Securities and Exchange Commission September 16, 2011 – Federal Register Recent Federal Regulation Documents

Results 1 - 14 of 14
Sunshine Act Meeting
Document Number: 2011-23918
Type: Notice
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23918.html
Proposed Collection; Comment Request
Document Number: 2011-23802
Type: Notice
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23802.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Describe Complimentary Services That Are Offered to Certain New Listings on NASDAQ's Global and Global Select Markets
Document Number: 2011-23793
Type: Notice
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23793.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
Document Number: 2011-23792
Type: Notice
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23792.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to EDGA Rules Regarding the Registration and Obligations of Market Makers
Document Number: 2011-23774
Type: Notice
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23774.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating To Amendments to EDGX Rules Regarding the Registration and Obligations of Market Makers
Document Number: 2011-23772
Type: Notice
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23772.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule To Add Clarifying Language With Respect to Marketing Charges Generally and Marketing Charges for Directed Orders, and To Add New and Clarifying Language With Respect to Marketing Charges for Electronic Complex Orders
Document Number: 2011-23771
Type: Notice
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23771.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether to Disapprove Proposed Rule Change To Adopt Additional Listing Requirements for Reverse Mergers
Document Number: 2011-23735
Type: Notice
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23735.html
Privacy Act of 1974: Implementation and Amendment of Exemptions
Document Number: 2011-23732
Type: Rule
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting a rule to amend its Privacy Act regulations to exempt portions of three new systems of records and to make technical amendments to its current inventory of exempted systems of records. Specifically, application of the exemptions to the three new systems of records is necessary to protect information compiled for law enforcement purposes.
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23732.html
Advisory Committee on Small and Emerging Companies
Document Number: 2011-23731
Type: Notice
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission intends to establish the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies.
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23731.html
Submission for OMB Review; Comment Request
Document Number: 2011-23726
Type: Notice
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23726.html
Submission for OMB Review; Comment Request
Document Number: 2011-23725
Type: Notice
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23725.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Options Market
Document Number: 2011-23722
Type: Notice
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23722.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Options Market
Document Number: 2011-23721
Type: Notice
Date: 2011-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23721.html
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