<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/11/10?registers=between Sat, 23 Nov 2024 09:41:18 -0800 Sat, 23 Nov 2024 09:41:18 -0800 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/2011/11/10?registers=between Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/10/C1-2011-27900.html https://regulations.justia.com/regulations/fedreg/2011/11/10/C1-2011-27900.html Thu, 10 Nov 2011 00:00:00 -0800 C1-2011-27900 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/C1-2011-27900.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to Adopt ICC's Enhanced Margin Methodology (the “Decomp Model”) https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29163.html https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29163.html Thu, 10 Nov 2011 00:00:00 -0800 2011-29163 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29163.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29114.html https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29114.html Thu, 10 Nov 2011 00:00:00 -0800 2011-29114 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29114.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29113.html https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29113.html Thu, 10 Nov 2011 00:00:00 -0800 2011-29113 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29113.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29112.html https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29112.html Thu, 10 Nov 2011 00:00:00 -0800 2011-29112 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29112.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29111.html https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29111.html Thu, 10 Nov 2011 00:00:00 -0800 2011-29111 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29111.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29110.html https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29110.html Thu, 10 Nov 2011 00:00:00 -0800 2011-29110 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29110.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Rule 7034 Regarding Low Latency Network Connections https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29109.html https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29109.html Thu, 10 Nov 2011 00:00:00 -0800 2011-29109 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29109.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Modify Rule 7034 Regarding Low Latency Network Connections https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29108.html https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29108.html Thu, 10 Nov 2011 00:00:00 -0800 2011-29108 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29108.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29107.html https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29107.html Thu, 10 Nov 2011 00:00:00 -0800 2011-29107 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29107.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29106.html https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29106.html Thu, 10 Nov 2011 00:00:00 -0800 2011-29106 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29106.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29105.html https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29105.html Thu, 10 Nov 2011 00:00:00 -0800 2011-29105 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29105.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29104.html https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29104.html Thu, 10 Nov 2011 00:00:00 -0800 2011-29104 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29104.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29103.html https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29103.html Thu, 10 Nov 2011 00:00:00 -0800 2011-29103 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29103.pdf