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

Sunshine Act Meeting

Document Number: 2011-24328

Type: Notice

Date: 2011-09-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24328.html

Submission for OMB Review; Comment Request

Document Number: 2011-24177

Type: Notice

Date: 2011-09-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24177.html

Submission for OMB Review; Comment Request

Document Number: 2011-24176

Type: Notice

Date: 2011-09-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24176.html

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

Document Number: 2011-24175

Type: Notice

Date: 2011-09-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24175.html

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)

Document Number: 2011-24174

Type: Notice

Date: 2011-09-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24174.html

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

Document Number: 2011-24173

Type: Notice

Date: 2011-09-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/21/2011-24173.html

Sunshine Act Meeting

Document Number: 2011-24212

Type: Notice

Date: 2011-09-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24212.html

Facilitating Shareholder Director Nominations

Document Number: 2011-24118

Type: Unknown

Date: 2011-09-20

Agency: Securities and Exchange Commission, Agencies and Commissions

This release provides notice of the effective date of the amendment to Exchange Act Rule 14a-8, the shareholder proposal rule, which will require companies to include in their proxy materials, under certain circumstances, shareholder proposals that seek to establish a procedure in the company's governing documents for the inclusion of one or more shareholder director nominees in the company's proxy materials. This release also provides notice of the effective date of related rule changes adopted concurrently with the amendment to Rule 14a-8.

https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24118.html

Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX By-Laws

Document Number: 2011-24068

Type: Notice

Date: 2011-09-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24068.html

Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA By-Laws

Document Number: 2011-24067

Type: Notice

Date: 2011-09-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24067.html

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

Document Number: 2011-24028

Type: Notice

Date: 2011-09-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/20/2011-24028.html

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

Document Number: C1-2011-22774

Type: Notice

Date: 2011-09-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/19/C1-2011-22774.html

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

Document Number: C1-2011-22764

Type: Notice

Date: 2011-09-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/19/C1-2011-22764.html

Investment Managers Series Trust, et al.; Notice of Application

Document Number: 2011-23982

Type: Notice

Date: 2011-09-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23982.html

Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Adopt Fitness Standards for Directors, Clearing Members, and Others

Document Number: 2011-23976

Type: Notice

Date: 2011-09-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23976.html

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule

Document Number: 2011-23975

Type: Notice

Date: 2011-09-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23975.html

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

Document Number: 2011-23909

Type: Notice

Date: 2011-09-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23909.html

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Fee Credits

Document Number: 2011-23908

Type: Notice

Date: 2011-09-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23908.html

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

Document Number: 2011-23897

Type: Notice

Date: 2011-09-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23897.html

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

Document Number: 2011-23866

Type: Notice

Date: 2011-09-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/19/2011-23866.html

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

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

Document Number: 2011-23608

Type: Notice

Date: 2011-09-15

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23608.html

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

Document Number: 2011-23607

Type: Notice

Date: 2011-09-15

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23607.html

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

Document Number: 2011-23606

Type: Notice

Date: 2011-09-15

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23606.html

Stone Harbor Investment Partners LP, et al.; Notice of Application

Document Number: 2011-23604

Type: Notice

Date: 2011-09-15

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23604.html

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

Document Number: 2011-23603

Type: Notice

Date: 2011-09-15

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23603.html

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

Document Number: 2011-23602

Type: Notice

Date: 2011-09-15

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23602.html

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

Document Number: 2011-23597

Type: Notice

Date: 2011-09-15

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/15/2011-23597.html

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.

Document Number: 2011-23480

Type: Notice

Date: 2011-09-14

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23480.html

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.

Document Number: 2011-23478

Type: Notice

Date: 2011-09-14

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23478.html

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

Document Number: 2011-23441

Type: Notice

Date: 2011-09-14

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23441.html

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a New Market Data Feed

Document Number: 2011-23440

Type: Notice

Date: 2011-09-14

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23440.html

Submission for OMB Review; Comment Request

Document Number: 2011-23386

Type: Notice

Date: 2011-09-14

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23386.html

Proposed Collection; Comment Request

Document Number: 2011-23385

Type: Notice

Date: 2011-09-14

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23385.html

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule

Document Number: 2011-23384

Type: Notice

Date: 2011-09-14

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23384.html

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Interpretive Notice Concerning the Application of Rule G-17 to Municipal Advisors

Document Number: 2011-23383

Type: Notice

Date: 2011-09-14

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23383.html

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

Document Number: 2011-23380

Type: Notice

Date: 2011-09-14

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2011/09/14/2011-23380.html