Securities and Exchange Commission August 18, 2011 – Federal Register Recent Federal Regulation Documents

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Order Temporarily Exempting the Floor Broker Operations of Broker-Dealers With Market Access That Handle Orders on a Manual Basis From the Automated Controls Requirement of Rule 15c3-5(c)(1)(ii) and Rule 15c3-5(c)(2) Under the Securities Exchange Act of 1934
Document Number: 2011-21099
Type: Notice
Date: 2011-08-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/18/2011-21099.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change To Add New Section 907.00 to the Listed Company Manual that Sets Forth Certain Complimentary Products and Services That Are Offered to Currently and Newly Listed Issuers
Document Number: 2011-21035
Type: Notice
Date: 2011-08-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/18/2011-21035.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish an Acceptable Trade Range for Quotes and Orders Entered on the NASDAQ Options Market
Document Number: 2011-21034
Type: Notice
Date: 2011-08-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/18/2011-21034.html
Submission for OMB Review; Comment Request
Document Number: 2011-21031
Type: Notice
Date: 2011-08-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/18/2011-21031.html
Submission for OMB Review; Comment Request
Document Number: 2011-21030
Type: Notice
Date: 2011-08-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/18/2011-21030.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Managed Fund Shares of TrimTabs Float Shrink ETF Under NYSE Arca Equities Rule 8.600
Document Number: 2011-21029
Type: Notice
Date: 2011-08-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/18/2011-21029.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Article 20, Rule 10, Governing Clearly Erroneous Executions
Document Number: 2011-21026
Type: Notice
Date: 2011-08-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/18/2011-21026.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NSX Rule 11.19(c) Relating to Clearly Erroneous Transactions
Document Number: 2011-21025
Type: Notice
Date: 2011-08-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/08/18/2011-21025.html
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