<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/11/01?registers=between Sat, 04 May 2024 09:22:16 -0700 Sat, 04 May 2024 09:22:16 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/11/01?registers=between Notice - Curatech Industries, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28356.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28356.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28356 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28356.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-16 on Periodic Compliance Examination and Rule G-9 on Preservation of Records https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28243.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28243.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28243 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28243.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Change the Status of Exchange-Registered Institutional Broker Firms https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28228.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28228.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28228 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28228.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Close Trading at 3 p.m. Chicago Time on the Last Day of Trading of Expiring P.M.-Settled S&P 500 Options https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28227.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28227.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28227 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28227.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Expand Its OTC FX Swaps Clearing Offering https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28213.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28213.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28213 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28213.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Performance Bond Regime Applicable to Certain Cleared Only OTC FX Swaps https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28209.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28209.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28209 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28209.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28208.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28208.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28208 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28208.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee Waiver Program Applicable to Its OTC Credit Default Swap Index Clearing Offering https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28207.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28207.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28207 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28207.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Expand the Applicability of the Fails Charge to Agency Debt Securities Transactions https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28206.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28206.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28206 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28206.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Price List To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28205.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28205.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28205 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28205.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Price List To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28204.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28204.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28204 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28204.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Price List To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28203.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28203.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28203 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28203.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Fee Schedule To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28202.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28202.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28202 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28202.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Fee Schedule To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28201.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28201.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28201 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28201.pdf Notice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise NSCC's Fee Schedule as It Applies to Certain Hedge Fund Products Within NSCC's Alternative Investment Products Service https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28200.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28200.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28200 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28200.pdf Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Management of Liquidity Risk https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28199.html https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28199.html Tue, 01 Nov 2011 00:00:00 -0700 2011-28199 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28199.pdf