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?limit=200&registers=between&mode=atom 2024-11-23T10:12:47-08:00 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/2011/11/01/2011-28356.html Notice - Curatech Industries, Inc., Order of Suspension of Trading 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28356 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28356.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28243.html 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 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28243 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28243.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28228.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Change the Status of Exchange-Registered Institutional Broker Firms 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28228 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28228.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28227.html 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 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28227 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28227.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28213.html 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 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28213 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28213.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28209.html 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 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28209 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28209.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28208.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 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28208 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28208.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28207.html 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 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28207 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28207.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28206.html 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 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28206 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28206.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28205.html 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 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28205 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28205.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28204.html 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 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28204 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28204.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28203.html 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 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28203 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28203.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28202.html 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 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28202 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28202.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28201.html 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 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28201 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28201.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28200.html 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 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28200 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28200.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28199.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Management of Liquidity Risk 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28199 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28199.pdf