<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/11/30?registers=between Thu, 02 May 2024 07:56:08 -0700 Thu, 02 May 2024 07:56:08 -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/2011/11/30?registers=between Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGX Rule 11.9 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30831.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30831.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30831 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30831.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGA Rule 11.9 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30830.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30830.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30830 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30830.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trading Halts https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30820.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30820.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30820 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30820.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30819.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30819.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30819 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30819.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30818.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30818.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30818 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30818.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30817.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30817.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30817 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30817.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30816.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30816.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30816 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30816.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30815.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30815.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30815 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30815.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30814.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30814.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30814 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30814.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30813.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30813.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30813 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30813.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30812.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30812.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30812 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30812.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30811.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30811.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30811 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30811.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30810.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30810.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30810 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30810.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30809.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30809.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30809 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30809.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30808.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30808.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30808 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30808.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30807.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30807.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30807 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30807.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30806.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30806.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30806 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30806.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30805.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30805.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30805 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30805.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30742.html https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30742.html Wed, 30 Nov 2011 00:00:00 -0800 2011-30742 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30742.pdf