Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/12/09?limit=200&registers=between&mode=atom 2024-11-26T21:53:10-08:00 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/2011/12/09/2011-31641.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Rules Relating to Its Cleared Only OTC FX Swap Offering 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31641 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31641.pdf https://regulations.justia.com/regulations/fedreg/2011/12/09/2011-31633.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Its Rules an Existing Policy Related to the Application of NYSE Amex Options Rule 935NY 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31633 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31633.pdf https://regulations.justia.com/regulations/fedreg/2011/12/09/2011-31632.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend FINRA Rule 4512 (Customer Account Information) 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31632 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31632.pdf https://regulations.justia.com/regulations/fedreg/2011/12/09/2011-31631.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Transaction Execution Fee and Credit Schedule in Rule 7018 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31631 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31631.pdf https://regulations.justia.com/regulations/fedreg/2011/12/09/2011-31608.html Notice - Submission for OMB Review; Comment Request 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31608 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31608.pdf https://regulations.justia.com/regulations/fedreg/2011/12/09/2011-31607.html Notice - Submission for OMB Review; Comment Request 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31607 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31607.pdf https://regulations.justia.com/regulations/fedreg/2011/12/09/2011-31606.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Adopt NASD Rule 2320 (Best Execution and Interpositioning) and Interpretive Material (“IM”) 2320 as FINRA Rule 5310 in the Consolidated Rulebook 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31606 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31606.pdf https://regulations.justia.com/regulations/fedreg/2011/12/09/2011-31605.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Its Rules an Existing Policy Related to the Application of NYSE Arca Options Rule 6.47A 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31605 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31605.pdf https://regulations.justia.com/regulations/fedreg/2011/12/09/2011-31604.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 72 Priority of Bids and Offers and Allocation of Executions 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31604 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31604.pdf https://regulations.justia.com/regulations/fedreg/2011/12/09/2011-31603.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Firm Related Equity Option Cap 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31603 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31603.pdf https://regulations.justia.com/regulations/fedreg/2011/12/09/2011-31602.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 72 Priority of Bids and Offers and Allocation of Executions 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31602 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31602.pdf https://regulations.justia.com/regulations/fedreg/2011/12/09/2011-31601.html Notice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Order Approving Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31601 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31601.pdf https://regulations.justia.com/regulations/fedreg/2011/12/09/2011-31600.html Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Order Approving Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31600 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31600.pdf https://regulations.justia.com/regulations/fedreg/2011/12/09/2011-31599.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Routing Fees for PSX 2011-12-09T00:00:00-08:00 2011-12-09T00:00:00-08:00 2011-31599 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-09/pdf/2011-31599.pdf