Securities and Exchange Commission November 10, 2011 – Federal Register Recent Federal Regulation Documents

Results 1 - 14 of 14
Investment Advisers Act of 1940; In the Matter of Creative Investment Research, Inc., 1050 17th Street NW., Suite 1000, Washington, DC 20036; Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940
Document Number: C1-2011-27900
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/C1-2011-27900.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to Adopt ICC's Enhanced Margin Methodology (the “Decomp Model”)
Document Number: 2011-29163
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29163.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Allow FINRA To Grant Exemptions From Certain Equity Trade Reporting Obligations for Certain Alternative Trading Systems
Document Number: 2011-29114
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29114.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Document Number: 2011-29113
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29113.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
Document Number: 2011-29112
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29112.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Process for the Qualification of the Customer Large Trade Discount
Document Number: 2011-29111
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29111.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify its Co-Location Fee Schedule Regarding Low Latency Network Connections
Document Number: 2011-29110
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29110.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Rule 7034 Regarding Low Latency Network Connections
Document Number: 2011-29109
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29109.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Modify Rule 7034 Regarding Low Latency Network Connections
Document Number: 2011-29108
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29108.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Document Number: 2011-29107
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29107.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Document Number: 2011-29106
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29106.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Document Number: 2011-29105
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29105.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons
Document Number: 2011-29104
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29104.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees
Document Number: 2011-29103
Type: Notice
Date: 2011-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29103.html