Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-04-26T10:54:45-07:00 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/2011/10/31/2011-28312.html Notice - Sunshine Act Meeting 2011-10-31T00:00:00-07:00 2011-10-31T00:00:00-07:00 2011-28312 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-31/pdf/2011-28312.pdf https://regulations.justia.com/regulations/fedreg/2011/10/31/2011-28294.html Notice - Sunshine Act Meeting 2011-10-31T00:00:00-07:00 2011-10-31T00:00:00-07:00 2011-28294 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-31/pdf/2011-28294.pdf https://regulations.justia.com/regulations/fedreg/2011/10/31/2011-28226.html Notice - In the Matter of Accesspoint Corp., Aero Performance Products, Inc., Apex Resources Group, Inc., Aradyme Corp., Bancroft Uranium, Inc., Fightersoft Multimedia Corp., Fortress Financial Group, Inc., and Global Aircraft Solutions, Inc.; Order of Suspension of Trading 2011-10-31T00:00:00-07:00 2011-10-31T00:00:00-07:00 2011-28226 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-31/pdf/2011-28226.pdf https://regulations.justia.com/regulations/fedreg/2011/10/31/2011-28210.html Notice - Sunshine Act Meeting 2011-10-31T00:00:00-07:00 2011-10-31T00:00:00-07:00 2011-28210 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-31/pdf/2011-28210.pdf https://regulations.justia.com/regulations/fedreg/2011/10/31/2011-28061.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions 2011-10-31T00:00:00-07:00 2011-10-31T00:00:00-07:00 2011-28061 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-31/pdf/2011-28061.pdf https://regulations.justia.com/regulations/fedreg/2011/10/31/2011-28047.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change by BATS Exchange, Inc. To Adopt Rules Applicable to Auctions Conducted by the Exchange for Exchange-Listed Securities 2011-10-31T00:00:00-07:00 2011-10-31T00:00:00-07:00 2011-28047 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-31/pdf/2011-28047.pdf https://regulations.justia.com/regulations/fedreg/2011/10/31/2011-28046.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Submission of Clearing-Related Information for Trades Executed Otherwise Than on the Exchange 2011-10-31T00:00:00-07:00 2011-10-31T00:00:00-07:00 2011-28046 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-31/pdf/2011-28046.pdf https://regulations.justia.com/regulations/fedreg/2011/10/31/2011-27994.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Description of the Nasdaq Daily Share Volume Service 2011-10-31T00:00:00-07:00 2011-10-31T00:00:00-07:00 2011-27994 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-31/pdf/2011-27994.pdf https://regulations.justia.com/regulations/fedreg/2011/10/28/2011-27936.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Amend the By-Laws of The NASDAQ OMX Group, Inc. 2011-10-28T00:00:00-07:00 2011-10-28T00:00:00-07:00 2011-27936 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-28/pdf/2011-27936.pdf https://regulations.justia.com/regulations/fedreg/2011/10/28/2011-27935.html Notice - Order Approving Filing Fees for Exempt Reporting Advisers and Private Fund Advisers 2011-10-28T00:00:00-07:00 2011-10-28T00:00:00-07:00 2011-27935 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-28/pdf/2011-27935.pdf https://regulations.justia.com/regulations/fedreg/2011/10/28/2011-27900.html Notice - Investment Advisers Act of 1940; In the Matter of Creative Investment Research, Inc., 1050 17th Street, NW., Suite 1000, Washington, DC 20036; Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940 2011-10-28T00:00:00-07:00 2011-10-28T00:00:00-07:00 2011-27900 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-28/pdf/2011-27900.pdf https://regulations.justia.com/regulations/fedreg/2011/10/28/2011-27899.html Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. 2011-10-28T00:00:00-07:00 2011-10-28T00:00:00-07:00 2011-27899 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-28/pdf/2011-27899.pdf https://regulations.justia.com/regulations/fedreg/2011/10/28/2011-27898.html Notice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. 2011-10-28T00:00:00-07:00 2011-10-28T00:00:00-07:00 2011-27898 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-28/pdf/2011-27898.pdf https://regulations.justia.com/regulations/fedreg/2011/10/28/2011-27897.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules To Reflect the Change in Regulatory Status of Eris Exchange, LLC From an EBOT to a DCM 2011-10-28T00:00:00-07:00 2011-10-28T00:00:00-07:00 2011-27897 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-28/pdf/2011-27897.pdf https://regulations.justia.com/regulations/fedreg/2011/10/28/2011-27895.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to Amending the By-Laws of The NASDAQ OMX Group, Inc. 2011-10-28T00:00:00-07:00 2011-10-28T00:00:00-07:00 2011-27895 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-28/pdf/2011-27895.pdf https://regulations.justia.com/regulations/fedreg/2011/10/28/2011-27888.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Introduce the Minimum Life Order as a New Order Type 2011-10-28T00:00:00-07:00 2011-10-28T00:00:00-07:00 2011-27888 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-28/pdf/2011-27888.pdf https://regulations.justia.com/regulations/fedreg/2011/10/28/2011-27887.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. 2011-10-28T00:00:00-07:00 2011-10-28T00:00:00-07:00 2011-27887 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-28/pdf/2011-27887.pdf https://regulations.justia.com/regulations/fedreg/2011/10/26/2011-27698.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a 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 2011-10-26T00:00:00-07:00 2011-10-26T00:00:00-07:00 2011-27698 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-26/pdf/2011-27698.pdf https://regulations.justia.com/regulations/fedreg/2011/10/26/2011-27697.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend FINRA Rule 0160 (Definitions in FINRA By-Laws) 2011-10-26T00:00:00-07:00 2011-10-26T00:00:00-07:00 2011-27697 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-26/pdf/2011-27697.pdf https://regulations.justia.com/regulations/fedreg/2011/10/26/2011-27696.html Notice - Inaugural Roundtable of the Financial Reporting Series Entitled “Uncertainty in Financial Statements: How Much To Recognize and How Best To Communicate It” 2011-10-26T00:00:00-07:00 2011-10-26T00:00:00-07:00

2011-27696 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-26/pdf/2011-27696.pdf https://regulations.justia.com/regulations/fedreg/2011/10/25/2011-27750.html Notice - Sunshine Act Meeting 2011-10-25T00:00:00-07:00 2011-10-25T00:00:00-07:00 2011-27750 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-25/pdf/2011-27750.pdf https://regulations.justia.com/regulations/fedreg/2011/10/25/2011-27531.html Notice - RiverPark Advisors, LLC, et al.; Notice of Application 2011-10-25T00:00:00-07:00 2011-10-25T00:00:00-07:00 2011-27531 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-25/pdf/2011-27531.pdf https://regulations.justia.com/regulations/fedreg/2011/10/25/2011-27521.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retire a Pilot Program and Harmonize the Exchange's Rules Regarding Listing Expirations With the Existing Rules of Other Exchanges 2011-10-25T00:00:00-07:00 2011-10-25T00:00:00-07:00 2011-27521 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-25/pdf/2011-27521.pdf https://regulations.justia.com/regulations/fedreg/2011/10/25/2011-27520.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retire a Pilot Program and Harmonize the Exchange's rules Regarding Listing Expirations with the Existing Rules of Other Exchanges 2011-10-25T00:00:00-07:00 2011-10-25T00:00:00-07:00 2011-27520 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-25/pdf/2011-27520.pdf https://regulations.justia.com/regulations/fedreg/2011/10/25/2011-27517.html Notice - In the Matter of NASDAQ OMX BX, Inc.: Order Denying NASDAQ OMX BX, Inc.'s Petition for Review of Division of Trading and Markets Suspension of and Institution of Proceedings by Delegated Authority of SR-BX-2011-046; Lifting the Automatic Stay; and Notice of Designation of a Longer Comment Period for the Proceedings 2011-10-25T00:00:00-07:00 2011-10-25T00:00:00-07:00 2011-27517 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-25/pdf/2011-27517.pdf https://regulations.justia.com/regulations/fedreg/2011/10/24/2011-27568.html Notice - ADS Media Group, Inc., American Enterprise Development Corp., and Arcland Energy Corp.; Order of Suspension of Trading 2011-10-24T00:00:00-07:00 2011-10-24T00:00:00-07:00 2011-27568 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-24/pdf/2011-27568.pdf https://regulations.justia.com/regulations/fedreg/2011/10/24/2011-27562.html Notice - Sunshine Act Meeting 2011-10-24T00:00:00-07:00 2011-10-24T00:00:00-07:00 2011-27562 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-24/pdf/2011-27562.pdf https://regulations.justia.com/regulations/fedreg/2011/10/24/2011-27518.html Notice - Sunshine Act Meeting 2011-10-24T00:00:00-07:00 2011-10-24T00:00:00-07:00 2011-27518 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-24/pdf/2011-27518.pdf https://regulations.justia.com/regulations/fedreg/2011/10/24/2011-27380.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Add Rules Related to the Clearing of Emerging Markets Sovereigns 2011-10-24T00:00:00-07:00 2011-10-24T00:00:00-07:00 2011-27380 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-24/pdf/2011-27380.pdf https://regulations.justia.com/regulations/fedreg/2011/10/24/2011-27379.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Establishment of a Direct Market Data Product, NASDAQ Options Trade Outline (“NOTO”) 2011-10-24T00:00:00-07:00 2011-10-24T00:00:00-07:00 2011-27379 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-24/pdf/2011-27379.pdf https://regulations.justia.com/regulations/fedreg/2011/10/24/2011-27378.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Tether Monthly Service Fee 2011-10-24T00:00:00-07:00 2011-10-24T00:00:00-07:00 2011-27378 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-24/pdf/2011-27378.pdf https://regulations.justia.com/regulations/fedreg/2011/10/24/2011-27328.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt New FINRA Rule 5123 (Private Placements of Securities) 2011-10-24T00:00:00-07:00 2011-10-24T00:00:00-07:00 2011-27328 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-24/pdf/2011-27328.pdf https://regulations.justia.com/regulations/fedreg/2011/10/24/2011-26889.html Proposed Rule - Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 2011-10-24T00:00:00-07:00 2011-10-24T00:00:00-07:00

2011-26889 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-10-24/pdf/2011-26889.pdf https://regulations.justia.com/regulations/fedreg/2011/10/21/2011-27305.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Volume Threshold for Tier-Based Rebates for Qualified Contingent Cross Orders and Solicitation Orders Executed on the Exchange 2011-10-21T00:00:00-07:00 2011-10-21T00:00:00-07:00 2011-27305 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-21/pdf/2011-27305.pdf https://regulations.justia.com/regulations/fedreg/2011/10/21/2011-27277.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and Interpretive Material (“IM”) 2320 as FINRA Rule 5310 in the Consolidated Rulebook 2011-10-21T00:00:00-07:00 2011-10-21T00:00:00-07:00 2011-27277 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-21/pdf/2011-27277.pdf https://regulations.justia.com/regulations/fedreg/2011/10/21/2011-27262.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional) 2011-10-21T00:00:00-07:00 2011-10-21T00:00:00-07:00 2011-27262 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-21/pdf/2011-27262.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27201.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Its Rules Relating to Interest Rate Swaps Clearing 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27201 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27201.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27200.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To the RSQT Fee 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27200 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27200.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27199.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To the Permit Fee and the Inactive Nominee Fee 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27199 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27199.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27197.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27197 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27197.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27195.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, Deutsche Börse AG, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27195 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27195.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27194.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, Deutsche Börse AG, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27194 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27194.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27193.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, Deutsche Börse AG, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27193 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27193.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27192.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27192 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27192.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27190.html Notice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of Alpha Beta Netherlands Holding N.V. 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27190 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27190.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27137.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Adding Commentary .01 to Rule 6.37B Concerning Market Maker Continuous Quoting Obligations and Adjusted Option Series 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27137 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27137.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27136.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Interpretation of Rule 4120(a)(11) 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27136 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27136.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27135.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27135 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27135.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27134.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change Adding Commentary .01 to Rule 925.1NY Concerning Market Maker Continuous Quoting Obligations and Adjusted Option Series 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27134 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27134.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27133.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Accept Inbound Orders Routed From Its Affiliates 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27133 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27133.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27132.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded “To Be Announced” 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27132 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27132.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27098.html Notice - Proposed Collection; Comment Request 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27098 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27098.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27097.html Notice - Proposed Collection; Comment Request 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27097 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27097.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27096.html Notice - Proposed Collection; Comment Request 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27096 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27096.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27095.html Notice - Proposed Collection; Comment Request 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27095 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27095.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27094.html Notice - Proposed Collection; Comment Request 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27094 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27094.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27093.html Notice - Proposed Collection; Comment Request 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27093 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27093.pdf https://regulations.justia.com/regulations/fedreg/2011/10/20/2011-27092.html Notice - Proposed Collection; Comment Request 2011-10-20T00:00:00-07:00 2011-10-20T00:00:00-07:00 2011-27092 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-20/pdf/2011-27092.pdf https://regulations.justia.com/regulations/fedreg/2011/10/19/2011-26994.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Period for Receiving Orders Routed From The NASDAQ Stock Market LLC Into NASDAQ OMX PSX 2011-10-19T00:00:00-07:00 2011-10-19T00:00:00-07:00 2011-26994 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-19/pdf/2011-26994.pdf https://regulations.justia.com/regulations/fedreg/2011/10/19/2011-26993.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the NASDAQ OMX PSX Facility To Accept Inbound Orders Routed From the NASDAQ OMX BX Equities Market of NASDAQ OMX BX, Inc. 2011-10-19T00:00:00-07:00 2011-10-19T00:00:00-07:00 2011-26993 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-19/pdf/2011-26993.pdf https://regulations.justia.com/regulations/fedreg/2011/10/19/2011-26992.html Notice - 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 2011-10-19T00:00:00-07:00 2011-10-19T00:00:00-07:00 2011-26992 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-19/pdf/2011-26992.pdf https://regulations.justia.com/regulations/fedreg/2011/10/19/2011-26991.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Amendments to the NYSE Amex Options Fee Schedule Relating to Electronic Complex Orders 2011-10-19T00:00:00-07:00 2011-10-19T00:00:00-07:00 2011-26991 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-19/pdf/2011-26991.pdf https://regulations.justia.com/regulations/fedreg/2011/10/19/2011-26990.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Complex Orders 2011-10-19T00:00:00-07:00 2011-10-19T00:00:00-07:00 2011-26990 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-19/pdf/2011-26990.pdf https://regulations.justia.com/regulations/fedreg/2011/10/18/C1-2011-24868.html 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 2011-10-18T00:00:00-07:00 2011-10-18T00:00:00-07:00 C1-2011-24868 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-18/pdf/C1-2011-24868.pdf https://regulations.justia.com/regulations/fedreg/2011/10/18/C1-2011-24866.html 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 2011-10-18T00:00:00-07:00 2011-10-18T00:00:00-07:00 C1-2011-24866 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-18/pdf/C1-2011-24866.pdf https://regulations.justia.com/regulations/fedreg/2011/10/18/C1-2011-24710.html 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 2011-10-18T00:00:00-07:00 2011-10-18T00:00:00-07:00 C1-2011-24710 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-18/pdf/C1-2011-24710.pdf https://regulations.justia.com/regulations/fedreg/2011/10/18/C1-2011-24590.html Notice - Curian Series Trust and Curian Capital, LLC; Notice of Application 2011-10-18T00:00:00-07:00 2011-10-18T00:00:00-07:00 C1-2011-24590 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-18/pdf/C1-2011-24590.pdf https://regulations.justia.com/regulations/fedreg/2011/10/18/2011-26920.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Minimum Quantity Order 2011-10-18T00:00:00-07:00 2011-10-18T00:00:00-07:00 2011-26920 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-18/pdf/2011-26920.pdf https://regulations.justia.com/regulations/fedreg/2011/10/18/2011-26888.html Notice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Corrections to the Schedule of Timeframes, GCF Schedule of Timeframes, and Fee Structure in the GSD Rules 2011-10-18T00:00:00-07:00 2011-10-18T00:00:00-07:00 2011-26888 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-18/pdf/2011-26888.pdf https://regulations.justia.com/regulations/fedreg/2011/10/18/2011-26859.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amendments to the EDGA Exchange, Inc. Fee Schedule 2011-10-18T00:00:00-07:00 2011-10-18T00:00:00-07:00 2011-26859 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-18/pdf/2011-26859.pdf https://regulations.justia.com/regulations/fedreg/2011/10/18/2011-26858.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System (“OATS”) Rules, and Making Certain Conforming Changes 2011-10-18T00:00:00-07:00 2011-10-18T00:00:00-07:00 2011-26858 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-18/pdf/2011-26858.pdf https://regulations.justia.com/regulations/fedreg/2011/10/18/2011-26857.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule 2011-10-18T00:00:00-07:00 2011-10-18T00:00:00-07:00 2011-26857 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-18/pdf/2011-26857.pdf https://regulations.justia.com/regulations/fedreg/2011/10/18/2011-26856.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Minimum Quantity Order 2011-10-18T00:00:00-07:00 2011-10-18T00:00:00-07:00 2011-26856 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-18/pdf/2011-26856.pdf https://regulations.justia.com/regulations/fedreg/2011/10/18/2011-26855.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule 2011-10-18T00:00:00-07:00 2011-10-18T00:00:00-07:00 2011-26855 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-18/pdf/2011-26855.pdf https://regulations.justia.com/regulations/fedreg/2011/10/18/2011-26854.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Minimum Quantity Order 2011-10-18T00:00:00-07:00 2011-10-18T00:00:00-07:00 2011-26854 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-18/pdf/2011-26854.pdf https://regulations.justia.com/regulations/fedreg/2011/10/18/2011-26853.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Competitive Market Maker Trading Rights 2011-10-18T00:00:00-07:00 2011-10-18T00:00:00-07:00 2011-26853 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-18/pdf/2011-26853.pdf https://regulations.justia.com/regulations/fedreg/2011/10/17/2011-26921.html Notice - Sunshine Act Meeting 2011-10-17T00:00:00-07:00 2011-10-17T00:00:00-07:00 2011-26921 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-17/pdf/2011-26921.pdf https://regulations.justia.com/regulations/fedreg/2011/10/17/2011-26677.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options 2011-10-17T00:00:00-07:00 2011-10-17T00:00:00-07:00 2011-26677 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-17/pdf/2011-26677.pdf https://regulations.justia.com/regulations/fedreg/2011/10/17/2011-26676.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Expand the Short Term Option Program 2011-10-17T00:00:00-07:00 2011-10-17T00:00:00-07:00 2011-26676 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-17/pdf/2011-26676.pdf https://regulations.justia.com/regulations/fedreg/2011/10/17/2011-26675.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Regarding Expansion of the Short Term Option Series Program 2011-10-17T00:00:00-07:00 2011-10-17T00:00:00-07:00 2011-26675 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-17/pdf/2011-26675.pdf https://regulations.justia.com/regulations/fedreg/2011/10/17/2011-26674.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent the Pilot for NASDAQ Basic 2011-10-17T00:00:00-07:00 2011-10-17T00:00:00-07:00 2011-26674 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-17/pdf/2011-26674.pdf https://regulations.justia.com/regulations/fedreg/2011/10/17/2011-26673.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Re-Institute Fees for NASDAQ Basic and To Offer an Optional Nasdaq Basic Non-Professional Enterprise License Fee 2011-10-17T00:00:00-07:00 2011-10-17T00:00:00-07:00 2011-26673 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-17/pdf/2011-26673.pdf https://regulations.justia.com/regulations/fedreg/2011/10/17/2011-26672.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee for the NASDAQ MatchView Feed 2011-10-17T00:00:00-07:00 2011-10-17T00:00:00-07:00 2011-26672 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-17/pdf/2011-26672.pdf https://regulations.justia.com/regulations/fedreg/2011/10/17/2011-26671.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Amex Equities Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System (“OATS”) Rules, and Making Certain Conforming Changes 2011-10-17T00:00:00-07:00 2011-10-17T00:00:00-07:00 2011-26671 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-17/pdf/2011-26671.pdf https://regulations.justia.com/regulations/fedreg/2011/10/17/2011-26670.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System (“OATS”) Rules, and Making Certain Conforming Changes 2011-10-17T00:00:00-07:00 2011-10-17T00:00:00-07:00 2011-26670 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-17/pdf/2011-26670.pdf https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26797.html Notice - Sunshine Act Meeting 2011-10-14T00:00:00-07:00 2011-10-14T00:00:00-07:00 2011-26797 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-14/pdf/2011-26797.pdf https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26535.html Notice - 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 2011-10-14T00:00:00-07:00 2011-10-14T00:00:00-07:00 2011-26535 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-14/pdf/2011-26535.pdf https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26534.html Notice - 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 2011-10-14T00:00:00-07:00 2011-10-14T00:00:00-07:00 2011-26534 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-14/pdf/2011-26534.pdf https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26533.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule 2011-10-14T00:00:00-07:00 2011-10-14T00:00:00-07:00 2011-26533 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-14/pdf/2011-26533.pdf https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26531.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule 2011-10-14T00:00:00-07:00 2011-10-14T00:00:00-07:00 2011-26531 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-14/pdf/2011-26531.pdf https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26530.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule 2011-10-14T00:00:00-07:00 2011-10-14T00:00:00-07:00 2011-26530 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-14/pdf/2011-26530.pdf https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26529.html Notice - 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 2011-10-14T00:00:00-07:00 2011-10-14T00:00:00-07:00 2011-26529 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-14/pdf/2011-26529.pdf https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26528.html Notice - 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 2011-10-14T00:00:00-07:00 2011-10-14T00:00:00-07:00 2011-26528 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-14/pdf/2011-26528.pdf https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26527.html Notice - 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 2011-10-14T00:00:00-07:00 2011-10-14T00:00:00-07:00 2011-26527 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-14/pdf/2011-26527.pdf https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26526.html Notice - 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 2011-10-14T00:00:00-07:00 2011-10-14T00:00:00-07:00

2011-26526 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-14/pdf/2011-26526.pdf https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26525.html Notice - NGP Capital Resources Company, et al.; 2011-10-14T00:00:00-07:00 2011-10-14T00:00:00-07:00

2011-26525 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-14/pdf/2011-26525.pdf https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26512.html Notice - 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) 2011-10-14T00:00:00-07:00 2011-10-14T00:00:00-07:00 2011-26512 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-14/pdf/2011-26512.pdf https://regulations.justia.com/regulations/fedreg/2011/10/14/2011-26511.html Notice - 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) 2011-10-14T00:00:00-07:00 2011-10-14T00:00:00-07:00 2011-26511 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-14/pdf/2011-26511.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26441.html Notice - Advisory Committee on Small and Emerging Companies 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00

2011-26441 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26441.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26440.html Notice - Public Roundtable on Execution, Clearance and Settlement of Microcap Securities 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00

2011-26440 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26440.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26439.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retire a Pilot Program and To Harmonize ISE's Rules Regarding Listing Expirations With the Existing Rules of Other Exchanges 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00 2011-26439 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26439.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26438.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by International Securities Exchange, LLC to Expand the Short Term Options Series Program 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00 2011-26438 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26438.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26437.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Definition of Professional and Require That All Professional Orders Be Appropriately Marked 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00 2011-26437 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26437.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26436.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional Customer Fees 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00 2011-26436 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26436.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26431.html Proposed Rule - Roundtable on Issues Relating to Conflict Minerals 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00

2011-26431 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26431.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26385.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Revenue Sharing Program With Correlix and a Free Trial Period for New Users of the Correlix Service 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00 2011-26385 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26385.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26384.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Revenue Sharing Program With Correlix and a Free Trial Period for New Users of the Correlix Service 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00 2011-26384 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26384.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26383.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00 2011-26383 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26383.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26382.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00 2011-26382 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26382.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26381.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00 2011-26381 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26381.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26380.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule To Delete Erroneous Language With Respect to the SPX Tier Appointment 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00 2011-26380 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26380.pdf https://regulations.justia.com/regulations/fedreg/2011/10/13/2011-26378.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Customer Large Trade Discount 2011-10-13T00:00:00-07:00 2011-10-13T00:00:00-07:00 2011-26378 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-13/pdf/2011-26378.pdf https://regulations.justia.com/regulations/fedreg/2011/10/12/2011-26514.html Notice - Sunshine Act Meeting 2011-10-12T00:00:00-07:00 2011-10-12T00:00:00-07:00 2011-26514 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-12/pdf/2011-26514.pdf https://regulations.justia.com/regulations/fedreg/2011/10/12/2011-26513.html Notice - Sunshine Act Meeting 2011-10-12T00:00:00-07:00 2011-10-12T00:00:00-07:00 2011-26513 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-12/pdf/2011-26513.pdf https://regulations.justia.com/regulations/fedreg/2011/10/12/2011-26454.html Notice - China-Biotics, Inc.; Order of Suspension of Trading 2011-10-12T00:00:00-07:00 2011-10-12T00:00:00-07:00 2011-26454 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-12/pdf/2011-26454.pdf https://regulations.justia.com/regulations/fedreg/2011/10/12/2011-26435.html Notice - Sunshine Act Meeting 2011-10-12T00:00:00-07:00 2011-10-12T00:00:00-07:00 2011-26435 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-12/pdf/2011-26435.pdf https://regulations.justia.com/regulations/fedreg/2011/10/12/2011-26386.html Notice - Sunshine Act Meeting 2011-10-12T00:00:00-07:00 2011-10-12T00:00:00-07:00 2011-26386 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-12/pdf/2011-26386.pdf https://regulations.justia.com/regulations/fedreg/2011/10/12/2011-26271.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment To Add One Additional Series of Credit Default Index Swaps Available for Clearing 2011-10-12T00:00:00-07:00 2011-10-12T00:00:00-07:00 2011-26271 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-12/pdf/2011-26271.pdf https://regulations.justia.com/regulations/fedreg/2011/10/12/2011-26270.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale 2011-10-12T00:00:00-07:00 2011-10-12T00:00:00-07:00 2011-26270 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-12/pdf/2011-26270.pdf https://regulations.justia.com/regulations/fedreg/2011/10/11/2011-26159.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Relating to Relative Performance Indexes 2011-10-11T00:00:00-07:00 2011-10-11T00:00:00-07:00 2011-26159 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-11/pdf/2011-26159.pdf https://regulations.justia.com/regulations/fedreg/2011/10/11/2011-26140.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Relating to Clearing Options on the CBOE Silver Volatility Index 2011-10-11T00:00:00-07:00 2011-10-11T00:00:00-07:00 2011-26140 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-11/pdf/2011-26140.pdf https://regulations.justia.com/regulations/fedreg/2011/10/11/2011-26139.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees 2011-10-11T00:00:00-07:00 2011-10-11T00:00:00-07:00 2011-26139 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-11/pdf/2011-26139.pdf https://regulations.justia.com/regulations/fedreg/2011/10/11/2011-26138.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule ChangeRelating to PULSe Fees 2011-10-11T00:00:00-07:00 2011-10-11T00:00:00-07:00 2011-26138 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-11/pdf/2011-26138.pdf https://regulations.justia.com/regulations/fedreg/2011/10/11/2011-26137.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CBOE Stock Exchange Transaction Fees 2011-10-11T00:00:00-07:00 2011-10-11T00:00:00-07:00 2011-26137 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-11/pdf/2011-26137.pdf https://regulations.justia.com/regulations/fedreg/2011/10/11/2011-26136.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Eliminate Two Rules of the Mortgage-Backed Securities Division That FICC Believes Are No Longer Utilized or Necessary 2011-10-11T00:00:00-07:00 2011-10-11T00:00:00-07:00 2011-26136 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-11/pdf/2011-26136.pdf https://regulations.justia.com/regulations/fedreg/2011/10/11/2011-26135.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Managed Fund Shares of TrimTabs Float Shrink ETF Under NYSE Arca Equities Rule 8.600 2011-10-11T00:00:00-07:00 2011-10-11T00:00:00-07:00 2011-26135 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-11/pdf/2011-26135.pdf https://regulations.justia.com/regulations/fedreg/2011/10/11/2011-26134.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the SQT Fees 2011-10-11T00:00:00-07:00 2011-10-11T00:00:00-07:00 2011-26134 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-11/pdf/2011-26134.pdf https://regulations.justia.com/regulations/fedreg/2011/10/11/2011-26103.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. 2011-10-11T00:00:00-07:00 2011-10-11T00:00:00-07:00 2011-26103 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-11/pdf/2011-26103.pdf https://regulations.justia.com/regulations/fedreg/2011/10/11/2011-26102.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Applicable to Qualified Contingent Cross Orders in the Options Fee Schedule 2011-10-11T00:00:00-07:00 2011-10-11T00:00:00-07:00 2011-26102 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-11/pdf/2011-26102.pdf https://regulations.justia.com/regulations/fedreg/2011/10/11/2011-26101.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal of Proposed Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook 2011-10-11T00:00:00-07:00 2011-10-11T00:00:00-07:00 2011-26101 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-11/pdf/2011-26101.pdf https://regulations.justia.com/regulations/fedreg/2011/10/07/2011-25960.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the C2 Fees Schedule 2011-10-07T00:00:00-07:00 2011-10-07T00:00:00-07:00 2011-25960 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-07/pdf/2011-25960.pdf https://regulations.justia.com/regulations/fedreg/2011/10/07/2011-25959.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Functionality on the NASDAQ OMX BX Equities Market 2011-10-07T00:00:00-07:00 2011-10-07T00:00:00-07:00 2011-25959 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-07/pdf/2011-25959.pdf https://regulations.justia.com/regulations/fedreg/2011/10/07/2011-25958.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Functionality on NASDAQ OMX PSX 2011-10-07T00:00:00-07:00 2011-10-07T00:00:00-07:00 2011-25958 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-07/pdf/2011-25958.pdf https://regulations.justia.com/regulations/fedreg/2011/10/07/2011-25957.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Options Market Rules Chapter VII, Section 6, Market Maker Quotations 2011-10-07T00:00:00-07:00 2011-10-07T00:00:00-07:00 2011-25957 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-07/pdf/2011-25957.pdf https://regulations.justia.com/regulations/fedreg/2011/10/07/2011-25928.html Notice - Global X Funds, et al. 2011-10-07T00:00:00-07:00 2011-10-07T00:00:00-07:00

2011-25928 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-07/pdf/2011-25928.pdf https://regulations.justia.com/regulations/fedreg/2011/10/07/2011-25927.html Notice - Incapital LLC, et al. 2011-10-07T00:00:00-07:00 2011-10-07T00:00:00-07:00 2011-25927 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-07/pdf/2011-25927.pdf https://regulations.justia.com/regulations/fedreg/2011/10/07/2011-25926.html Notice - MFS Series Trust I, et al. 2011-10-07T00:00:00-07:00 2011-10-07T00:00:00-07:00 2011-25926 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-07/pdf/2011-25926.pdf https://regulations.justia.com/regulations/fedreg/2011/10/07/2011-25925.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2011-10-07T00:00:00-07:00 2011-10-07T00:00:00-07:00

2011-25925 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-07/pdf/2011-25925.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/10/05/2011-25678.html Notice - Destra Capital Investments LLC and Destra Unit Investment Trust; Notice of Application 2011-10-05T00:00:00-07:00 2011-10-05T00:00:00-07:00 2011-25678 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-05/pdf/2011-25678.pdf https://regulations.justia.com/regulations/fedreg/2011/10/05/2011-25677.html Notice - Principal Funds, Inc., et al.; 2011-10-05T00:00:00-07:00 2011-10-05T00:00:00-07:00 2011-25677 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-05/pdf/2011-25677.pdf https://regulations.justia.com/regulations/fedreg/2011/10/05/2011-25676.html Notice - Rule 19a-1 Extension; Proposed Collection; Comment Request 2011-10-05T00:00:00-07:00 2011-10-05T00:00:00-07:00 2011-25676 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-05/pdf/2011-25676.pdf https://regulations.justia.com/regulations/fedreg/2011/10/05/2011-25675.html Notice - Extension: Form N-17f-2; Proposed Collection; Comment Request 2011-10-05T00:00:00-07:00 2011-10-05T00:00:00-07:00 2011-25675 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-05/pdf/2011-25675.pdf https://regulations.justia.com/regulations/fedreg/2011/10/05/2011-25674.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks 2011-10-05T00:00:00-07:00 2011-10-05T00:00:00-07:00 2011-25674 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-05/pdf/2011-25674.pdf https://regulations.justia.com/regulations/fedreg/2011/10/05/2011-25572.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Two-Day Settlement on CBOE Stock Exchange 2011-10-05T00:00:00-07:00 2011-10-05T00:00:00-07:00 2011-25572 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-05/pdf/2011-25572.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25659.html Notice - Sunshine Act Meeting 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25659 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25659.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25529.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGX Rule 11.14 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25529 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25529.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25528.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change Related to Market-Wide Circuit Breakers 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25528 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25528.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25527.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25527 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25527.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25526.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Proposed Rule Change Related to Market-Wide Circuit Breakers 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25526 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25526.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25525.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Exchange Rule 80B To Revise the Current Methodology For Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25525 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25525.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25524.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing Proposed Rule Change To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due To Extraordinary Market Volatility 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25524 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25524.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25519.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.12 To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25519 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25519.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25518.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Modify the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25518 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25518.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25517.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Revise the Methodology for Determining When to Halt Trading Due to Extraordinary Market Volatility 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25517 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25517.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25515.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Trading Halts Due to Extraordinary Market Volatility 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25515 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25515.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25513.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 80B To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25513 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25513.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25512.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change by EDGA Exchange, Inc. To Amend EDGA Rule 11.14 To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25512 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25512.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25511.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25511 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25511.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25510.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Modify the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25510 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25510.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25509.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Revise the Methodology for Determining When to Halt Trading Due to Extraordinary Market Volatility 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25509 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25509.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25508.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Proposed Rule Change Related to Trading Halts Due to Extraordinary Market Volatility 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25508 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25508.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25505.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Regarding Simplification of the Exchange's $1 Strike Price Program 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25505 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25505.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25478.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Amendments to Rule A-3, on Membership on the Board 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25478 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25478.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25477.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 903 in Order To Simplify the $1 Strike Price Program 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25477 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25477.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25476.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Regarding Simplification of the Exchange's $1 Strike Price Program 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25476 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25476.pdf https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25475.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .04 to Rule 6.4 in Order To Simplify the $1 Strike Price Program 2011-10-04T00:00:00-07:00 2011-10-04T00:00:00-07:00 2011-25475 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-04/pdf/2011-25475.pdf https://regulations.justia.com/regulations/fedreg/2011/10/03/C1-2011-23721.html 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 2011-10-03T00:00:00-07:00 2011-10-03T00:00:00-07:00 C1-2011-23721 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-03/pdf/C1-2011-23721.pdf https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25506.html Notice - BB Liquidation Inc., Order of Suspension of Trading 2011-10-03T00:00:00-07:00 2011-10-03T00:00:00-07:00 2011-25506 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-03/pdf/2011-25506.pdf https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25379.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. 2011-10-03T00:00:00-07:00 2011-10-03T00:00:00-07:00 2011-25379 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-03/pdf/2011-25379.pdf https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25378.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. 2011-10-03T00:00:00-07:00 2011-10-03T00:00:00-07:00 2011-25378 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-03/pdf/2011-25378.pdf https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25368.html Notice - Submission for OMB Review; Comment Request 2011-10-03T00:00:00-07:00 2011-10-03T00:00:00-07:00 2011-25368 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-03/pdf/2011-25368.pdf https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25353.html Notice - Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. 2011-10-03T00:00:00-07:00 2011-10-03T00:00:00-07:00 2011-25353 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-03/pdf/2011-25353.pdf https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25352.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits 2011-10-03T00:00:00-07:00 2011-10-03T00:00:00-07:00 2011-25352 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-03/pdf/2011-25352.pdf https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25351.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Establish an Acceptable Trade Range for Quotes and Orders Entered on The NASDAQ Options Market 2011-10-03T00:00:00-07:00 2011-10-03T00:00:00-07:00 2011-25351 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-10-03/pdf/2011-25351.pdf