Securities and Exchange Commission November 2, 2011 – Federal Register Recent Federal Regulation Documents

Results 1 - 8 of 8
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Relating to the Quarterly Trading Requirements Applicable to Registered Options Traders
Document Number: 2011-28372
Type: Notice
Date: 2011-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28372.html
Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC; Notice of Application
Document Number: 2011-28351
Type: Notice
Date: 2011-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28351.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Approving Proposed Rule Change To Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc.
Document Number: 2011-28350
Type: Notice
Date: 2011-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28350.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc.
Document Number: 2011-28349
Type: Notice
Date: 2011-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28349.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook
Document Number: 2011-28348
Type: Notice
Date: 2011-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28348.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Trading Rules To Retire the Additional Expiration Months Pilot Program and To Harmonize the Rules Regarding Listing Expirations With the Existing Rules of Other Exchanges
Document Number: 2011-28347
Type: Notice
Date: 2011-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28347.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange Rule 703 (Financial Responsibility and Reporting)
Document Number: 2011-28346
Type: Notice
Date: 2011-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28346.html
Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets
Document Number: 2011-28313
Type: Rule
Date: 2011-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is making a technical amendment to the rule that delegates authority to the Director of the Division of Trading and Markets to grant exemptions upon specified terms, conditions, and periods to persons subject to Rule 17f-2 under the Securities Exchange Act of 1934 (``Exchange Act'').
https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28313.html
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