Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/12/29?limit=200&registers=between&mode=atom 2024-05-28T01:18:18-07:00 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/2011/12/29/2011-33513.html Notice - Proposed Collection; Comment Request 2011-12-29T00:00:00-08:00 2011-12-29T00:00:00-08:00 2011-33513 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33513.pdf https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33488.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2210 (Communications With the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications With the Public Regarding Security Futures), and 2216 (Communications With the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook 2011-12-29T00:00:00-08:00 2011-12-29T00:00:00-08:00 2011-33488 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33488.pdf https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33450.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Its Automated Improvement Mechanism 2011-12-29T00:00:00-08:00 2011-12-29T00:00:00-08:00 2011-33450 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33450.pdf https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33449.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to FLEX Options 2011-12-29T00:00:00-08:00 2011-12-29T00:00:00-08:00 2011-33449 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33449.pdf https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33447.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities 2011-12-29T00:00:00-08:00 2011-12-29T00:00:00-08:00 2011-33447 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33447.pdf https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33446.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Amex Equities Rule 70 2011-12-29T00:00:00-08:00 2011-12-29T00:00:00-08:00 2011-33446 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33446.pdf https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33445.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .26 (Pegging for d-Quotes and e-Quotes) to NYSE Rule 70 2011-12-29T00:00:00-08:00 2011-12-29T00:00:00-08:00 2011-33445 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33445.pdf https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33379.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Applicable to the Trading of NMS Stocks Through NASDAQ OMX PSX 2011-12-29T00:00:00-08:00 2011-12-29T00:00:00-08:00 2011-33379 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33379.pdf https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33378.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers 2011-12-29T00:00:00-08:00 2011-12-29T00:00:00-08:00 2011-33378 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33378.pdf https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33377.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement a Competitive Liquidity Provider Program 2011-12-29T00:00:00-08:00 2011-12-29T00:00:00-08:00 2011-33377 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33377.pdf https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33362.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee Schedule Applicable to Its OTC Credit Default Swap North American Index Clearing Offering 2011-12-29T00:00:00-08:00 2011-12-29T00:00:00-08:00 2011-33362 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33362.pdf https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33361.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee Schedule Applicable to Its OTC Interest Rate Swap Clearing Offering 2011-12-29T00:00:00-08:00 2011-12-29T00:00:00-08:00 2011-33361 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33361.pdf https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33333.html Rule - Net Worth Standard for Accredited Investors 2011-12-29T00:00:00-08:00 2011-12-29T00:00:00-08:00 2011-33333 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33333.pdf