Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/08/17?limit=200®isters=between&mode=atom2024-12-22T17:44:05-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2011/08/17/C1-2011-20388.htmlNotice - 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 Execution2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:00C1-2011-20388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/C1-2011-20388.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20955.htmlNotice - 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 Scenarios2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20955Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20955.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20954.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 11.17, Entitled “Clearly Erroneous Executions”2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20954Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20954.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20953.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BYX Rule 11.17, Entitled “Clearly Erroneous Executions”2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20953Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20953.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20912.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change to Trade Options on the CBOE Silver ETF Volatility Index2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20912Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20912.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20911.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.132011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20911Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20911.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20910.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.132011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20910Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20910.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20909.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 21282011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20909Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20909.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20908.htmlNotice - 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 Pilot2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20908Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20908.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20907.htmlNotice - 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 Process2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20907Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20907.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20906.htmlNotice - 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 Process2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20906Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20906.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20905.htmlNotice - 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 Process2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20905Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20905.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20904.htmlNotice - 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 Program2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20904Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20904.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20903.htmlNotice - 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 Pilot2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20903Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20903.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20902.htmlNotice - 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)2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20902Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20902.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20901.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval to a Proposed Rule Change Relating to Appointments to Competitive Market Makers2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20901Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20901.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20900.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on ETFS Gold Trust2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20900.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20899.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on ETFS Gold Trust2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20899.pdfhttps://regulations.justia.com/regulations/fedreg/2011/08/17/2011-20870.htmlNotice - Northern Trust Investments, N.A., et al.; Notice of Application2011-08-17T00:00:00-07:002011-08-17T00:00:00-07:002011-20870Noticehttp://www.gpo.gov/fdsys/pkg/FR-2011-08-17/pdf/2011-20870.pdf