16005.html Mon, 27 Jun 2011 00:00:00 -0700 2011-16005 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-16005.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-15965.html https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-15965.html Mon, 27 Jun 2011 00:00:00 -0700 2011-15965 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-15965.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Certain Disclosure Requirements in Nasdaq's Corporate Governance Rules with Similar Disclosure Requirements in the Commission's Rules https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-15964.html https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-15964.html Mon, 27 Jun 2011 00:00:00 -0700 2011-15964 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-15964.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4763 https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-15916.html https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-15916.html Mon, 27 Jun 2011 00:00:00 -0700 2011-15916 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-15916.pdf Proposed Rule - Broker-Dealer Reports https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-15341.html https://regulations.justia.com/regulations/fedreg/2011/06/27/2011-15341.html Mon, 27 Jun 2011 00:00:00 -0700 2011-15341 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-06-27/pdf/2011-15341.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Allow for an Expansion of OCC's Internal Cross-Margining Program To Include the Ability of a Pair of Affiliated Clearing Members To Establish an Internal Non-Proprietary Cross-Margining Account https://regulations.justia.com/regulations/fedreg/2011/06/24/2011-15850.html https://regulations.justia.com/regulations/fedreg/2011/06/24/2011-15850.html Fri, 24 Jun 2011 00:00:00 -0700 2011-15850 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-24/pdf/2011-15850.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/24/2011-15806.html https://regulations.justia.com/regulations/fedreg/2011/06/24/2011-15806.html Fri, 24 Jun 2011 00:00:00 -0700 2011-15806 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-24/pdf/2011-15806.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency https://regulations.justia.com/regulations/fedreg/2011/06/24/2011-15805.html https://regulations.justia.com/regulations/fedreg/2011/06/24/2011-15805.html Fri, 24 Jun 2011 00:00:00 -0700 2011-15805 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-24/pdf/2011-15805.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to a Remote Specialist Fee https://regulations.justia.com/regulations/fedreg/2011/06/24/2011-15776.html https://regulations.justia.com/regulations/fedreg/2011/06/24/2011-15776.html Fri, 24 Jun 2011 00:00:00 -0700 2011-15776 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-24/pdf/2011-15776.pdf Notice - In the Matter of Animal Cloning Sciences, Inc. (n/k/a Bancorp Energy, Inc.): Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15829.html https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15829.html Thu, 23 Jun 2011 00:00:00 -0700 2011-15829 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15829.pdf Notice - In the Matter of Shiming U.S., Inc., Si Mei Te Food Ltd. (f/k/a China Discovery Acquisition Corp.), Sierra International Group, Inc., and SJ Electronics, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15825.html https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15825.html Thu, 23 Jun 2011 00:00:00 -0700 2011-15825 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15825.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15824.html https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15824.html Thu, 23 Jun 2011 00:00:00 -0700 2011-15824 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15824.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15730.html https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15730.html Thu, 23 Jun 2011 00:00:00 -0700 2011-15730 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15730.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Disapproving Proposed Rule Change To Adopt Additional Criteria for Listing Companies That Have Indicated Their Business Plan Is To Buy and Hold Commodities https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15674.html https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15674.html Thu, 23 Jun 2011 00:00:00 -0700 2011-15674 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15674.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Anti-Internalization Functionality for Registered Market Makers on the NASDAQ Options Market https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15671.html https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15671.html Thu, 23 Jun 2011 00:00:00 -0700 2011-15671 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15671.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Content Outline for the Proprietary Traders Examination Program (Series 56) https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15670.html https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15670.html Thu, 23 Jun 2011 00:00:00 -0700 2011-15670 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15670.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15666.html https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15666.html Thu, 23 Jun 2011 00:00:00 -0700 2011-15666 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15666.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15665.html https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15665.html Thu, 23 Jun 2011 00:00:00 -0700 2011-15665 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15665.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15664.html https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15664.html Thu, 23 Jun 2011 00:00:00 -0700 2011-15664 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15664.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide an Interpretation to Rule 401 To Allow Clearing Members To Use OCC Systems To Update Certain Non-critical Trade Data With Respect to Exchange Transactions Involving Securities Options https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15659.html https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15659.html Thu, 23 Jun 2011 00:00:00 -0700 2011-15659 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15659.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change To Increase the Position Limit for Options on the Standard and Poor's® Depositary Receipts (SPDRs®) https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15640.html https://regulations.justia.com/regulations/fedreg/2011/06/23/2011-15640.html Thu, 23 Jun 2011 00:00:00 -0700 2011-15640 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-23/pdf/2011-15640.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Madrona Forward Domestic ETF, Madrona Forward International ETF, and Madrona Forward Global Bond ETF https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15608.html https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15608.html Wed, 22 Jun 2011 00:00:00 -0700 2011-15608 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15608.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 5.30 and 5.32 To Permit the Exchange To List Flexible Exchange Options on Index and Equity Securities That Are Eligible for Non-FLEX Options Trading, and That Have Non-FLEX Options on Such Index and Equity Securities Listed and Traded on at Least One National Securities Exchange, Even if the Exchange Does Not List Such Non-FLEX Options https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15606.html https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15606.html Wed, 22 Jun 2011 00:00:00 -0700 2011-15606 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15606.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 903G To Permit the Exchange To List Flexible Exchange Options on Index and Equity Securities That Are Eligible for Non-FLEX Options Trading, and That Have Non-FLEX Options on Such Index and Equity Securities Listed and Traded on at Least One National Securities Exchange, Even if the Exchange Does Not List Such Non-FLEX Options https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15605.html https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15605.html Wed, 22 Jun 2011 00:00:00 -0700 2011-15605 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15605.pdf Notice - Self-Regulatory Organizations; The NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Establishing a Qualified Contingent Cross Order for Execution on the Floor of the Exchange https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15604.html https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15604.html Wed, 22 Jun 2011 00:00:00 -0700 2011-15604 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15604.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Several Rules in Connection With Trading System Enhancements https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15555.html https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15555.html Wed, 22 Jun 2011 00:00:00 -0700 2011-15555 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15555.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade the Meidell Tactical Advantage ETF https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15554.html https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15554.html Wed, 22 Jun 2011 00:00:00 -0700 2011-15554 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15554.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Minor Rule Plan https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15553.html https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15553.html Wed, 22 Jun 2011 00:00:00 -0700 2011-15553 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15553.pdf Notice - Highmark Funds and Highmark Capital Management, Inc. https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15552.html https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15552.html Wed, 22 Jun 2011 00:00:00 -0700 2011-15552 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15552.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Establishing a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15450.html https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15450.html Wed, 22 Jun 2011 00:00:00 -0700 2011-15450 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15450.pdf Rule - Temporary Exemptions and Other Temporary Relief, Together With Information on Compliance Dates for New Provisions of the Securities Exchange Act of 1934 Applicable to Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15432.html https://regulations.justia.com/regulations/fedreg/2011/06/22/2011-15432.html Wed, 22 Jun 2011 00:00:00 -0700 2011-15432 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-06-22/pdf/2011-15432.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing of Opening Orders https://regulations.justia.com/regulations/fedreg/2011/06/21/2011-15372.html https://regulations.justia.com/regulations/fedreg/2011/06/21/2011-15372.html Tue, 21 Jun 2011 00:00:00 -0700 2011-15372 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-21/pdf/2011-15372.pdf Notice - In the Matter of: BP International, Inc., CyGene Laboratories, Inc., Delek Resources, Inc., Flooring America, Inc., International Diversified Industries, Inc., Nova Biogenetics, Inc., and Tube Media Corp. (The); Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15396.html https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15396.html Mon, 20 Jun 2011 00:00:00 -0700 2011-15396 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15396.pdf Notice - In the Matter of: SHC Corp. (f/k/a Victormaxx Technologies, Inc.), Shells Seafood Restaurants, Inc., SI Restructuring, Inc. (f/k/a Schlotzsky's, Inc.), SLS Industries, Inc., Softlock.com, Inc. (n/k/a The Cap One Group, Inc.), Solar Satellite Communication, Inc., and Sonoran Energy, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15392.html https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15392.html Mon, 20 Jun 2011 00:00:00 -0700 2011-15392 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15392.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Sales Value Fee https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15281.html https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15281.html Mon, 20 Jun 2011 00:00:00 -0700 2011-15281 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15281.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Sales Value Fee https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15280.html https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15280.html Mon, 20 Jun 2011 00:00:00 -0700 2011-15280 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15280.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Order Spread Protection Feature https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15278.html https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15278.html Mon, 20 Jun 2011 00:00:00 -0700 2011-15278 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15278.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15265.html https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15265.html Mon, 20 Jun 2011 00:00:00 -0700 2011-15265 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15265.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Analytic Reporting Service https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15174.html https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15174.html Mon, 20 Jun 2011 00:00:00 -0700 2011-15174 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15174.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15173.html https://regulations.justia.com/regulations/fedreg/2011/06/20/2011-15173.html Mon, 20 Jun 2011 00:00:00 -0700 2011-15173 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-20/pdf/2011-15173.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15271.html https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15271.html Fri, 17 Jun 2011 00:00:00 -0700 2011-15271 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15271.pdf Notice - Voice One Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15196.html https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15196.html Fri, 17 Jun 2011 00:00:00 -0700 2011-15196 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15196.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Order Granting Approval of Proposed Rule Change Establishing Qualified Contingent Cross Orders https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15058.html https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15058.html Fri, 17 Jun 2011 00:00:00 -0700 2011-15058 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15058.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Adopt a Monthly Fee Cap and Related Service Fee for All Member Firm Proprietary Transactions Executed in Open Outcry and To Increase Both the Existing Monthly Fee Cap and a Related Trading Volume Threshold Applicable to Market Makers https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15041.html https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15041.html Fri, 17 Jun 2011 00:00:00 -0700 2011-15041 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15041.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Establish a New Fee Designed To Encourage Efficient Use of Bandwidth by ATP Firms and To Rename a Related Existing Fee https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15040.html https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15040.html Fri, 17 Jun 2011 00:00:00 -0700 2011-15040 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15040.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Trade Single Stock Dividend Options https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15039.html https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15039.html Fri, 17 Jun 2011 00:00:00 -0700 2011-15039 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15039.pdf Rule - Delegation of Authority to the Director of Its Division of Enforcement https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15030.html https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15030.html Fri, 17 Jun 2011 00:00:00 -0700 2011-15030 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15030.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding BONO SM https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15015.html https://regulations.justia.com/regulations/fedreg/2011/06/17/2011-15015.html Fri, 17 Jun 2011 00:00:00 -0700 2011-15015 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-17/pdf/2011-15015.pdf Notice - Samaritan Pharmaceuticals, Inc., Seaena, Inc., Seirios International, Inc. (f/k/a Exactly Sportswear, Inc.), et al.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-15056.html https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-15056.html Thu, 16 Jun 2011 00:00:00 -0700 2011-15056 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-15056.pdf Notice - In the Matter of Dawn Technologies, Inc., Distinctive Devices, Inc., Haber, Inc., and Independence Brewing Co.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-15055.html https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-15055.html Thu, 16 Jun 2011 00:00:00 -0700 2011-15055 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-15055.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14988.html https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14988.html Thu, 16 Jun 2011 00:00:00 -0700 2011-14988 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-14988.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14903.html https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14903.html Thu, 16 Jun 2011 00:00:00 -0700 2011-14903 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-14903.pdf Notice - Allianz Life Insurance Company of North America, et al; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14895.html https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14895.html Thu, 16 Jun 2011 00:00:00 -0700 2011-14895 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-14895.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Rule Concerning the CHX Book Feed https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14894.html https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14894.html Thu, 16 Jun 2011 00:00:00 -0700 2011-14894 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-14894.pdf Notice - Country Investors Life Assurance Company, et al. https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14859.html https://regulations.justia.com/regulations/fedreg/2011/06/16/2011-14859.html Thu, 16 Jun 2011 00:00:00 -0700 2011-14859 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-16/pdf/2011-14859.pdf Notice - Apparel America, Inc. (n/k/a HSK Industries, Inc.), Decora Industries, Inc., Diversicon Holdings Corp., Flagship Global Health, Inc., Integrated Transportation Network Group, Inc., and Premier Wealth Management, Inc. (a/k/a Premiere Wealth Management, Inc.); Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14986.html https://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14986.html Wed, 15 Jun 2011 00:00:00 -0700 2011-14986 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-15/pdf/2011-14986.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade the WisdomTree Global Real Return Fund https://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14849.html https://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14849.html Wed, 15 Jun 2011 00:00:00 -0700 2011-14849 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-15/pdf/2011-14849.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Linkage Fees https://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14848.html https://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14848.html Wed, 15 Jun 2011 00:00:00 -0700 2011-14848 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-15/pdf/2011-14848.pdf Notice - Precidian ETFs Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14843.html https://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14843.html Wed, 15 Jun 2011 00:00:00 -0700 2011-14843 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-15/pdf/2011-14843.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14782.html https://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14782.html Wed, 15 Jun 2011 00:00:00 -0700 2011-14782 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-15/pdf/2011-14782.pdf Proposed Rule - Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies https://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14717.html https://regulations.justia.com/regulations/fedreg/2011/06/15/2011-14717.html Wed, 15 Jun 2011 00:00:00 -0700 2011-14717 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-06-15/pdf/2011-14717.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14783.html https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14783.html Tue, 14 Jun 2011 00:00:00 -0700 2011-14783 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14783.pdf Notice - Joint Public Roundtable on Proposed Dealer and Major Participant Definitions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14729.html https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14729.html Tue, 14 Jun 2011 00:00:00 -0700 2011-14729 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14729.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14671.html https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14671.html Tue, 14 Jun 2011 00:00:00 -0700 2011-14671 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14671.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14669.html https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14669.html Tue, 14 Jun 2011 00:00:00 -0700 2011-14669 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14669.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14664.html https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14664.html Tue, 14 Jun 2011 00:00:00 -0700 2011-14664 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14664.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14663.html https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14663.html Tue, 14 Jun 2011 00:00:00 -0700 2011-14663 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14663.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14662.html https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14662.html Tue, 14 Jun 2011 00:00:00 -0700 2011-14662 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14662.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Amend the Fee Schedule Regarding Fees Assessed for the Installation of Certain Co-Location Services https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14661.html https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14661.html Tue, 14 Jun 2011 00:00:00 -0700 2011-14661 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14661.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Replace Numerical Thresholds With Percentage Thresholds for Tier Volume Requirements, Add a New Volume Tier and Increase the Credit That Lead Market Makers Receive for Execution of Orders That Provide Undisplayed Liquidity Using Post No Preference Blind Orders https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14660.html https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14660.html Tue, 14 Jun 2011 00:00:00 -0700 2011-14660 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14660.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Additional Listing Requirements for Reverse Mergers https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14648.html https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14648.html Tue, 14 Jun 2011 00:00:00 -0700 2011-14648 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14648.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 Regarding Certain Co-Location Installation Fees https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14598.html https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14598.html Tue, 14 Jun 2011 00:00:00 -0700 2011-14598 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14598.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7034 Regarding Certain Co-Location Installation Fees https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14591.html https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14591.html Tue, 14 Jun 2011 00:00:00 -0700 2011-14591 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14591.pdf Rule - Beneficial Ownership Reporting Requirements and Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14572.html https://regulations.justia.com/regulations/fedreg/2011/06/14/2011-14572.html Tue, 14 Jun 2011 00:00:00 -0700 2011-14572 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-06-14/pdf/2011-14572.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14720.html https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14720.html Mon, 13 Jun 2011 00:00:00 -0700 2011-14720 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14720.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14719.html https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14719.html Mon, 13 Jun 2011 00:00:00 -0700 2011-14719 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14719.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14672.html https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14672.html Mon, 13 Jun 2011 00:00:00 -0700 2011-14672 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14672.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Class Quoting Limit in One Option Class https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14519.html https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14519.html Mon, 13 Jun 2011 00:00:00 -0700 2011-14519 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14519.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Risk Monitor Mechanism https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14518.html https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14518.html Mon, 13 Jun 2011 00:00:00 -0700 2011-14518 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14518.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Functionality of the Post-Only Order https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14517.html https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14517.html Mon, 13 Jun 2011 00:00:00 -0700 2011-14517 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14517.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Option Expiration Months Open for Trading on the Exchange https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14516.html https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-14516.html Mon, 13 Jun 2011 00:00:00 -0700 2011-14516 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-14516.pdf Rule - Securities Whistleblower Incentives and Protections https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-13382.html https://regulations.justia.com/regulations/fedreg/2011/06/13/2011-13382.html Mon, 13 Jun 2011 00:00:00 -0700 2011-13382 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-13382.pdf Proposed Rule - Credit Risk Retention https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14444.html https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14444.html Fri, 10 Jun 2011 00:00:00 -0700 2011-14444 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14444.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Shares of the WisdomTree Dreyfus Euro Debt Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14415.html https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14415.html Fri, 10 Jun 2011 00:00:00 -0700 2011-14415 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14415.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14392.html https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14392.html Fri, 10 Jun 2011 00:00:00 -0700 2011-14392 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14392.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14391.html https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14391.html Fri, 10 Jun 2011 00:00:00 -0700 2011-14391 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14391.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14390.html https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14390.html Fri, 10 Jun 2011 00:00:00 -0700 2011-14390 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14390.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change To Amend Rules Relating to the Memo Segregation Function https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14389.html https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14389.html Fri, 10 Jun 2011 00:00:00 -0700 2011-14389 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14389.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Brokers To Process Specified Pool Trade Activity at the Mortgage-Backed Securities Division in Broker Accounts https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14388.html https://regulations.justia.com/regulations/fedreg/2011/06/10/2011-14388.html Fri, 10 Jun 2011 00:00:00 -0700 2011-14388 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-10/pdf/2011-14388.pdf Notice - Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14408.html https://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14408.html Thu, 09 Jun 2011 00:00:00 -0700 2011-14408 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-09/pdf/2011-14408.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule To Adopt a Fee for Qualified Contingent Cross Trades https://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14233.html https://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14233.html Thu, 09 Jun 2011 00:00:00 -0700 2011-14233 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-09/pdf/2011-14233.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Establish a Gross FOCUS Revenue Fee https://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14232.html https://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14232.html Thu, 09 Jun 2011 00:00:00 -0700 2011-14232 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-09/pdf/2011-14232.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Orders That Are Eligible for Entry to the Exchange's Matching System https://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14228.html https://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14228.html Thu, 09 Jun 2011 00:00:00 -0700 2011-14228 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-09/pdf/2011-14228.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Allow the Listing and Trading of a P.M.-Settled S&P 500 Index Option Product https://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14223.html https://regulations.justia.com/regulations/fedreg/2011/06/09/2011-14223.html Thu, 09 Jun 2011 00:00:00 -0700 2011-14223 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-09/pdf/2011-14223.pdf Notice - In The Matter of: Artfest International, Inc; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14285.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14285.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14285 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14285.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Appeal Fee https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14130.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14130.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14130 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14130.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Introduce Two New Pricing Tiers, Investor Tier 1 and Investor Tier 2 https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14129.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14129.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14129 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14129.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14128.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14128.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14128 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14128.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14127.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14127.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14127 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14127.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend CBOE Stock Exchange Transaction Fees to Change the Maker/Taker Fee to a Flat Fee https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14081.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14081.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14081 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14081.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Qualified Exchange Members to Act as Off-Floor Option Specialists in One or More Options Classes https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14080.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14080.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14080 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14080.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Permit the Listing of Series With $0.50 and $1 Strike Price Increments on Certain Options Used To Calculate Volatility Indexes https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14079.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14079.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14079 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14079.pdf Notice - Altegris Advisors, L.L.C. and Northern Lights Fund Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14063.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14063.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14063 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14063.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14062.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14062.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14062 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14062.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14037.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14037.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14037 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14037.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Price List https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14036.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14036.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14036 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14036.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Conform Exchange Rules https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14035.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14035.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14035 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14035.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Relating to the Sale of Trading Licenses https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14033.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-14033.html Wed, 08 Jun 2011 00:00:00 -0700 2011-14033 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-14033.pdf Proposed Rule - Nationally Recognized Statistical Rating Organizations https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-12659.html https://regulations.justia.com/regulations/fedreg/2011/06/08/2011-12659.html Wed, 08 Jun 2011 00:00:00 -0700 2011-12659 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-06-08/pdf/2011-12659.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-14034.html https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-14034.html Tue, 07 Jun 2011 00:00:00 -0700 2011-14034 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-14034.pdf Notice - TIAA-CREF Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13995.html https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13995.html Tue, 07 Jun 2011 00:00:00 -0700 2011-13995 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13995.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 BOX https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13994.html https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13994.html Tue, 07 Jun 2011 00:00:00 -0700 2011-13994 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13994.pdf Proposed Rule - Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13976.html https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13976.html Tue, 07 Jun 2011 00:00:00 -0700 2011-13976 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13976.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Correction of an Inadvertent Error in NASDAQ Rule 7019(d) https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13949.html https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13949.html Tue, 07 Jun 2011 00:00:00 -0700 2011-13949 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13949.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Customer Complex Orders https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13940.html https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13940.html Tue, 07 Jun 2011 00:00:00 -0700 2011-13940 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13940.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Correction of an Inadvertent Error in the Fee Schedule https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13939.html https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13939.html Tue, 07 Jun 2011 00:00:00 -0700 2011-13939 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13939.pdf Notice - Self-Regulatory Organizations; The NASDAQ OMX BX Inc. LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Correction of an Inadvertent Error in Exchange Rule 7019(c) https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13926.html https://regulations.justia.com/regulations/fedreg/2011/06/07/2011-13926.html Tue, 07 Jun 2011 00:00:00 -0700 2011-13926 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-07/pdf/2011-13926.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposal To Permit the Exchange To List Series With Additional Expiration Months If Such Series Are Listed on Another Exchange https://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13903.html https://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13903.html Mon, 06 Jun 2011 00:00:00 -0700 2011-13903 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-06/pdf/2011-13903.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Pilot Period To Allow Cabinet Trading To Take Place Below $1 Per Option Contract https://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13876.html https://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13876.html Mon, 06 Jun 2011 00:00:00 -0700 2011-13876 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-06/pdf/2011-13876.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13857.html https://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13857.html Mon, 06 Jun 2011 00:00:00 -0700 2011-13857 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-06/pdf/2011-13857.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13856.html https://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13856.html Mon, 06 Jun 2011 00:00:00 -0700 2011-13856 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-06/pdf/2011-13856.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Second Market Fees https://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13855.html https://regulations.justia.com/regulations/fedreg/2011/06/06/2011-13855.html Mon, 06 Jun 2011 00:00:00 -0700 2011-13855 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-06/pdf/2011-13855.pdf Notice - Uniontown Energy, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13880.html https://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13880.html Fri, 03 Jun 2011 00:00:00 -0700 2011-13880 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-03/pdf/2011-13880.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Functionality of NASDAQ OMX PSX's Post-Only Order https://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13776.html https://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13776.html Fri, 03 Jun 2011 00:00:00 -0700 2011-13776 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-03/pdf/2011-13776.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change To Modify the Initial Trading Market Value for Debt Securities https://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13755.html https://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13755.html Fri, 03 Jun 2011 00:00:00 -0700 2011-13755 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-03/pdf/2011-13755.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule G-23, on Activities of Financial Advisors https://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13752.html https://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13752.html Fri, 03 Jun 2011 00:00:00 -0700 2011-13752 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-03/pdf/2011-13752.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13751.html https://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13751.html Fri, 03 Jun 2011 00:00:00 -0700 2011-13751 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-03/pdf/2011-13751.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules https://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13738.html https://regulations.justia.com/regulations/fedreg/2011/06/03/2011-13738.html Fri, 03 Jun 2011 00:00:00 -0700 2011-13738 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-03/pdf/2011-13738.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto To Trade Options on Certain Individual Stock Based Volatility Indexes and Exchange-Traded Fund Based Volatility Indexes https://regulations.justia.com/regulations/fedreg/2011/06/02/2011-13636.html https://regulations.justia.com/regulations/fedreg/2011/06/02/2011-13636.html Thu, 02 Jun 2011 00:00:00 -0700 2011-13636 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-02/pdf/2011-13636.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Functionality of the Post-Only Order https://regulations.justia.com/regulations/fedreg/2011/06/02/2011-13624.html https://regulations.justia.com/regulations/fedreg/2011/06/02/2011-13624.html Thu, 02 Jun 2011 00:00:00 -0700 2011-13624 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-02/pdf/2011-13624.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval 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/2011/06/02/2011-13576.html https://regulations.justia.com/regulations/fedreg/2011/06/02/2011-13576.html Thu, 02 Jun 2011 00:00:00 -0700 2011-13576 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-02/pdf/2011-13576.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change To Expand the Number of Components in the PHLX Gold/Silver SectorSM https://regulations.justia.com/regulations/fedreg/2011/06/02/2011-13575.html https://regulations.justia.com/regulations/fedreg/2011/06/02/2011-13575.html Thu, 02 Jun 2011 00:00:00 -0700 2011-13575 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-02/pdf/2011-13575.pdf Notice - Joint Industry Plan; Notice of Filing of a National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13472.html https://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13472.html Wed, 01 Jun 2011 00:00:00 -0700 2011-13472 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-01/pdf/2011-13472.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange https://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13422.html https://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13422.html Wed, 01 Jun 2011 00:00:00 -0700 2011-13422 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-01/pdf/2011-13422.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Revenue Sharing Program With Correlix, Inc. and a Free Trial Period for New Users of the Correlix Service https://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13420.html https://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13420.html Wed, 01 Jun 2011 00:00:00 -0700 2011-13420 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-01/pdf/2011-13420.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Revenue Sharing Program With Correlix, Inc. and a Free Trial Period for New Users of the Correlix Service https://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13419.html https://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13419.html Wed, 01 Jun 2011 00:00:00 -0700 2011-13419 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-01/pdf/2011-13419.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Revenue Sharing Program With Correlix, Inc. and a Free Trial Period for New Users of the Correlix Service https://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13418.html https://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13418.html Wed, 01 Jun 2011 00:00:00 -0700 2011-13418 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-06-01/pdf/2011-13418.pdf Proposed Rule - Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings https://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13370.html https://regulations.justia.com/regulations/fedreg/2011/06/01/2011-13370.html Wed, 01 Jun 2011 00:00:00 -0700 2011-13370 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-06-01/pdf/2011-13370.pdf