<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011/12?registers=between&min-day=1&max-day=31 Thu, 23 May 2024 21:02:25 -0700 Thu, 23 May 2024 21:02:25 -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/2011/12?registers=between&min-day=1&max-day=31 Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33590.html https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33590.html Fri, 30 Dec 2011 00:00:00 -0800 2011-33590 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33590.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Increase the Trading Activity Fee Rate for Transactions in Covered Equity Securities https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33589.html https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33589.html Fri, 30 Dec 2011 00:00:00 -0800 2011-33589 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33589.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Its Automated Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33587.html https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33587.html Fri, 30 Dec 2011 00:00:00 -0800 2011-33587 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33587.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 103B, Which Governs the Allocation of Securities to DMMs https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33585.html https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33585.html Fri, 30 Dec 2011 00:00:00 -0800 2011-33585 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33585.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2012 https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33584.html https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33584.html Fri, 30 Dec 2011 00:00:00 -0800 2011-33584 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33584.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Under Rule 107B Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2012 https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33583.html https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33583.html Fri, 30 Dec 2011 00:00:00 -0800 2011-33583 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33583.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 103B, Which Governs the Allocation of Securities to DMMs https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33582.html https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33582.html Fri, 30 Dec 2011 00:00:00 -0800 2011-33582 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33582.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rules 504 and 509 To Modify the Quoting Requirements Applicable to Designated Market Maker Units Registered in Nasdaq Stock Market Securities Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33581.html https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33581.html Fri, 30 Dec 2011 00:00:00 -0800 2011-33581 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33581.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2012 https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33580.html https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33580.html Fri, 30 Dec 2011 00:00:00 -0800 2011-33580 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33580.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Under Rule 107B Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2012 https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33579.html https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33579.html Fri, 30 Dec 2011 00:00:00 -0800 2011-33579 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33579.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Amex Equities Rule 500 To Extend the Operation of the Pilot Program That Allows Nasdaq Stock Market Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2012 https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33578.html https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33578.html Fri, 30 Dec 2011 00:00:00 -0800 2011-33578 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33578.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33513.html https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33513.html Thu, 29 Dec 2011 00:00:00 -0800 2011-33513 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33513.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33488.html https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33488.html Thu, 29 Dec 2011 00:00:00 -0800 2011-33488 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33488.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Its Automated Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33450.html https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33450.html Thu, 29 Dec 2011 00:00:00 -0800 2011-33450 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33450.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to FLEX Options https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33449.html https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33449.html Thu, 29 Dec 2011 00:00:00 -0800 2011-33449 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33449.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33447.html https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33447.html Thu, 29 Dec 2011 00:00:00 -0800 2011-33447 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33447.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33446.html https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33446.html Thu, 29 Dec 2011 00:00:00 -0800 2011-33446 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33446.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33445.html https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33445.html Thu, 29 Dec 2011 00:00:00 -0800 2011-33445 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33445.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33379.html https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33379.html Thu, 29 Dec 2011 00:00:00 -0800 2011-33379 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33379.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33378.html https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33378.html Thu, 29 Dec 2011 00:00:00 -0800 2011-33378 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33378.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement a Competitive Liquidity Provider Program https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33377.html https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33377.html Thu, 29 Dec 2011 00:00:00 -0800 2011-33377 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33377.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33362.html https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33362.html Thu, 29 Dec 2011 00:00:00 -0800 2011-33362 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33362.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33361.html https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33361.html Thu, 29 Dec 2011 00:00:00 -0800 2011-33361 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33361.pdf Rule - Net Worth Standard for Accredited Investors https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33333.html https://regulations.justia.com/regulations/fedreg/2011/12/29/2011-33333.html Thu, 29 Dec 2011 00:00:00 -0800 2011-33333 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-12-29/pdf/2011-33333.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change Relating To Transfer of Exchange House Accounts https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33246.html https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33246.html Wed, 28 Dec 2011 00:00:00 -0800 2011-33246 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-28/pdf/2011-33246.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change Relating to Transfer of Positions Off the Floor https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33219.html https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33219.html Wed, 28 Dec 2011 00:00:00 -0800 2011-33219 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-28/pdf/2011-33219.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33218.html https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33218.html Wed, 28 Dec 2011 00:00:00 -0800 2011-33218 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-28/pdf/2011-33218.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33217.html https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33217.html Wed, 28 Dec 2011 00:00:00 -0800 2011-33217 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-28/pdf/2011-33217.pdf Rule - Mine Safety Disclosure https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33148.html https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33148.html Wed, 28 Dec 2011 00:00:00 -0800 2011-33148 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-12-28/pdf/2011-33148.pdf Rule - Extension of Temporary Registration of Municipal Advisors https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33146.html https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33146.html Tue, 27 Dec 2011 00:00:00 -0800 2011-33146 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33146.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change to Modify Rule 7034 Regarding Low Latency Network Connections https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33145.html https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33145.html Tue, 27 Dec 2011 00:00:00 -0800 2011-33145 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33145.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Co-Location Services https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33144.html https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33144.html Tue, 27 Dec 2011 00:00:00 -0800 2011-33144 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33144.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fee Schedule for Co-Location Services https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33121.html https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33121.html Tue, 27 Dec 2011 00:00:00 -0800 2011-33121 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33121.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Co-Location Services https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33120.html https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33120.html Tue, 27 Dec 2011 00:00:00 -0800 2011-33120 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33120.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Modify Rule 7034 Regarding Low Latency Network Connections https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33119.html https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33119.html Tue, 27 Dec 2011 00:00:00 -0800 2011-33119 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33119.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change To Modify its Co-Location Fee Schedule Regarding Low Latency Network Connections https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33118.html https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33118.html Tue, 27 Dec 2011 00:00:00 -0800 2011-33118 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33118.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33053.html https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33053.html Tue, 27 Dec 2011 00:00:00 -0800 2011-33053 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33053.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33052.html https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33052.html Tue, 27 Dec 2011 00:00:00 -0800 2011-33052 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33052.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Amendment to NYSE Amex Rule 452 and Corresponding Section 723 of the Company Guide and Amex Rule 577 Relating to Discretionary Proxy Voting on Executive Compensation Matters https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33045.html https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33045.html Tue, 27 Dec 2011 00:00:00 -0800 2011-33045 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33045.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Bond Trading License and the Bond Liquidity Provider Pilot Program Until the Earlier of the Approval of the Securities and Exchange Commission to Make Such Pilot Permanent or January 19, 2013 https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32817.html https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32817.html Thu, 22 Dec 2011 00:00:00 -0800 2011-32817 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32817.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting the Text of Financial Industry Regulatory Authority Rule 5210, Which Prohibits the Publication of Manipulative or Deceptive Quotations or Transactions, as NYSE Amex Equities Rule 5210 https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32816.html https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32816.html Thu, 22 Dec 2011 00:00:00 -0800 2011-32816 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32816.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Adopt ICC's Enhanced Margin Methodology https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32781.html https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32781.html Thu, 22 Dec 2011 00:00:00 -0800 2011-32781 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32781.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Novation of Trades at OCC https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32780.html https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32780.html Thu, 22 Dec 2011 00:00:00 -0800 2011-32780 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32780.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to DTC's Deposits Service Guide https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32756.html https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32756.html Thu, 22 Dec 2011 00:00:00 -0800 2011-32756 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32756.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating To Update DTC's Custody Service Guide https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32755.html https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32755.html Thu, 22 Dec 2011 00:00:00 -0800 2011-32755 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32755.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Consisting of Amendments to Rule G-16, on Periodic Compliance Examination, and Rule G-9, on Preservation of Records https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32754.html https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32754.html Thu, 22 Dec 2011 00:00:00 -0800 2011-32754 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32754.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32753.html https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32753.html Thu, 22 Dec 2011 00:00:00 -0800 2011-32753 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32753.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule With Respect to the Delisting of the Russell 2000 Index Options (RUT) https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32752.html https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32752.html Thu, 22 Dec 2011 00:00:00 -0800 2011-32752 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32752.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the PIMCO Total Return Exchange Traded Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32751.html https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32751.html Thu, 22 Dec 2011 00:00:00 -0800 2011-32751 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32751.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to Amending the BOX Trading Rules To Reduce the PIP From One Second to 100 Milliseconds https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32750.html https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32750.html Thu, 22 Dec 2011 00:00:00 -0800 2011-32750 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32750.pdf