<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/09?registers=between&min-day=1&max-day=30 Tue, 30 Apr 2024 01:52:08 -0700 Tue, 30 Apr 2024 01:52:08 -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/2011/09?registers=between&min-day=1&max-day=30 Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25288.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25288.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25288 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25288.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Rules Relating to the Settlement Timing of Partial Transfers Which Include Mutual Fund Assets Through NSCC's Automated Customer Account Transfer Service https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25195.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25195.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25195 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25195.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To Reflect a Change to the Benchmark Index Applicable to the Russell Equity ETF https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25194.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25194.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25194 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25194.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change Requesting Permanent Approval of the Pilot Program Permitting NASDAQ OMX PHLX to Receive Inbound Routes by NOS https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25193.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25193.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25193 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25193.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed Interpretive Notice Concerning the Application of Rule G-17 to Municipal Advisors https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25192.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25192.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25192 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25192.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed Rule G-36, on Fiduciary Duty of Municipal Advisors, and a Proposed Interpretive Notice Concerning the Application of Proposed Rule G-36 to Municipal Advisors https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25191.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25191.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25191 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25191.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed New Rule A-11, on Municipal Advisor Assessments, and New Form A-11-Interim https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25190.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25190.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25190 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25190.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed New Rule G-42, on Political Contributions and Prohibitions on Municipal Advisory Activities; Proposed Amendments to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-37, on Political Contributions and Prohibitions on Municipal Securities Business; Proposed Form G-37/G-42 and Form G-37x/G-42x; and a Proposed Restatement of a Rule G-37 Interpretive Notice https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25189.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25189.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25189 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25189.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed Rule Change Consisting of Amendments to MSRB Rule G-20 (Gifts and Gratuities) and Related Amendments to MSRB Rule G-8 (Books and Records) and MSRB Rule G-9 (Preservation of Records), and To Clarify That Certain Interpretations by the Financial Industry Regulatory Authority and the National Association of Securities Dealers Would Be Applicable to Municipal Advisors https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25188.html https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25188.html Fri, 30 Sep 2011 00:00:00 -0700 2011-25188 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-30/pdf/2011-25188.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25077.html https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25077.html Thu, 29 Sep 2011 00:00:00 -0700 2011-25077 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25077.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25076.html https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25076.html Thu, 29 Sep 2011 00:00:00 -0700 2011-25076 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25076.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Incorporated; Notice of Proposed Rule To Simplify the $1 Strike Price Interval Program https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25075.html https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25075.html Thu, 29 Sep 2011 00:00:00 -0700 2011-25075 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25075.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving 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/2011/09/29/2011-25074.html https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25074.html Thu, 29 Sep 2011 00:00:00 -0700 2011-25074 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25074.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Amending Chapter V, Section 31 of the Rules of the Boston Options Exchange Group, LLC To Establish Facilitation and Solicitation Auction Mechanisms https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25073.html https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25073.html Thu, 29 Sep 2011 00:00:00 -0700 2011-25073 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25073.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Create an Exemption From Certain Reporting Obligations Under the Equity Trade Reporting Rules for Certain Alternative Trading Systems https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25072.html https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25072.html Thu, 29 Sep 2011 00:00:00 -0700 2011-25072 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25072.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change Regarding Streaming Quote Traders and Remote Streaming Quote Traders Entering Certain Option Day Limit Orders https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25071.html https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-25071.html Thu, 29 Sep 2011 00:00:00 -0700 2011-25071 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-25071.pdf Rule - Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-24964.html https://regulations.justia.com/regulations/fedreg/2011/09/29/2011-24964.html Thu, 29 Sep 2011 00:00:00 -0700 2011-24964 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-29/pdf/2011-24964.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24965.html https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24965.html Wed, 28 Sep 2011 00:00:00 -0700 2011-24965 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24965.pdf Notice - DFA Investment Dimensions Group Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24920.html https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24920.html Wed, 28 Sep 2011 00:00:00 -0700 2011-24920 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24920.pdf Notice - Fifth Third Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24919.html https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24919.html Wed, 28 Sep 2011 00:00:00 -0700 2011-24919 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24919.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule to Simplify the $1 Strike Price Interval Program https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24918.html https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24918.html Wed, 28 Sep 2011 00:00:00 -0700 2011-24918 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24918.pdf Notice - The Singapore Fund, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24869.html https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24869.html Wed, 28 Sep 2011 00:00:00 -0700 2011-24869 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24869.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates To Add Liquidity https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24868.html https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24868.html Wed, 28 Sep 2011 00:00:00 -0700 2011-24868 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24868.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market-Maker Trade Prevention Order https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24867.html https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24867.html Wed, 28 Sep 2011 00:00:00 -0700 2011-24867 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24867.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market-Maker Trade Prevention Order https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24866.html https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24866.html Wed, 28 Sep 2011 00:00:00 -0700 2011-24866 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24866.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing of Proposed Rule Change To Accept Additional Credit Default Index Swaps for Clearing https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24864.html https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24864.html Wed, 28 Sep 2011 00:00:00 -0700 2011-24864 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24864.pdf Proposed Rule - Prohibition Against Conflicts of Interest in Certain Securitizations https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24404.html https://regulations.justia.com/regulations/fedreg/2011/09/28/2011-24404.html Wed, 28 Sep 2011 00:00:00 -0700 2011-24404 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-28/pdf/2011-24404.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Maximum Number of Quoters (“MNQ”) Permitted To Be Assigned in Equity Options https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24798.html https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24798.html Tue, 27 Sep 2011 00:00:00 -0700 2011-24798 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24798.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 17 Examination Program https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24734.html https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24734.html Tue, 27 Sep 2011 00:00:00 -0700 2011-24734 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24734.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 38 Examination Program https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24733.html https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24733.html Tue, 27 Sep 2011 00:00:00 -0700 2011-24733 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24733.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 37 Examination Program https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24732.html https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24732.html Tue, 27 Sep 2011 00:00:00 -0700 2011-24732 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24732.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Section 101 of the NYSE Amex Company Guide To Adopt Additional Listing Requirements for Companies Applying To List After Consummation of a “Reverse Merger” With a Shell Company https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24726.html https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24726.html Tue, 27 Sep 2011 00:00:00 -0700 2011-24726 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24726.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Sections 102.01 and 103.01 of the Exchange's Listed Company Manual To Adopt Additional Listing Requirements for Companies Applying To List After Consummation of a “Reverse Merger” With a Shell Company https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24723.html https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24723.html Tue, 27 Sep 2011 00:00:00 -0700 2011-24723 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24723.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 7 Examination Program https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24710.html https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24710.html Tue, 27 Sep 2011 00:00:00 -0700 2011-24710 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24710.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Exchange's Automated Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24674.html https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24674.html Tue, 27 Sep 2011 00:00:00 -0700 2011-24674 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24674.pdf Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Provide Specific Authority To Use an Auction Process as One of the Means To Liquidate a Defaulting Clearing Member's Accounts https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24673.html https://regulations.justia.com/regulations/fedreg/2011/09/27/2011-24673.html Tue, 27 Sep 2011 00:00:00 -0700 2011-24673 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-27/pdf/2011-24673.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Disapproving a Proposed Rule Change To Link Market Data Fees and Transaction Execution Fees https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24607.html https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24607.html Mon, 26 Sep 2011 00:00:00 -0700 2011-24607 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24607.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Exchange's Complex Order Execution Mechanisms https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24594.html https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24594.html Mon, 26 Sep 2011 00:00:00 -0700 2011-24594 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24594.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc., Order Granting Approval of Proposed Rule Change Relating to Rule 717 https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24593.html https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24593.html Mon, 26 Sep 2011 00:00:00 -0700 2011-24593 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24593.pdf Notice - Curian Series Trust and Curian Capital, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24590.html https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24590.html Mon, 26 Sep 2011 00:00:00 -0700 2011-24590 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24590.pdf Notice - ASGI Agility Income Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24589.html https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24589.html Mon, 26 Sep 2011 00:00:00 -0700 2011-24589 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24589.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Change the Status of Exchange-Registered Institutional Broker Firms https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24588.html https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24588.html Mon, 26 Sep 2011 00:00:00 -0700 2011-24588 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24588.pdf Notice - Stone Harbor Emerging Markets Income Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24587.html https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24587.html Mon, 26 Sep 2011 00:00:00 -0700 2011-24587 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24587.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc. https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24586.html https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24586.html Mon, 26 Sep 2011 00:00:00 -0700 2011-24586 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24586.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24585.html https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24585.html Mon, 26 Sep 2011 00:00:00 -0700 2011-24585 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24585.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc. https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24584.html https://regulations.justia.com/regulations/fedreg/2011/09/26/2011-24584.html Mon, 26 Sep 2011 00:00:00 -0700 2011-24584 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24584.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/09/22/2011-24434.html https://regulations.justia.com/regulations/fedreg/2011/09/22/2011-24434.html Thu, 22 Sep 2011 00:00:00 -0700 2011-24434 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-22/pdf/2011-24434.pdf Notice - Highland Capital Management, L.P., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/09/22/2011-24331.html https://regulations.justia.com/regulations/fedreg/2011/09/22/2011-24331.html Thu, 22 Sep 2011 00:00:00 -0700 2011-24331 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-22/pdf/2011-24331.pdf Notice - Legg Mason Partners Equity Trust, et al.; https://regulations.justia.com/regulations/fedreg/2011/09/22/2011-24330.html https://regulations.justia.com/regulations/fedreg/2011/09/22/2011-24330.html Thu, 22 Sep 2011 00:00:00 -0700 2011-24330 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-22/pdf/2011-24330.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Rule Change To Extend the Effective Date of the Amendment to the Continuing Disclosure Service of EMMA To Provide for the Posting of Credit Rating and Related Information on the EMMA Public Web Site https://regulations.justia.com/regulations/fedreg/2011/09/22/2011-24329.html https://regulations.justia.com/regulations/fedreg/2011/09/22/2011-24329.html Thu, 22 Sep 2011 00:00:00 -0700 2011-24329 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-22/pdf/2011-24329.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24328.html https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24328.html Wed, 21 Sep 2011 00:00:00 -0700 2011-24328 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-21/pdf/2011-24328.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24177.html https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24177.html Wed, 21 Sep 2011 00:00:00 -0700 2011-24177 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-21/pdf/2011-24177.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24176.html https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24176.html Wed, 21 Sep 2011 00:00:00 -0700 2011-24176 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-21/pdf/2011-24176.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of the Teucrium Wheat Fund, the Teucrium Soybean Fund and the Teucrium Sugar Fund Under NYSE Arca Equities Rule 8.200, Commentary .02 https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24175.html https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24175.html Wed, 21 Sep 2011 00:00:00 -0700 2011-24175 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-21/pdf/2011-24175.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retroactively Waive Its Order Cancellation Fee for the Period of September 1 to September 9, 2011 (Inclusive) https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24174.html https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24174.html Wed, 21 Sep 2011 00:00:00 -0700 2011-24174 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-21/pdf/2011-24174.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating to the Messages to Contracts Traded Ratio Fee in the Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24173.html https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24173.html Wed, 21 Sep 2011 00:00:00 -0700 2011-24173 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-21/pdf/2011-24173.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24212.html https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24212.html Tue, 20 Sep 2011 00:00:00 -0700 2011-24212 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-20/pdf/2011-24212.pdf Unknown - Facilitating Shareholder Director Nominations https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24118.html https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24118.html Tue, 20 Sep 2011 00:00:00 -0700 2011-24118 Unknown http://www.gpo.gov/fdsys/pkg/FR-2011-09-20/pdf/2011-24118.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX By-Laws https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24068.html https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24068.html Tue, 20 Sep 2011 00:00:00 -0700 2011-24068 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-20/pdf/2011-24068.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA By-Laws https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24067.html https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24067.html Tue, 20 Sep 2011 00:00:00 -0700 2011-24067 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-20/pdf/2011-24067.pdf Notice - Order Granting Temporary Exemption of Kroll Bond Rating Agency, Inc. From the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24028.html https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24028.html Tue, 20 Sep 2011 00:00:00 -0700 2011-24028 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-20/pdf/2011-24028.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Compliance Deadline for Qualification Pursuant to Rule 3.6A https://regulations.justia.com/regulations/fedreg/2011/09/19/C1-2011-22774.html https://regulations.justia.com/regulations/fedreg/2011/09/19/C1-2011-22774.html Mon, 19 Sep 2011 00:00:00 -0700 C1-2011-22774 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-19/pdf/C1-2011-22774.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for the Operations Professional Examination https://regulations.justia.com/regulations/fedreg/2011/09/19/C1-2011-22764.html https://regulations.justia.com/regulations/fedreg/2011/09/19/C1-2011-22764.html Mon, 19 Sep 2011 00:00:00 -0700 C1-2011-22764 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-19/pdf/C1-2011-22764.pdf Notice - Investment Managers Series Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23982.html https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23982.html Mon, 19 Sep 2011 00:00:00 -0700 2011-23982 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-19/pdf/2011-23982.pdf Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Adopt Fitness Standards for Directors, Clearing Members, and Others https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23976.html https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23976.html Mon, 19 Sep 2011 00:00:00 -0700 2011-23976 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-19/pdf/2011-23976.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23975.html https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23975.html Mon, 19 Sep 2011 00:00:00 -0700 2011-23975 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-19/pdf/2011-23975.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the BOX Fee Schedule With Respect to Credits and Fees for Transactions in the BOX Price Improvement Period https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23909.html https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23909.html Mon, 19 Sep 2011 00:00:00 -0700 2011-23909 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-19/pdf/2011-23909.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Fee Credits https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23908.html https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23908.html Mon, 19 Sep 2011 00:00:00 -0700 2011-23908 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-19/pdf/2011-23908.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the Clearing Trading Permit Holder Proprietary Transaction Fee Waiver for Orders in Multiply-Listed FLEX Options Classes https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23897.html https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23897.html Mon, 19 Sep 2011 00:00:00 -0700 2011-23897 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-19/pdf/2011-23897.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Additional Series and Maturities to Credit Default Index Swaps Available for Clearing https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23866.html https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23866.html Mon, 19 Sep 2011 00:00:00 -0700 2011-23866 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-19/pdf/2011-23866.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23918.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23918.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23918 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23918.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23802.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23802.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23802 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23802.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23793.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23793.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23793 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23793.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23792.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23792.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23792 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23792.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23774.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23774.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23774 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23774.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23772.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23772.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23772 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23772.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23771.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23771.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23771 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23771.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23735.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23735.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23735 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23735.pdf Rule - Privacy Act of 1974: Implementation and Amendment of Exemptions https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23732.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23732.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23732 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23732.pdf Notice - Advisory Committee on Small and Emerging Companies https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23731.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23731.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23731 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23731.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23726.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23726.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23726 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23726.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23725.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23725.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23725 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23725.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23722.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23722.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23722 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23722.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23721.html https://regulations.justia.com/regulations/fedreg/2011/09/16/2011-23721.html Fri, 16 Sep 2011 00:00:00 -0700 2011-23721 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-16/pdf/2011-23721.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Complex Orders https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23608.html https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23608.html Thu, 15 Sep 2011 00:00:00 -0700 2011-23608 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-15/pdf/2011-23608.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Order Approving a Proposed Rule Change to Amend Article 20, Rule 9 (Cancellation of Transactions) and Interpretation and Policy .01 Thereunder Regarding the Cancellation of the Stock Leg of Stock-Option Transactions Done on the Exchange https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23607.html https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23607.html Thu, 15 Sep 2011 00:00:00 -0700 2011-23607 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-15/pdf/2011-23607.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Bulk-Quoting Interface To All Users of BATS Options https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23606.html https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23606.html Thu, 15 Sep 2011 00:00:00 -0700 2011-23606 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-15/pdf/2011-23606.pdf Notice - Stone Harbor Investment Partners LP, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23604.html https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23604.html Thu, 15 Sep 2011 00:00:00 -0700 2011-23604 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-15/pdf/2011-23604.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Opening and Complex Order Price Check Parameter Features https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23603.html https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23603.html Thu, 15 Sep 2011 00:00:00 -0700 2011-23603 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-15/pdf/2011-23603.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Opening and Complex Order Price Check Parameter Features https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23602.html https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23602.html Thu, 15 Sep 2011 00:00:00 -0700 2011-23602 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-15/pdf/2011-23602.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Regarding the Submission by the Exchange of Clearing-Related Information for Trades Executed on the Exchange as Well as for Trades Executed Otherwise Than on the Exchange https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23597.html https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23597.html Thu, 15 Sep 2011 00:00:00 -0700 2011-23597 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-15/pdf/2011-23597.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc. https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23480.html https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23480.html Wed, 14 Sep 2011 00:00:00 -0700 2011-23480 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-14/pdf/2011-23480.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc. https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23478.html https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23478.html Wed, 14 Sep 2011 00:00:00 -0700 2011-23478 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-14/pdf/2011-23478.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23441.html https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23441.html Wed, 14 Sep 2011 00:00:00 -0700 2011-23441 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-14/pdf/2011-23441.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a New Market Data Feed https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23440.html https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23440.html Wed, 14 Sep 2011 00:00:00 -0700 2011-23440 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-14/pdf/2011-23440.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23386.html https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23386.html Wed, 14 Sep 2011 00:00:00 -0700 2011-23386 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-14/pdf/2011-23386.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23385.html https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23385.html Wed, 14 Sep 2011 00:00:00 -0700 2011-23385 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-14/pdf/2011-23385.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23384.html https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23384.html Wed, 14 Sep 2011 00:00:00 -0700 2011-23384 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-14/pdf/2011-23384.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Interpretive Notice Concerning the Application of Rule G-17 to Municipal Advisors https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23383.html https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23383.html Wed, 14 Sep 2011 00:00:00 -0700 2011-23383 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-14/pdf/2011-23383.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Relating to a New Daily Report Subscription for Security Position Reports https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23380.html https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23380.html Wed, 14 Sep 2011 00:00:00 -0700 2011-23380 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-14/pdf/2011-23380.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating to Fees for Trading Securities Listed on the Nasdaq Stock Market LLC Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23378.html https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23378.html Wed, 14 Sep 2011 00:00:00 -0700 2011-23378 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-14/pdf/2011-23378.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Amend FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23377.html https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23377.html Wed, 14 Sep 2011 00:00:00 -0700 2011-23377 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-14/pdf/2011-23377.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23376.html https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23376.html Wed, 14 Sep 2011 00:00:00 -0700 2011-23376 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-14/pdf/2011-23376.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23375.html https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23375.html Wed, 14 Sep 2011 00:00:00 -0700 2011-23375 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-14/pdf/2011-23375.pdf Notice - In the Matter of Amerex Group, Inc., AmeriChip International, Inc., Amish Naturals, Inc., Banker's Store Inc. (The), Champion Parts, Inc., and Gray Peaks, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/09/13/2011-23476.html https://regulations.justia.com/regulations/fedreg/2011/09/13/2011-23476.html Tue, 13 Sep 2011 00:00:00 -0700 2011-23476 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-13/pdf/2011-23476.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23319.html https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23319.html Mon, 12 Sep 2011 00:00:00 -0700 2011-23319 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-12/pdf/2011-23319.pdf Notice - Dialpoint Communications Corp., Pacel Corp., Quantum Group, Inc. (The), and Tradequest International, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23307.html https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23307.html Mon, 12 Sep 2011 00:00:00 -0700 2011-23307 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-12/pdf/2011-23307.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule G-36, on Fiduciary Duty of Municipal Advisors, and a Proposed Interpretive Notice Concerning the Application of Proposed Rule G-36 to Municipal Advisors https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23259.html https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23259.html Mon, 12 Sep 2011 00:00:00 -0700 2011-23259 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-12/pdf/2011-23259.pdf Proposed Rule - Retrospective Review of Existing Regulations https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23179.html https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23179.html Mon, 12 Sep 2011 00:00:00 -0700 2011-23179 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-12/pdf/2011-23179.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove its Tiered Schedule of Fees and Rebates and To Lower or Remove Certain Rebates https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23172.html https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23172.html Mon, 12 Sep 2011 00:00:00 -0700 2011-23172 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-12/pdf/2011-23172.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Cancellation Fee https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23171.html https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23171.html Mon, 12 Sep 2011 00:00:00 -0700 2011-23171 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-12/pdf/2011-23171.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change by BATS Exchange, Inc. To Adopt Rules Applicable to Auctions Conducted by the Exchange for Exchange-Listed Securities https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23170.html https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23170.html Mon, 12 Sep 2011 00:00:00 -0700 2011-23170 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-12/pdf/2011-23170.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 501.00 of the Listed Company Manual To Expand the Waiver Provision To Apply to Foreign Issuers https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23169.html https://regulations.justia.com/regulations/fedreg/2011/09/12/2011-23169.html Mon, 12 Sep 2011 00:00:00 -0700 2011-23169 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-12/pdf/2011-23169.pdf Notice - Astralis Ltd., Cavit Sciences, Inc., Crystal International Travel Group, Inc., and Tasker Products Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23233.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23233.html Fri, 09 Sep 2011 00:00:00 -0700 2011-23233 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-23233.pdf Notice - American Capital Partners Limited, Inc., American Educators Financial Corp. (n/k/a Asia Ventures Corp.), Austral Pacific Energy Ltd., Bidville, Inc. (n/k/a PrimEdge, Inc.), Bio-Warm Corp. (n/k/a PHI Gold Corp.), Black Rock Golf Corp. (a/k/a Aurus Corp.), Broadband Wireless International Corp., BSK & Tech, Inc., and Buffalo Gold Ltd.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23224.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23224.html Fri, 09 Sep 2011 00:00:00 -0700 2011-23224 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-23224.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clarifying Amendments to Direct Connectivity Services https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23114.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23114.html Fri, 09 Sep 2011 00:00:00 -0700 2011-23114 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-23114.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clarifying Amendment To Direct Connectivity Services https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23113.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23113.html Fri, 09 Sep 2011 00:00:00 -0700 2011-23113 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-23113.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clarifying Amendment To Direct Connectivity Services https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23112.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23112.html Fri, 09 Sep 2011 00:00:00 -0700 2011-23112 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-23112.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of Proposed Interpretive Notice Concerning the Application of MSRB Rule G-17, on Conduct of Municipal Securities and Municipal Advisory Activities, to Underwriters of Municipal Securities https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23103.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23103.html Fri, 09 Sep 2011 00:00:00 -0700 2011-23103 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-23103.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to the Quarterly Trading Requirements Applicable to Registered Options Traders https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23102.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23102.html Fri, 09 Sep 2011 00:00:00 -0700 2011-23102 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-23102.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Add Rules Related to the Clearing of Emerging Markets Sovereigns https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23073.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23073.html Fri, 09 Sep 2011 00:00:00 -0700 2011-23073 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-23073.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed New Rule G-42, on Political Contributions and Prohibitions on Municipal Advisory Activities; Proposed Amendments to Rules G-8, on Books and Records, G-9, on Preservation of Records, and G-37, on Political Contributions and Prohibitions on Municipal Securities Business; Proposed Form G-37/G-42 and Form G-37x/G-42x; and a Proposed Restatement of a Rule G-37 Interpretive Notice https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23046.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23046.html Fri, 09 Sep 2011 00:00:00 -0700 2011-23046 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-23046.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving Proposed Rule Change to Establish a Pilot Program To List and Trade a p.m.-Settled Cash-Settled S&P 500 Index Option Product https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23045.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23045.html Fri, 09 Sep 2011 00:00:00 -0700 2011-23045 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-23045.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Obsolete Language From the CBOE Stock Exchange Fees Schedule https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23036.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23036.html Fri, 09 Sep 2011 00:00:00 -0700 2011-23036 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-23036.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the United States Metals Index Fund, the United States Agriculture Index Fund and the United States Copper Index Fund Under NYSE Arca Equities Rule 8.200 https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23035.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23035.html Fri, 09 Sep 2011 00:00:00 -0700 2011-23035 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-23035.pdf Notice - 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 Market Center https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23034.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-23034.html Fri, 09 Sep 2011 00:00:00 -0700 2011-23034 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-23034.pdf Rule - Amendments To Include New Applicant Types on Form ID https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-22895.html https://regulations.justia.com/regulations/fedreg/2011/09/09/2011-22895.html Fri, 09 Sep 2011 00:00:00 -0700 2011-22895 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-09/pdf/2011-22895.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22901.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22901.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22901 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22901.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposal To Retire a Pilot Program and To Harmonize CBOE's Rules Regarding Listing Expirations With the Existing Rules of Other Exchanges https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22827.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22827.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22827 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22827.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Equities Price List for Co-Location Services To Correct Several Typographical Errors https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22782.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22782.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22782 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22782.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule for Co-Location Services To Correct Several Typographical Errors https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22781.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22781.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22781 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22781.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Equities Schedule of Fees and Services for Exchange Services (“Fee Schedule”) for Co-Location Services To Correct Several Typographical Errors https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22780.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22780.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22780 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22780.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List for Co-Location Services To Correct Several Typographical Errors https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22779.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22779.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22779 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22779.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule for Co-Location Services To Correct Several Typographical Errors https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22778.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22778.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22778 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22778.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for NASDAQ OMX PSX https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22777.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22777.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22777 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22777.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trading Halts https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22776.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22776.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22776 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22776.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Name of the BX Ouch BBO Feed to the BX MatchView Feed and To Modify Its Contents https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22775.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22775.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22775 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22775.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Compliance Deadline for Qualification Pursuant to Rule 3.6A https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22774.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22774.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22774 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22774.pdf Proposed Rule - Treatment of Asset-Backed Issuers Under the Investment Company Act https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22772.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22772.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22772 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22772.pdf Proposed Rule - Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22771.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22771.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22771 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22771.pdf Notice - Horizon Technology Finance Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22770.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22770.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22770 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22770.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Study Outline for the Operations Professional (“Series 99”) Examination Program https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22765.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22765.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22765 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22765.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for the Operations Professional Examination https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22764.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22764.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22764 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22764.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board Consisting of Amendments to MSRB Rule G-20 (Gifts and Gratuities) and Related Amendments to MSRB Rule G-8 (Books and Records) and MSRB Rule G-9 (Preservation of Records), and To Clarify That Certain Interpretations by the Financial Industry Regulatory Authority and the National Association of Securities Dealers Would Be Applicable to Municipal Advisors https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22726.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22726.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22726 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22726.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reversal and Conversion Strategies https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22725.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22725.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22725 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22725.pdf Rule - Use of Derivatives by Investment Companies Under the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22724.html https://regulations.justia.com/regulations/fedreg/2011/09/07/2011-22724.html Wed, 07 Sep 2011 00:00:00 -0700 2011-22724 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-07/pdf/2011-22724.pdf Notice - Order Making Fiscal Year 2012 Annual Adjustments to Registration Fee Rates https://regulations.justia.com/regulations/fedreg/2011/09/06/2011-22652.html https://regulations.justia.com/regulations/fedreg/2011/09/06/2011-22652.html Tue, 06 Sep 2011 00:00:00 -0700 2011-22652 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-06/pdf/2011-22652.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange https://regulations.justia.com/regulations/fedreg/2011/09/06/2011-22627.html https://regulations.justia.com/regulations/fedreg/2011/09/06/2011-22627.html Tue, 06 Sep 2011 00:00:00 -0700 2011-22627 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-06/pdf/2011-22627.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22581.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22581.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22581 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22581.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22580.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22580.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22580 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22580.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22579.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22579.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22579 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22579.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22578.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22578.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22578 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22578.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22576.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22576.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22576 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22576.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22575.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22575.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22575 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22575.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22574.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22574.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22574 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22574.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22573.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22573.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22573 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22573.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22572.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22572.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22572 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22572.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22571.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22571.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22571 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22571.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22570.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22570.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22570 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22570.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22569.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22569.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22569 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22569.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22568.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22568.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22568 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22568.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22536.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22536.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22536 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22536.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22535.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22535.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22535 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22535.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Amend the Rules Regarding the GCF Repo Service To Adopt Changes Recommended by the Tri-Party Repo Infrastructure Reform Task Force https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22490.html https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22490.html Fri, 02 Sep 2011 00:00:00 -0700 2011-22490 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-02/pdf/2011-22490.pdf Notice - Somerset International Group, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22534.html https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22534.html Thu, 01 Sep 2011 00:00:00 -0700 2011-22534 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-01/pdf/2011-22534.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Adding Commentary .01 to Rule 6.37B To Indicate That Market Makers Will Not Be Obligated To Quote in Adjusted Option Series and To Clarify an Existing Exception to the Quoting Obligations https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22442.html https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22442.html Thu, 01 Sep 2011 00:00:00 -0700 2011-22442 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-01/pdf/2011-22442.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Adding Commentary .01 to Rule 925.1NY To Indicate That Market Makers Will Not Be Obligated To Quote in Adjusted Option Series and To Clarify an Existing Exception to the Quoting Obligations https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22440.html https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22440.html Thu, 01 Sep 2011 00:00:00 -0700 2011-22440 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-01/pdf/2011-22440.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22366.html https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22366.html Thu, 01 Sep 2011 00:00:00 -0700 2011-22366 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-01/pdf/2011-22366.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22364.html https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22364.html Thu, 01 Sep 2011 00:00:00 -0700 2011-22364 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-01/pdf/2011-22364.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Change the Name of the PSX Ouch BBO Feed to the PSX MatchView Feed and To Modify Its Contents https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22363.html https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22363.html Thu, 01 Sep 2011 00:00:00 -0700 2011-22363 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-09-01/pdf/2011-22363.pdf Rule - Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22257.html https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22257.html Thu, 01 Sep 2011 00:00:00 -0700 2011-22257 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-09-01/pdf/2011-22257.pdf