Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/08/03?limit=200&registers=between&mode=atom 2024-11-30T02:28:01-08:00 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/2011/08/03/C1-2011-16758.html Proposed Rule - Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants 2011-08-03T00:00:00-07:00 2011-08-03T00:00:00-07:00 C1-2011-16758 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/C1-2011-16758.pdf https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19690.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Amend Article 20, Rule 9 (Cancellation of Transactions) and Interpretation and Policy .01 Thereunder Regarding the Cancellation of the Stock Leg of Stock-Option Transactions Done on the Exchange 2011-08-03T00:00:00-07:00 2011-08-03T00:00:00-07:00 2011-19690 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19690.pdf https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19647.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person To Exclude Foreign Affiliates, Creating a New Definition of “Foreign Securities Affiliate,” Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes 2011-08-03T00:00:00-07:00 2011-08-03T00:00:00-07:00 2011-19647 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19647.pdf https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19646.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person To Exclude Foreign Affiliates, Creating a New Definition of “Foreign Securities Affiliate,” Eliminating the Application Process for Approved Persons, and Making Related Technical and Conforming Changes 2011-08-03T00:00:00-07:00 2011-08-03T00:00:00-07:00 2011-19646 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19646.pdf https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19645.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2210 (Communications With the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications With the Public Regarding Security Futures), and 2216 (Communications With the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook 2011-08-03T00:00:00-07:00 2011-08-03T00:00:00-07:00 2011-19645 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19645.pdf https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19612.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an “All-or-None” Order Type 2011-08-03T00:00:00-07:00 2011-08-03T00:00:00-07:00 2011-19612 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19612.pdf https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19564.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change to Provide Specific Authority to Use an Auction Process as One of the Means to Liquidate a Defaulting Clearing Member's Accounts 2011-08-03T00:00:00-07:00 2011-08-03T00:00:00-07:00 2011-19564 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19564.pdf https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19563.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend the BOX Fee Schedule 2011-08-03T00:00:00-07:00 2011-08-03T00:00:00-07:00 2011-19563 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19563.pdf https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19421.html Rule - Security Ratings 2011-08-03T00:00:00-07:00 2011-08-03T00:00:00-07:00 2011-19421 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19421.pdf https://regulations.justia.com/regulations/fedreg/2011/08/03/2011-19419.html Rule - Large Trader Reporting 2011-08-03T00:00:00-07:00 2011-08-03T00:00:00-07:00 2011-19419 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-08-03/pdf/2011-19419.pdf