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?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2020-12-04T19:36:58-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30831.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGX Rule 11.9 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30831 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30831.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30830.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGA Rule 11.9 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30830 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30830.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30820.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trading Halts 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30820 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30820.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30819.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30819 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30819.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30818.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30818 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30818.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30817.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30817 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30817.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30816.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30816 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30816.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30815.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30815 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30815.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30814.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30814 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30814.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30813.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30813 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30813.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30812.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30812 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30812.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30811.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30811 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30811.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30810.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30810 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30810.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30809.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30809 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30809.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30808.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30808 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30808.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30807.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30807 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30807.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30806.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30806 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30806.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30805.html 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 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30805 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30805.pdf https://regulations.justia.com/regulations/fedreg/2011/11/30/2011-30742.html 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” 2011-11-30T00:00:00-08:00 2011-11-30T00:00:00-08:00 2011-30742 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-30/pdf/2011-30742.pdf https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30794.html Notice - Sunshine Act Meeting 2011-11-29T00:00:00-08:00 2011-11-29T00:00:00-08:00 2011-30794 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30794.pdf https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30793.html Notice - Sunshine Act Meeting 2011-11-29T00:00:00-08:00 2011-11-29T00:00:00-08:00 2011-30793 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30793.pdf https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30719.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Amendment No. 2 and Amendment No. 3 to Proposed Rule Relating to Relative Performance Indexes 2011-11-29T00:00:00-08:00 2011-11-29T00:00:00-08:00 2011-30719 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30719.pdf https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30635.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase From 20 to 30 the Number of Short Term Options Series That May Be Opened for Each Option Class That Participates in the Exchange's Short Term Option Series Program 2011-11-29T00:00:00-08:00 2011-11-29T00:00:00-08:00 2011-30635 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30635.pdf https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30634.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase From 20 to 30 the Number of Short Term Options Series That May Be Opened for Each Option Class That Participates in the Exchange's Short Term Option Series Program 2011-11-29T00:00:00-08:00 2011-11-29T00:00:00-08:00 2011-30634 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30634.pdf https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30633.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend NSX Rules To Conform with Section 957 of the Dodd-Frank Act Prohibiting Members Voting Uninstructed Shares on Certain Matters 2011-11-29T00:00:00-08:00 2011-11-29T00:00:00-08:00 2011-30633 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30633.pdf https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30632.html Notice - Genesis Capital, LLC and Northern Lights Fund Trust; Notice of Application 2011-11-29T00:00:00-08:00 2011-11-29T00:00:00-08:00 2011-30632 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30632.pdf https://regulations.justia.com/regulations/fedreg/2011/11/29/2011-30591.html Rule - Adoption of Updated EDGAR Filer Manual 2011-11-29T00:00:00-08:00 2011-11-29T00:00:00-08:00 2011-30591 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-11-29/pdf/2011-30591.pdf https://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30447.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to a Temporary Quote Risk Monitor Mechanism Rule 2011-11-28T00:00:00-08:00 2011-11-28T00:00:00-08:00 2011-30447 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-28/pdf/2011-30447.pdf https://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30430.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates Relating to Executed Qualified Contingent Cross Orders 2011-11-28T00:00:00-08:00 2011-11-28T00:00:00-08:00 2011-30430 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-28/pdf/2011-30430.pdf https://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30427.html Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan To Adopt a Policy Named “Policy With Respect to Disaster Recovery Facilities” 2011-11-28T00:00:00-08:00 2011-11-28T00:00:00-08:00 2011-30427 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-28/pdf/2011-30427.pdf https://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30426.html Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan To Implement the Datafeed Policy 2011-11-28T00:00:00-08:00 2011-11-28T00:00:00-08:00 2011-30426 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-28/pdf/2011-30426.pdf https://regulations.justia.com/regulations/fedreg/2011/11/28/2011-30425.html Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan To Implement New Policies Regarding Reporting and Usage-Based Vendor Fees 2011-11-28T00:00:00-08:00 2011-11-28T00:00:00-08:00 2011-30425 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-28/pdf/2011-30425.pdf https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30354.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Trade Processing Fee 2011-11-25T00:00:00-08:00 2011-11-25T00:00:00-08:00 2011-30354 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30354.pdf https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30350.html Notice - SEI Investments Management Corporation, et al. 2011-11-25T00:00:00-08:00 2011-11-25T00:00:00-08:00 2011-30350 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30350.pdf https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30349.html Notice - John Hancock Variable Insurance Trust, et al.; Notice of Application 2011-11-25T00:00:00-08:00 2011-11-25T00:00:00-08:00 2011-30349 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30349.pdf https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30323.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Correcting an Error by Renumbering the Subsections of Section 101 of the Company Guide 2011-11-25T00:00:00-08:00 2011-11-25T00:00:00-08:00 2011-30323 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30323.pdf https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30322.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce Transaction Fees for Members Engaging in Certain Accommodation Transactions 2011-11-25T00:00:00-08:00 2011-11-25T00:00:00-08:00 2011-30322 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30322.pdf https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30285.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Creation of a Service To Provide Post-Trade Information 2011-11-25T00:00:00-08:00 2011-11-25T00:00:00-08:00 2011-30285 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30285.pdf https://regulations.justia.com/regulations/fedreg/2011/11/25/2011-30284.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change to Amend Certain TRACE Rules 2011-11-25T00:00:00-08:00 2011-11-25T00:00:00-08:00 2011-30284 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-25/pdf/2011-30284.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30255.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA's Code of Procedure 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30255 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30255.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30227.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Clearing Options on the CBOE Silver Volatility Index 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30227 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30227.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30226.html Notice - Bandon Capital Management, LLC and Northern Lights Fund Trust; Notice of Application 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30226 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30226.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30225.html Notice - Proposed Collection; Comment Request 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30225 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30225.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30220.html Notice - Proposed Collection; Comment Request 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30220 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30220.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30219.html Notice - Proposed Collection; Comment Request 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30219 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30219.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30218.html Notice - Proposed Extension of Existing Collection; Comment Request 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30218 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30218.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30202.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Rockledge SectorSAM ETF Under NYSE Arca Equities Rule 8.600 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30202 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30202.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30201.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Professional Routing Fee to the BATS Exchange, Inc. 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30201 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30201.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30200.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Expanding the Short Term Option Series Program 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30200 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30200.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30199.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Expanding the Short Term Option Series Program 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30199 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30199.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30198.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Weeklys Program 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30198 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30198.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30197.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Rules To Expand the Short Term Option Series Program 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30197 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30197.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30196.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule To Increase the Number of Series Permitted Per Class in the Short Term Option Series Program 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30196 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30196.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30195.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule to Expand the Short Term Options Series Program 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30195 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30195.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30193.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options Exchange, Incorporated; C2 Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; National Stock Exchange, Inc.; NASDAX OMX PHLX LLC; Notice of a Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30193 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30193.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30192.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Simplify the $1 Strike Price Interval Program 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30192 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30192.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30191.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to BATS Exchange, Inc. 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30191 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30191.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30180.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify That CBSX Will Process Only Round-Lot Orders of HOLDRS 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30180 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30180.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30179.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30179 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30179.pdf https://regulations.justia.com/regulations/fedreg/2011/11/23/2011-30178.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality 2011-11-23T00:00:00-08:00 2011-11-23T00:00:00-08:00 2011-30178 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-23/pdf/2011-30178.pdf https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30217.html Notice - Abviva, Inc., ACTIS Global Ventures, Inc., aeroTelesis, Inc., Amwest Insurance Group, Inc., and Auto Underwriters of America, Inc.; Order of Suspension of Trading 2011-11-22T00:00:00-08:00 2011-11-22T00:00:00-08:00 2011-30217 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30217.pdf https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30190.html Notice - Sunshine Act Meeting 2011-11-22T00:00:00-08:00 2011-11-22T00:00:00-08:00 2011-30190 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30190.pdf https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30072.html Notice - Proposed Collection; Comment Request 2011-11-22T00:00:00-08:00 2011-11-22T00:00:00-08:00 2011-30072 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30072.pdf https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30071.html Notice - Submission for OMB Review; Comment Request 2011-11-22T00:00:00-08:00 2011-11-22T00:00:00-08:00 2011-30071 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30071.pdf https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30070.html Notice - Proposed Collection; Comment Request 2011-11-22T00:00:00-08:00 2011-11-22T00:00:00-08:00 2011-30070 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30070.pdf https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30069.html Notice - Proposed Collection; Comment Request 2011-11-22T00:00:00-08:00 2011-11-22T00:00:00-08:00 2011-30069 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30069.pdf https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30058.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Good-till-Cancelled and Discretionary Orders 2011-11-22T00:00:00-08:00 2011-11-22T00:00:00-08:00 2011-30058 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30058.pdf https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30057.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Good-Till-Cancelled and Discretionary Orders 2011-11-22T00:00:00-08:00 2011-11-22T00:00:00-08:00 2011-30057 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30057.pdf https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30056.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a “Post-Only” Order Type 2011-11-22T00:00:00-08:00 2011-11-22T00:00:00-08:00 2011-30056 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30056.pdf https://regulations.justia.com/regulations/fedreg/2011/11/22/2011-30053.html Notice - Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment 2011-11-22T00:00:00-08:00 2011-11-22T00:00:00-08:00 2011-30053 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-22/pdf/2011-30053.pdf https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29970.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Consisting of Proposed Interpretive Notice Concerning the Application of MSRB Rule G-17, on Conduct of Municipal Securities and Municipal Advisory Activities, to Underwriters of Municipal Securities 2011-11-21T00:00:00-08:00 2011-11-21T00:00:00-08:00 2011-29970 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29970.pdf https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29873.html Notice - Submission for OMB Review; Comment Request 2011-11-21T00:00:00-08:00 2011-11-21T00:00:00-08:00 2011-29873 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29873.pdf https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29872.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to the Exchange Rule 795, Member Officer or Director 2011-11-21T00:00:00-08:00 2011-11-21T00:00:00-08:00 2011-29872 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29872.pdf https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29871.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Quote Risk Monitor Mechanism 2011-11-21T00:00:00-08:00 2011-11-21T00:00:00-08:00 2011-29871 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29871.pdf https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29870.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules To Provide for Clearing of Additional Single Name Investment Grade CDS Contracts 2011-11-21T00:00:00-08:00 2011-11-21T00:00:00-08:00 2011-29870 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29870.pdf https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29869.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Renew Existing Pilot Program for an Additional Fourteen Months 2011-11-21T00:00:00-08:00 2011-11-21T00:00:00-08:00 2011-29869 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29869.pdf https://regulations.justia.com/regulations/fedreg/2011/11/21/2011-29096.html Rule - Rescission of Outdated Rules and Forms, and Amendments To Correct References 2011-11-21T00:00:00-08:00 2011-11-21T00:00:00-08:00 2011-29096 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-11-21/pdf/2011-29096.pdf https://regulations.justia.com/regulations/fedreg/2011/11/18/C1-2011-28716.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, etc. 2011-11-18T00:00:00-08:00 2011-11-18T00:00:00-08:00 C1-2011-28716 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-18/pdf/C1-2011-28716.pdf https://regulations.justia.com/regulations/fedreg/2011/11/18/C1-2011-28694.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market-Maker Trade Prevention Order on CBOE Stock Exchange 2011-11-18T00:00:00-08:00 2011-11-18T00:00:00-08:00 C1-2011-28694 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-18/pdf/C1-2011-28694.pdf https://regulations.justia.com/regulations/fedreg/2011/11/18/2011-29969.html Notice - Sunshine Act Meeting 2011-11-18T00:00:00-08:00 2011-11-18T00:00:00-08:00 2011-29969 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-18/pdf/2011-29969.pdf https://regulations.justia.com/regulations/fedreg/2011/11/18/2011-29802.html Rule - Reporting Line for the Commission's Ethics Counsel 2011-11-18T00:00:00-08:00 2011-11-18T00:00:00-08:00 2011-29802 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-11-18/pdf/2011-29802.pdf https://regulations.justia.com/regulations/fedreg/2011/11/18/2011-29786.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References Within Certain FINRA Rules 2011-11-18T00:00:00-08:00 2011-11-18T00:00:00-08:00 2011-29786 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-18/pdf/2011-29786.pdf https://regulations.justia.com/regulations/fedreg/2011/11/18/2011-29746.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide a Limited Extension to the Compliance Deadline for Registration and Qualification Pursuant to Rule 3.6A 2011-11-18T00:00:00-08:00 2011-11-18T00:00:00-08:00 2011-29746 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-18/pdf/2011-29746.pdf https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29853.html Notice - Sunshine Act Meeting 2011-11-17T00:00:00-08:00 2011-11-17T00:00:00-08:00 2011-29853 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29853.pdf https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29723.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade 2011-11-17T00:00:00-08:00 2011-11-17T00:00:00-08:00 2011-29723 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29723.pdf https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29679.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers (“DMMs”) 2011-11-17T00:00:00-08:00 2011-11-17T00:00:00-08:00 2011-29679 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29679.pdf https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29678.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers 2011-11-17T00:00:00-08:00 2011-11-17T00:00:00-08:00 2011-29678 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29678.pdf https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29677.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove the Requirement That its Members Pass the DTR Examination Prior To Registering 2011-11-17T00:00:00-08:00 2011-11-17T00:00:00-08:00 2011-29677 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29677.pdf https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29676.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Modify the Fees Relating to Qualified Contingent Cross Orders 2011-11-17T00:00:00-08:00 2011-11-17T00:00:00-08:00 2011-29676 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29676.pdf https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29675.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc. 2011-11-17T00:00:00-08:00 2011-11-17T00:00:00-08:00 2011-29675 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29675.pdf https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29674.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc. 2011-11-17T00:00:00-08:00 2011-11-17T00:00:00-08:00 2011-29674 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29674.pdf https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29673.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Routing Fees to C2 2011-11-17T00:00:00-08:00 2011-11-17T00:00:00-08:00 2011-29673 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29673.pdf https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29672.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees and Rebates for Certain Complex Orders Executed on the Exchange 2011-11-17T00:00:00-08:00 2011-11-17T00:00:00-08:00 2011-29672 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29672.pdf https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29671.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Orders Executed on the Exchange 2011-11-17T00:00:00-08:00 2011-11-17T00:00:00-08:00 2011-29671 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29671.pdf https://regulations.justia.com/regulations/fedreg/2011/11/17/2011-29670.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Relating To a New Daily Report Subscription for Security Position Reports 2011-11-17T00:00:00-08:00 2011-11-17T00:00:00-08:00 2011-29670 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-17/pdf/2011-29670.pdf https://regulations.justia.com/regulations/fedreg/2011/11/16/2011-29578.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change to Adopt Rules in Connection With S&P 500 Option Variance Basket Trades 2011-11-16T00:00:00-08:00 2011-11-16T00:00:00-08:00 2011-29578 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-16/pdf/2011-29578.pdf https://regulations.justia.com/regulations/fedreg/2011/11/16/2011-29510.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Complex Order Rebates and Fees for Adding and Removing Liquidity 2011-11-16T00:00:00-08:00 2011-11-16T00:00:00-08:00 2011-29510 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-16/pdf/2011-29510.pdf https://regulations.justia.com/regulations/fedreg/2011/11/16/2011-29509.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders 2011-11-16T00:00:00-08:00 2011-11-16T00:00:00-08:00 2011-29509 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-16/pdf/2011-29509.pdf https://regulations.justia.com/regulations/fedreg/2011/11/16/2011-29507.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Option Fee Disputes 2011-11-16T00:00:00-08:00 2011-11-16T00:00:00-08:00 2011-29507 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-16/pdf/2011-29507.pdf https://regulations.justia.com/regulations/fedreg/2011/11/16/2011-28549.html Rule - Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF 2011-11-16T00:00:00-08:00 2011-11-16T00:00:00-08:00 2011-28549 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-11-16/pdf/2011-28549.pdf https://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29623.html Notice - Sunshine Act Meeting 2011-11-15T00:00:00-08:00 2011-11-15T00:00:00-08:00 2011-29623 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29623.pdf https://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29622.html Notice - Sunshine Act Meeting 2011-11-15T00:00:00-08:00 2011-11-15T00:00:00-08:00 2011-29622 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29622.pdf https://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29442.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Investor Support Program, Offer an Additional Liquidity Provider Credit Through a Pre-Market Investor Program, and Make Other Changes to Pricing for Members Using the NASDAQ Market Center 2011-11-15T00:00:00-08:00 2011-11-15T00:00:00-08:00 2011-29442 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29442.pdf https://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29441.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2 2011-11-15T00:00:00-08:00 2011-11-15T00:00:00-08:00 2011-29441 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29441.pdf https://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29440.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 2, Amending Section 101 of the NYSE Amex Company Guide To Adopt Additional Listing Requirements for Companies Applying To List After Consummation of a “Reverse Merger” With a Shell Company, November 8, 2011 2011-11-15T00:00:00-08:00 2011-11-15T00:00:00-08:00 2011-29440 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29440.pdf https://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29439.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 2, Amending Sections 102.01 and 103.01 of the Exchange's Listed Company Manual Adopting Additional Listing Requirements for Companies Applying to List After Consummation of a “Reverse Merger” With a Shell Company 2011-11-15T00:00:00-08:00 2011-11-15T00:00:00-08:00 2011-29439 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29439.pdf https://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29412.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, Adopting Additional Listing Requirements for Companies Applying To List After Consummation of a “Reverse Merger” With a Shell Company 2011-11-15T00:00:00-08:00 2011-11-15T00:00:00-08:00 2011-29412 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29412.pdf https://regulations.justia.com/regulations/fedreg/2011/11/15/2011-29392.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Another Tier to an Existing Rebate Program for Qualified Contingent Cross Orders and Solicitation Orders Executed on the Exchange 2011-11-15T00:00:00-08:00 2011-11-15T00:00:00-08:00 2011-29392 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-15/pdf/2011-29392.pdf https://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29414.html Notice - Rovac Corp., RS Group of Companies, Inc., Rymer Foods, Inc. Stratus Services Group, Inc., Sun Cal Energy, Inc., Sun Motor International, Inc., Surebet Casinos, Inc., and Swiss Medica, Inc.; Order of Suspension of Trading 2011-11-14T00:00:00-08:00 2011-11-14T00:00:00-08:00 2011-29414 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29414.pdf https://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29413.html Notice - RMD Technologies, Inc., Rockwall Holdings, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc.; Order of Suspension of Trading 2011-11-14T00:00:00-08:00 2011-11-14T00:00:00-08:00 2011-29413 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29413.pdf https://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29300.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change to Modify Commentary .01 to Rule 1009 Regarding Criteria for Listing an Option on an Underlying Covered Security 2011-11-14T00:00:00-08:00 2011-11-14T00:00:00-08:00 2011-29300 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29300.pdf https://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29254.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports 2011-11-14T00:00:00-08:00 2011-11-14T00:00:00-08:00 2011-29254 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29254.pdf https://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29253.html Notice - Proposed Collection; Comment Request 2011-11-14T00:00:00-08:00 2011-11-14T00:00:00-08:00 2011-29253 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29253.pdf https://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29252.html Notice - Proposed Collection; Comment Request 2011-11-14T00:00:00-08:00 2011-11-14T00:00:00-08:00 2011-29252 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29252.pdf https://regulations.justia.com/regulations/fedreg/2011/11/14/2011-29251.html Notice - Submission for OMB Review; Comment Request 2011-11-14T00:00:00-08:00 2011-11-14T00:00:00-08:00 2011-29251 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-14/pdf/2011-29251.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/C1-2011-27900.html 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 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 C1-2011-27900 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/C1-2011-27900.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29163.html 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”) 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 2011-29163 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29163.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29114.html 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 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 2011-29114 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29114.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29113.html 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. 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 2011-29113 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29113.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29112.html 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 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 2011-29112 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29112.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29111.html 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 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 2011-29111 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29111.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29110.html 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 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 2011-29110 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29110.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29109.html 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 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 2011-29109 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29109.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29108.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Modify Rule 7034 Regarding Low Latency Network Connections 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 2011-29108 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29108.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29107.html 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 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 2011-29107 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29107.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29106.html 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 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 2011-29106 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29106.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29105.html 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 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 2011-29105 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29105.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29104.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 2011-29104 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29104.pdf https://regulations.justia.com/regulations/fedreg/2011/11/10/2011-29103.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees 2011-11-10T00:00:00-08:00 2011-11-10T00:00:00-08:00 2011-29103 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-10/pdf/2011-29103.pdf https://regulations.justia.com/regulations/fedreg/2011/11/09/2011-29037.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Concerning Industry Directors and the Nomination of Representative Directors 2011-11-09T00:00:00-08:00 2011-11-09T00:00:00-08:00 2011-29037 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-09/pdf/2011-29037.pdf https://regulations.justia.com/regulations/fedreg/2011/11/09/2011-29036.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Concerning Industry Directors and the Nomination of Representative Directors 2011-11-09T00:00:00-08:00 2011-11-09T00:00:00-08:00 2011-29036 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-09/pdf/2011-29036.pdf https://regulations.justia.com/regulations/fedreg/2011/11/09/2011-29034.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Compliance Deadline for Registration and Qualification Pursuant to Rule 3.6A 2011-11-09T00:00:00-08:00 2011-11-09T00:00:00-08:00 2011-29034 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-09/pdf/2011-29034.pdf https://regulations.justia.com/regulations/fedreg/2011/11/09/2011-28995.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Market Opening Procedures of BATS Options 2011-11-09T00:00:00-08:00 2011-11-09T00:00:00-08:00 2011-28995 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-09/pdf/2011-28995.pdf https://regulations.justia.com/regulations/fedreg/2011/11/09/2011-28994.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Rule Change Proposing a One-Year Pilot Program Adding New Rule 107C To Establish a Retail Liquidity Program To Attract Additional Retail Order Flow to the Exchange for NYSE-Listed Securities 2011-11-09T00:00:00-08:00 2011-11-09T00:00:00-08:00 2011-28994 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-09/pdf/2011-28994.pdf https://regulations.justia.com/regulations/fedreg/2011/11/09/2011-28993.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Rule Change Proposing a One-Year Pilot Program Adding New Rule 107C To Establish a Retail Liquidity Program To Attract Additional Retail Order Flow to the Exchange for NYSE Amex Equities Traded Securities 2011-11-09T00:00:00-08:00 2011-11-09T00:00:00-08:00 2011-28993 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-09/pdf/2011-28993.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28996.html Notice - Sunshine Act Meeting 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28996 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28996.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28912.html Notice - Submission for OMB Review; Comment Request 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28912 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28912.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28911.html Notice - Submission for OMB Review; Comment Request 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28911 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28911.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28910.html Notice - Submission for OMB Review; Comment Request 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28910 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28910.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28909.html Notice - Submission for OMB Review; Comment Request 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28909 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28909.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28908.html Notice - Submission for OMB Review; Comment Request 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28908 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28908.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28907.html Notice - Submission for OMB Review; Comment Request 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28907 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28907.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28905.html Notice - Submission for OMB Review; Comment Request 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28905 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28905.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28904.html Notice - Submission for OMB Review; Comment Request 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28904 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28904.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28903.html Notice - Submission for OMB Review; Comment Request 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28903 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28903.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28902.html Notice - Submission for OMB Review; Comment Request 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28902 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28902.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28901.html Notice - Submission for OMB Review; Comment Request 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28901 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28901.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28900.html Notice - Submission for OMB Review; Comment Request 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28900 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28900.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28899.html Notice - Submission for OMB Review; Comment Request 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28899 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28899.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28832.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28832 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28832.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28831.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Offering a Market Data Product to Vendors and Subscribers That Combines Three Existing Market Data Feeds as Well as Additional Market Data From the Exchange Into One Integrated Product, the NYSE Arca Integrated Data Feed 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28831 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28831.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28830.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Transaction Fees 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28830 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28830.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28829.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Transfer of Positions Off the Floor 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28829 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28829.pdf https://regulations.justia.com/regulations/fedreg/2011/11/08/2011-28828.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Transfer of Exchange House Accounts 2011-11-08T00:00:00-08:00 2011-11-08T00:00:00-08:00 2011-28828 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-28828.pdf https://regulations.justia.com/regulations/fedreg/2011/11/07/2011-28721.html Notice - Proposed Collection; Comment Request 2011-11-07T00:00:00-08:00 2011-11-07T00:00:00-08:00 2011-28721 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28721.pdf https://regulations.justia.com/regulations/fedreg/2011/11/07/2011-28720.html Notice - Proposed Collection; Comment Request 2011-11-07T00:00:00-08:00 2011-11-07T00:00:00-08:00 2011-28720 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28720.pdf https://regulations.justia.com/regulations/fedreg/2011/11/07/2011-28719.html Notice - Proposed Collection; Comment Request 2011-11-07T00:00:00-08:00 2011-11-07T00:00:00-08:00 2011-28719 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28719.pdf https://regulations.justia.com/regulations/fedreg/2011/11/07/2011-28716.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, etc. 2011-11-07T00:00:00-08:00 2011-11-07T00:00:00-08:00 2011-28716 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28716.pdf https://regulations.justia.com/regulations/fedreg/2011/11/07/2011-28694.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market-Maker Trade Prevention Order on CBOE Stock Exchange 2011-11-07T00:00:00-08:00 2011-11-07T00:00:00-08:00 2011-28694 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-28694.pdf https://regulations.justia.com/regulations/fedreg/2011/11/07/2011-27184.html Proposed Rule - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 2011-11-07T00:00:00-08:00 2011-11-07T00:00:00-08:00 2011-27184 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-11-07/pdf/2011-27184.pdf https://regulations.justia.com/regulations/fedreg/2011/11/04/2011-28609.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change to List and Trade Managed Fund Shares of TrimTabs Float Shrink ETF under NYSE Arca Equities Rule 8.600; Correction 2011-11-04T00:00:00-07:00 2011-11-04T00:00:00-07:00 2011-28609 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-04/pdf/2011-28609.pdf https://regulations.justia.com/regulations/fedreg/2011/11/04/2011-28585.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2011-11-04T00:00:00-07:00 2011-11-04T00:00:00-07:00 2011-28585 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-04/pdf/2011-28585.pdf https://regulations.justia.com/regulations/fedreg/2011/11/04/2011-28529.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Amendments to EDGA and EDGX Rules Regarding the Registration and Obligations of Market Makers 2011-11-04T00:00:00-07:00 2011-11-04T00:00:00-07:00 2011-28529 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-04/pdf/2011-28529.pdf https://regulations.justia.com/regulations/fedreg/2011/11/03/2011-28513.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to FLEX Options 2011-11-03T00:00:00-07:00 2011-11-03T00:00:00-07:00 2011-28513 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-03/pdf/2011-28513.pdf https://regulations.justia.com/regulations/fedreg/2011/11/03/2011-28512.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Repeal Incorporated NYSE Rule 2A (Jurisdiction) 2011-11-03T00:00:00-07:00 2011-11-03T00:00:00-07:00 2011-28512 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-03/pdf/2011-28512.pdf https://regulations.justia.com/regulations/fedreg/2011/11/03/2011-28462.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Order Approving Proposed Rule Change To Accept Additional Credit Default Index Swaps for Clearing 2011-11-03T00:00:00-07:00 2011-11-03T00:00:00-07:00 2011-28462 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-03/pdf/2011-28462.pdf https://regulations.justia.com/regulations/fedreg/2011/11/03/2011-28461.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Provide Specific Authority To Use an Auction Process as One of the Means To Liquidate a Defaulting Clearing Member's Accounts 2011-11-03T00:00:00-07:00 2011-11-03T00:00:00-07:00 2011-28461 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-03/pdf/2011-28461.pdf https://regulations.justia.com/regulations/fedreg/2011/11/03/2011-28460.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Describe Complimentary Services That Are Offered to Certain New Listings on NASDAQ's Global and Global Select Markets 2011-11-03T00:00:00-07:00 2011-11-03T00:00:00-07:00 2011-28460 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-03/pdf/2011-28460.pdf https://regulations.justia.com/regulations/fedreg/2011/11/03/2011-28459.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change To Adopt Fitness Standards for Directors, Clearing Members, and Others 2011-11-03T00:00:00-07:00 2011-11-03T00:00:00-07:00 2011-28459 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-03/pdf/2011-28459.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28372.html 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 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28372 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28372.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28351.html Notice - Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC; Notice of Application 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28351 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28351.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28350.html 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. 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28350 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28350.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28349.html 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. 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28349 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28349.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28348.html 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 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28348 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28348.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28347.html 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 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28347 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28347.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28346.html 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) 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28346 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28346.pdf https://regulations.justia.com/regulations/fedreg/2011/11/02/2011-28313.html Rule - Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets 2011-11-02T00:00:00-07:00 2011-11-02T00:00:00-07:00 2011-28313 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-11-02/pdf/2011-28313.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28356.html Notice - Curatech Industries, Inc., Order of Suspension of Trading 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28356 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28356.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28243.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-16 on Periodic Compliance Examination and Rule G-9 on Preservation of Records 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28243 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28243.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28228.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Change the Status of Exchange-Registered Institutional Broker Firms 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28228 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28228.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28227.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Close Trading at 3 p.m. Chicago Time on the Last Day of Trading of Expiring P.M.-Settled S&P 500 Options 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28227 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28227.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28213.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Expand Its OTC FX Swaps Clearing Offering 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28213 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28213.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28209.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Performance Bond Regime Applicable to Certain Cleared Only OTC FX Swaps 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28209 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28209.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28208.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Its Rules Relating to Interest Rate Swaps Clearing 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28208 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28208.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28207.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee Waiver Program Applicable to Its OTC Credit Default Swap Index Clearing Offering 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28207 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28207.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28206.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Expand the Applicability of the Fails Charge to Agency Debt Securities Transactions 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28206 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28206.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28205.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Price List To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28205 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28205.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28204.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Price List To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28204 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28204.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28203.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Price List To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28203 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28203.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28202.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Fee Schedule To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28202 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28202.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28201.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Expanding the Scope of Potential “Users” of Its Co-Location Services To Include Any Market Participant That Requests To Receive Co-Location Services Directly From the Exchange and Amending Its Fee Schedule To Establish a Fee for Users That Host Their Customers at the Exchange's Data Center 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28201 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28201.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28200.html Notice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise NSCC's Fee Schedule as It Applies to Certain Hedge Fund Products Within NSCC's Alternative Investment Products Service 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28200 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28200.pdf https://regulations.justia.com/regulations/fedreg/2011/11/01/2011-28199.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Management of Liquidity Risk 2011-11-01T00:00:00-07:00 2011-11-01T00:00:00-07:00 2011-28199 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-11-01/pdf/2011-28199.pdf