Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/11/02?limit=200&registers=between&mode=atom 2024-04-18T17:24:15-07:00 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/2011/11/02/2011-28372.html Notice - 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 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28372 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28372.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28351.html Notice - Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC; Notice of Application 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28351 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28351.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28350.html Notice - 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. 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28350 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28350.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28349.html Notice - 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. 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28349 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28349.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28348.html Notice - 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 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28348 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28348.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28347.html Notice - 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 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28347 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28347.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28346.html Notice - 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) 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28346 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28346.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28313.html Rule - Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28313 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28313.pdf