<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/11/02?registers=between Sun, 28 Apr 2024 07:20:47 -0700 Sun, 28 Apr 2024 07:20:47 -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/2011/11/02?registers=between 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 https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28372.html https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28372.html Wed, 02 Nov 2011 00:00:00 -0700 2011-28372 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28372.pdf Notice - Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28351.html https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28351.html Wed, 02 Nov 2011 00:00:00 -0700 2011-28351 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28351.pdf 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. https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28350.html https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28350.html Wed, 02 Nov 2011 00:00:00 -0700 2011-28350 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28350.pdf 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. https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28349.html https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28349.html Wed, 02 Nov 2011 00:00:00 -0700 2011-28349 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28349.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28348.html https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28348.html Wed, 02 Nov 2011 00:00:00 -0700 2011-28348 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28348.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28347.html https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28347.html Wed, 02 Nov 2011 00:00:00 -0700 2011-28347 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28347.pdf 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) https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28346.html https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28346.html Wed, 02 Nov 2011 00:00:00 -0700 2011-28346 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28346.pdf Rule - Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28313.html https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28313.html Wed, 02 Nov 2011 00:00:00 -0700 2011-28313 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28313.pdf