Securities and Exchange Commission December 28, 2011 – Federal Register Recent Federal Regulation Documents

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Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change Relating To Transfer of Exchange House Accounts
Document Number: 2011-33246
Type: Notice
Date: 2011-12-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33246.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change Relating to Transfer of Positions Off the Floor
Document Number: 2011-33219
Type: Notice
Date: 2011-12-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33219.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
Document Number: 2011-33218
Type: Notice
Date: 2011-12-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33218.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program
Document Number: 2011-33217
Type: Notice
Date: 2011-12-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33217.html
Mine Safety Disclosure
Document Number: 2011-33148
Type: Rule
Date: 2011-12-28
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting amendments to our rules to implement Section 1503 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 1503(a) of the Act requires issuers that are operators, or that have a subsidiary that is an operator, of a coal or other mine to disclose in their periodic reports filed with the Commission information regarding specified health and safety violations, orders and citations, related assessments and legal actions, and mining- related fatalities. Section 1503(b) of the Act mandates the filing of a Form 8-K disclosing the receipt of certain orders and notices from the Mine Safety and Health Administration.
https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33148.html
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