<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/08/17?registers=between Wed, 01 May 2024 19:37:41 -0700 Wed, 01 May 2024 19:37:41 -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/2011/08/17?registers=between Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/08/17/C1-2011-20388.html https://regulations.justia.com/regulations/fedreg/2011/08/17/C1-2011-20388.html Wed, 17 Aug 2011 00:00:00 -0700 C1-2011-20388 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/C1-2011-20388.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise Its By-Laws and Rules To Establish a Clearing Fund Amount Intended To Support Losses Under a Defined Set of Default Scenarios https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20955.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20955.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20955 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20955.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 11.17, Entitled “Clearly Erroneous Executions” https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20954.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20954.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20954 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20954.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BYX Rule 11.17, Entitled “Clearly Erroneous Executions” https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20953.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20953.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20953 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20953.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change to Trade Options on the CBOE Silver ETF Volatility Index https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20912.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20912.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20912 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20912.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13 https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20911.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20911.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20911 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20911.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.13 https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20910.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20910.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20910 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20910.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20909.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20909.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20909 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20909.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.10 So That Clearly Erroneous Executions Involving Securities Recently Added to the Individual Security Trading Pause Pilot Under NYSE Arca Equities Rule 7.11 Continue To Be Resolved in the Same Manner Before Being Added to the Pilot https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20908.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20908.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20908 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20908.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearly Erroneous Rule in Light of Changes to the Single Stock Trading Pause Process https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20907.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20907.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20907 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20907.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearly Erroneous Rule in Light of Changes to the Single Stock Trading Pause Process https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20906.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20906.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20906 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20906.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearly Erroneous Rule in Light of Changes to the Single Stock Trading Pause Process https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20905.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20905.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20905 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20905.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the CBSX Clearly Erroneous Policy Pilot Program https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20904.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20904.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20904 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20904.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128 so That Clearly Erroneous Executions Involving Securities Recently Added to the Individual Security Trading Pause Pilot Under NYSE Amex Equities Rule 80C Continue To Be Resolved in the Same Manner Before Being Added to the Pilot https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20903.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20903.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20903 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20903.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20902.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20902.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20902 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20902.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval to a Proposed Rule Change Relating to Appointments to Competitive Market Makers https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20901.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20901.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20901 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20901.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on ETFS Gold Trust https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20900.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20900.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20900 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20900.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on ETFS Gold Trust https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20899.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20899.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20899 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20899.pdf Notice - Northern Trust Investments, N.A., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20870.html https://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20870.html Wed, 17 Aug 2011 00:00:00 -0700 2011-20870 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20870.pdf