Securities and Exchange Commission August 11, 2011 – Federal Register Recent Federal Regulation Documents

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Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Document Number: 2011-20445
Type: Proposed Rule
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') proposes for comment an amendment to Rule 146 under Section 18 of the Securities Act of 1933 (``Securities Act''), as amended, to designate certain securities on BATS Exchange, Inc. (``BATS'' or ``Exchange'') as covered securities for purposes of Section 18 of the Securities Act. Covered securities under Section 18 of the Securities Act are exempt from state law registration requirements.
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20445.html
Submission for OMB Review; Comment Request
Document Number: 2011-20419
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20419.html
Submission for OMB Review; Comment Request
Document Number: 2011-20417
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20417.html
Submission for OMB Review; Comment Request
Document Number: 2011-20416
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20416.html
Submission for OMB Review; Comment Request
Document Number: 2011-20415
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20415.html
Submission for OMB Review; Comment Request
Document Number: 2011-20414
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20414.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Regarding Streaming Quote Traders and Remote Streaming Quote Traders Entering Certain Option Day Limit Orders
Document Number: 2011-20390
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20390.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.90 To Permit Qualified Contingent Cross Orders To Be Electronically Submitted to the NYSE Arca System From the Floor of the Exchange for Potential Execution
Document Number: 2011-20389
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20389.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 985NY To Permit Qualified Contingent Cross Orders To Be Electronically Submitted to the NYSE Amex System From the Floor of the Exchange for Potential Execution
Document Number: 2011-20388
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20388.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fee
Document Number: 2011-20387
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20387.html
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
Document Number: 2011-20376
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20376.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct the Proprietary Trader Registration Category
Document Number: 2011-20371
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20371.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Traders Qualification Examination (“Series 56”)
Document Number: 2011-20370
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20370.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL
Document Number: 2011-20363
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20363.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Trader Examination
Document Number: 2011-20357
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20357.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Traders Qualification Examination (“Series 56”)
Document Number: 2011-20356
Type: Notice
Date: 2011-08-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/11/2011-20356.html
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