Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/10/06?limit=200&registers=between&mode=atom 2024-11-27T04:22:35-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25861.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Amend Certain Trade Reporting and Compliance Rules 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25861 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25861.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25830.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of the WisdomTree Dreyfus Australia & New Zealand Debt Fund Under NYSE Arca Equities Rule 8.600 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25830 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25830.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25829.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending NYSE Amex Equities Rule 17(c)(2)(B) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the NYSE Amex Equities Rule 17(c)(2)(A)(ii) to More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25829 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25829.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25828.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Amending NYSE Arca Options Rule 6.96(b)(2) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Arca Options Rule 6.96(b)(1)(B) to More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25828 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25828.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25827.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc; Order Approving a Proposed Rule Change Amending NYSE Arca Equities Rule 7.45(c)(2) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Arca Equities Rule 7.45(c)(1)(B) to More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25827 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25827.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25826.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Inactivity Fee on the CBOE Stock Exchange Fees Schedule 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25826 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25826.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25825.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Amending NYSE Rule 17(c)(2)(B) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Rule 17(c)(2)(A)(ii) to More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25825 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25825.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25823.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend C2 Rule 8.2 Concerning the Market-Maker Registration Cost for SPXPM 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25823 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25823.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25822.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending NYSE Amex Options Rule 993NY(b)(2) To Make Permanent the Pilot Program that Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Amex Options Rule 993NY(b)(1)(B) to More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25822 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25822.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25821.html Notice - Approval of Filing Fees for Exempt Reporting Advisers and Private Fund Advisers 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25821 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25821.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25795.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain References to the Exchange Acting as the Designated Examining Authority 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25795 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25795.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25794.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide an Optional Functionality for a BOX Options Participant To Prevent Its Market Maker or Proprietary Broker-Dealer Orders Entered in BOX From Trading With Quotes/Orders Originating From the Same BOX Participant and Were Resting on the BOX Book 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25794 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25794.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25793.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule To Increase the Number of Series Permitted per Class in the Short Term Option Series Program 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25793 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25793.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25792.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend BYX Rule 13.3 To Prohibit Members From Voting Uninstructed Shares on Certain Matters and To Align BYX Rule 13.3, Concerning the Forwarding of Proxy and Other Material and Proxy Voting, With the Rules of Other Self-Regulatory Organizations 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25792 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25792.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25790.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend BATS Rule 13.3 To Prohibit Members From Voting Uninstructed Shares on Certain Matters and To Align BATS Rule 13.3, Concerning the Forwarding of Proxy and Other Material and Proxy Voting, With the Rules of Other Self-Regulatory Organizations 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25790 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25790.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25789.html Notice - Submission for OMB Review; Comment Request 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25789 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25789.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25788.html Notice - Submission for OMB Review; Comment Request 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25788 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25788.pdf https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25787.html Notice - Submission for OMB Review; Comment Request 2011-10-06T00:00:00-07:00 2011-10-06T00:00:00-07:00 2011-25787 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-06/pdf/2011-25787.pdf