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

Results 151 - 171 of 171
Proposed Collection; Comment Request
Document Number: 2011-22579
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22579.html
Proposed Collection; Comment Request
Document Number: 2011-22578
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22578.html
Proposed Collection; Comment Request
Document Number: 2011-22576
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22576.html
Proposed Collection; Comment Request
Document Number: 2011-22575
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22575.html
Proposed Collection; Comment Request
Document Number: 2011-22574
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22574.html
Proposed Collection; Comment Request
Document Number: 2011-22573
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22573.html
Proposed Collection; Comment Request
Document Number: 2011-22572
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22572.html
Proposed Collection; Comment Request
Document Number: 2011-22571
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22571.html
Proposed Collection; Comment Request
Document Number: 2011-22570
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22570.html
Proposed Collection; Comment Request
Document Number: 2011-22569
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22569.html
Proposed Collection; Comment Request
Document Number: 2011-22568
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22568.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2011-22536
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On March 30, 2011, applicant made a final liquidating distribution to its shareholders, based on net asset value. Expenses of $21,000 incurred in connection with the liquidation were paid by applicant. Filing Dates: The application was filed on June 24, 2011 and amended on August 5, 2011. Applicant's Address: c/o UBS Alternative and Quantitative Investments LLC, 677 Washington Blvd., Stamford, CT 06901.
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22536.html
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
Document Number: 2011-22535
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22535.html
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
Document Number: 2011-22490
Type: Notice
Date: 2011-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/02/2011-22490.html
Somerset International Group, Inc.; Order of Suspension of Trading
Document Number: 2011-22534
Type: Notice
Date: 2011-09-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22534.html
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
Document Number: 2011-22442
Type: Notice
Date: 2011-09-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22442.html
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
Document Number: 2011-22440
Type: Notice
Date: 2011-09-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22440.html
Submission for OMB Review; Comment Request
Document Number: 2011-22366
Type: Notice
Date: 2011-09-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22366.html
Proposed Collection; Comment Request
Document Number: 2011-22364
Type: Notice
Date: 2011-09-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22364.html
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
Document Number: 2011-22363
Type: Notice
Date: 2011-09-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22363.html
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Document Number: 2011-22257
Type: Rule
Date: 2011-09-01
Agency: Securities and Exchange Commission, Agencies and Commissions
We are making a technical correction to Rule 15Ga-1 adopted in Release No. 33-9175 (January 20, 2011), which was published in the Federal Register on January 26, 2011. The document contained an incorrect paragraph reference in an instruction to Rule 15Ga-1. This correction is being published to correct the paragraph reference.
https://regulations.justia.com/regulations/fedreg/2011/09/01/2011-22257.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.