Securities and Exchange Commission November 30, 2011 – Federal Register Recent Federal Regulation Documents

Results 1 - 19 of 19
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGX Rule 11.9
Document Number: 2011-30831
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30831.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGA Rule 11.9
Document Number: 2011-30830
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30830.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trading Halts
Document Number: 2011-30820
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30820.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Individual Stock Trading Pause Pilot Program
Document Number: 2011-30819
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30819.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 to Exclude from the Pilot Rule All Rights and Warrants
Document Number: 2011-30818
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30818.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.14 to Exclude From the Pilot Rule All Rights and Warrants
Document Number: 2011-30817
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30817.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exclude All Rights and Warrants From the Definition of “Circuit Breaker Securities” and Providing the Appropriate Provisions for an Early Scheduled Close
Document Number: 2011-30816
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30816.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102(f) to Exclude From the Pilot Rule All Rights and Warrants
Document Number: 2011-30815
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30815.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Rule 6121.01 (Trading Pauses) To Exclude Rights and Warrants From the Trading Pause Pilot
Document Number: 2011-30814
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30814.html
Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing Proposed Rule Change To Exclude Rights and Warrants From the Individual Securities Circuit Breaker Rule
Document Number: 2011-30813
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30813.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.18 Relating to Trading Pauses Due to Extraordinary Market Volatility
Document Number: 2011-30812
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30812.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.18 Relating to Trading Pauses Due to Extraordinary Market Volatility
Document Number: 2011-30811
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30811.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exclude All Rights and Warrants From the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility
Document Number: 2011-30810
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30810.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude All Rights and Warrants from the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility
Document Number: 2011-30809
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30809.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exclude All Rights and Warrants From the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility
Document Number: 2011-30808
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30808.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11 to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Under the Rule
Document Number: 2011-30807
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30807.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Under the Rule
Document Number: 2011-30806
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30806.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Under the Rule
Document Number: 2011-30805
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30805.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 14.1, entitled “The Qualification, Listing, and Delisting of Companies-Definitions”
Document Number: 2011-30742
Type: Notice
Date: 2011-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30742.html