Securities and Exchange Commission October 14, 2011 – Federal Register Recent Federal Regulation Documents

Results 1 - 13 of 13
Sunshine Act Meeting
Document Number: 2011-26797
Type: Notice
Date: 2011-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26797.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Certain Orders Executed on the Exchange
Document Number: 2011-26535
Type: Notice
Date: 2011-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26535.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Insert the Specific Conclusion Date of a Newly Approved Pilot Program
Document Number: 2011-26534
Type: Notice
Date: 2011-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26534.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule
Document Number: 2011-26533
Type: Notice
Date: 2011-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26533.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule
Document Number: 2011-26531
Type: Notice
Date: 2011-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26531.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule
Document Number: 2011-26530
Type: Notice
Date: 2011-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26530.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Inbound Router, as Described in Rule 2.12
Document Number: 2011-26529
Type: Notice
Date: 2011-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26529.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing from an Affiliated Exchange
Document Number: 2011-26528
Type: Notice
Date: 2011-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26528.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Inbound Router, as described in Rule 2.12
Document Number: 2011-26527
Type: Notice
Date: 2011-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26527.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook; Correction
Document Number: 2011-26526
Type: Notice
Date: 2011-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission published in the Federal Register of August 2, 2011 a Notice of Filing of Amendment No. 1 to Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook (``Notice''). The Notice contained incorrect information regarding the timing for Commission action.
https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26526.html
NGP Capital Resources Company, et al.;
Document Number: 2011-26525
Type: Notice
Date: 2011-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit a business development company (``BDC'') to co-invest with certain affiliates in portfolio companies. Applicants: NGP Capital Resources Company (the ``Company''), NGP Co-Investment Opportunity Fund, LP (``NGPC'') and NGP Investment Advisor, L.P. (the ``Adviser'').
https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26525.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 975NY (Obvious and Catastrophic Errors)
Document Number: 2011-26512
Type: Notice
Date: 2011-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26512.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.87 (Obvious and Catastrophic Errors)
Document Number: 2011-26511
Type: Notice
Date: 2011-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26511.html
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