Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2011?limit=200&registers=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom 2020-10-23T05:26:36-07:00 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/2011/12/30/2011-33590.html 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 2011-12-30T00:00:00-08:00 2011-12-30T00:00:00-08:00 2011-33590 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33590.pdf https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33589.html 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 2011-12-30T00:00:00-08:00 2011-12-30T00:00:00-08:00 2011-33589 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33589.pdf https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33587.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Its Automated Improvement Mechanism 2011-12-30T00:00:00-08:00 2011-12-30T00:00:00-08:00 2011-33587 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33587.pdf https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33585.html 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 2011-12-30T00:00:00-08:00 2011-12-30T00:00:00-08:00 2011-33585 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33585.pdf https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33584.html 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 2011-12-30T00:00:00-08:00 2011-12-30T00:00:00-08:00 2011-33584 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33584.pdf https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33583.html 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 2011-12-30T00:00:00-08:00 2011-12-30T00:00:00-08:00 2011-33583 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33583.pdf https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33582.html 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 2011-12-30T00:00:00-08:00 2011-12-30T00:00:00-08:00 2011-33582 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33582.pdf https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33581.html 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 2011-12-30T00:00:00-08:00 2011-12-30T00:00:00-08:00 2011-33581 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33581.pdf https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33580.html 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 2011-12-30T00:00:00-08:00 2011-12-30T00:00:00-08:00 2011-33580 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33580.pdf https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33579.html 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 2011-12-30T00:00:00-08:00 2011-12-30T00:00:00-08:00 2011-33579 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33579.pdf https://regulations.justia.com/regulations/fedreg/2011/12/30/2011-33578.html 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 2011-12-30T00:00:00-08:00 2011-12-30T00:00:00-08:00 2011-33578 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-30/pdf/2011-33578.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33246.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change Relating To Transfer of Exchange House Accounts 2011-12-28T00:00:00-08:00 2011-12-28T00:00:00-08:00 2011-33246 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-28/pdf/2011-33246.pdf https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33219.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change Relating to Transfer of Positions Off the Floor 2011-12-28T00:00:00-08:00 2011-12-28T00:00:00-08:00 2011-33219 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-28/pdf/2011-33219.pdf https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33218.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules 2011-12-28T00:00:00-08:00 2011-12-28T00:00:00-08:00 2011-33218 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-28/pdf/2011-33218.pdf https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33217.html 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 2011-12-28T00:00:00-08:00 2011-12-28T00:00:00-08:00 2011-33217 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-28/pdf/2011-33217.pdf https://regulations.justia.com/regulations/fedreg/2011/12/28/2011-33148.html Rule - Mine Safety Disclosure 2011-12-28T00:00:00-08:00 2011-12-28T00:00:00-08:00 2011-33148 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-12-28/pdf/2011-33148.pdf https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33146.html Rule - Extension of Temporary Registration of Municipal Advisors 2011-12-27T00:00:00-08:00 2011-12-27T00:00:00-08:00 2011-33146 Rule http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33146.pdf https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33145.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change to Modify Rule 7034 Regarding Low Latency Network Connections 2011-12-27T00:00:00-08:00 2011-12-27T00:00:00-08:00 2011-33145 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33145.pdf https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33144.html 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 2011-12-27T00:00:00-08:00 2011-12-27T00:00:00-08:00 2011-33144 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33144.pdf https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33121.html 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 2011-12-27T00:00:00-08:00 2011-12-27T00:00:00-08:00 2011-33121 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33121.pdf https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33120.html 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 2011-12-27T00:00:00-08:00 2011-12-27T00:00:00-08:00 2011-33120 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33120.pdf https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33119.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Modify Rule 7034 Regarding Low Latency Network Connections 2011-12-27T00:00:00-08:00 2011-12-27T00:00:00-08:00 2011-33119 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33119.pdf https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33118.html 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 2011-12-27T00:00:00-08:00 2011-12-27T00:00:00-08:00 2011-33118 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33118.pdf https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33053.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program 2011-12-27T00:00:00-08:00 2011-12-27T00:00:00-08:00 2011-33053 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33053.pdf https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33052.html 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 2011-12-27T00:00:00-08:00 2011-12-27T00:00:00-08:00 2011-33052 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33052.pdf https://regulations.justia.com/regulations/fedreg/2011/12/27/2011-33045.html 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 2011-12-27T00:00:00-08:00 2011-12-27T00:00:00-08:00 2011-33045 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-27/pdf/2011-33045.pdf https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32817.html 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 2011-12-22T00:00:00-08:00 2011-12-22T00:00:00-08:00 2011-32817 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32817.pdf https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32816.html 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 2011-12-22T00:00:00-08:00 2011-12-22T00:00:00-08:00 2011-32816 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32816.pdf https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32781.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Adopt ICC's Enhanced Margin Methodology 2011-12-22T00:00:00-08:00 2011-12-22T00:00:00-08:00 2011-32781 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32781.pdf https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32780.html 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 2011-12-22T00:00:00-08:00 2011-12-22T00:00:00-08:00 2011-32780 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32780.pdf https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32756.html 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 2011-12-22T00:00:00-08:00 2011-12-22T00:00:00-08:00 2011-32756 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32756.pdf https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32755.html 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 2011-12-22T00:00:00-08:00 2011-12-22T00:00:00-08:00 2011-32755 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32755.pdf https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32754.html 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 2011-12-22T00:00:00-08:00 2011-12-22T00:00:00-08:00 2011-32754 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32754.pdf https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32753.html 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 2011-12-22T00:00:00-08:00 2011-12-22T00:00:00-08:00 2011-32753 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32753.pdf https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32752.html 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) 2011-12-22T00:00:00-08:00 2011-12-22T00:00:00-08:00 2011-32752 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32752.pdf https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32751.html 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 2011-12-22T00:00:00-08:00 2011-12-22T00:00:00-08:00 2011-32751 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32751.pdf https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32750.html 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 2011-12-22T00:00:00-08:00 2011-12-22T00:00:00-08:00 2011-32750 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32750.pdf https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32749.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Regarding Strike Price Intervals for SLV and USO Options 2011-12-22T00:00:00-08:00 2011-12-22T00:00:00-08:00 2011-32749 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32749.pdf https://regulations.justia.com/regulations/fedreg/2011/12/22/2011-32748.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2011-12-22T00:00:00-08:00 2011-12-22T00:00:00-08:00 2011-32748 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-22/pdf/2011-32748.pdf https://regulations.justia.com/regulations/fedreg/2011/12/20/2011-32601.html Notice - Sunshine Act Meeting 2011-12-20T00:00:00-08:00 2011-12-20T00:00:00-08:00 2011-32601 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-20/pdf/2011-32601.pdf https://regulations.justia.com/regulations/fedreg/2011/12/19/2011-32409.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Option Floor Broker Subsidy 2011-12-19T00:00:00-08:00 2011-12-19T00:00:00-08:00 2011-32409 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-19/pdf/2011-32409.pdf https://regulations.justia.com/regulations/fedreg/2011/12/19/2011-32406.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 2011-12-19T00:00:00-08:00 2011-12-19T00:00:00-08:00 2011-32406 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-19/pdf/2011-32406.pdf https://regulations.justia.com/regulations/fedreg/2011/12/19/2011-32370.html Notice - American Century Strategic Asset Allocations, Inc., et al.; 2011-12-19T00:00:00-08:00 2011-12-19T00:00:00-08:00 2011-32370 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-19/pdf/2011-32370.pdf https://regulations.justia.com/regulations/fedreg/2011/12/19/2011-32356.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Repeal Incorporated NYSE Rule 2A (Jurisdiction) 2011-12-19T00:00:00-08:00 2011-12-19T00:00:00-08:00 2011-32356 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-19/pdf/2011-32356.pdf https://regulations.justia.com/regulations/fedreg/2011/12/19/2011-32355.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule 2011-12-19T00:00:00-08:00 2011-12-19T00:00:00-08:00 2011-32355 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-19/pdf/2011-32355.pdf https://regulations.justia.com/regulations/fedreg/2011/12/19/2011-32344.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to a Complex Order Auction Feature 2011-12-19T00:00:00-08:00 2011-12-19T00:00:00-08:00 2011-32344 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-19/pdf/2011-32344.pdf https://regulations.justia.com/regulations/fedreg/2011/12/19/2011-32343.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to a Complex Order Auction Feature 2011-12-19T00:00:00-08:00 2011-12-19T00:00:00-08:00 2011-32343 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-19/pdf/2011-32343.pdf https://regulations.justia.com/regulations/fedreg/2011/12/16/2011-32238.html Notice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Option Fee Disputes 2011-12-16T00:00:00-08:00 2011-12-16T00:00:00-08:00 2011-32238 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-16/pdf/2011-32238.pdf https://regulations.justia.com/regulations/fedreg/2011/12/16/2011-32228.html Proposed Rule - Prohibition Against Conflicts of Interest in Certain Securitizations 2011-12-16T00:00:00-08:00 2011-12-16T00:00:00-08:00 2011-32228 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2011-12-16/pdf/2011-32228.pdf https://regulations.justia.com/regulations/fedreg/2011/12/16/2011-32221.html Notice - Proposed Collection; Comment Request; 2011-12-16T00:00:00-08:00 2011-12-16T00:00:00-08:00 2011-32221 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-16/pdf/2011-32221.pdf https://regulations.justia.com/regulations/fedreg/2011/12/16/2011-32220.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols 2011-12-16T00:00:00-08:00 2011-12-16T00:00:00-08:00 2011-32220 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-16/pdf/2011-32220.pdf https://regulations.justia.com/regulations/fedreg/2011/12/15/2011-32219.html Notice - Sunshine Act Meeting 2011-12-15T00:00:00-08:00 2011-12-15T00:00:00-08:00 2011-32219 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-15/pdf/2011-32219.pdf https://regulations.justia.com/regulations/fedreg/2011/12/15/2011-32169.html Notice - Wells Fargo Bank, N.A., et al.; Notice of Application and Temporary Order 2011-12-15T00:00:00-08:00 2011-12-15T00:00:00-08:00 2011-32169 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-15/pdf/2011-32169.pdf https://regulations.justia.com/regulations/fedreg/2011/12/15/2011-32167.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change to Request Permanent Approval of the Pilot Program to Permit NASDAQ OMX PSX to Accept Inbound Orders that Nasdaq Execution Services, LLC Routes in its Capacity as a Facility of The NASDAQ Stock Market LLC 2011-12-15T00:00:00-08:00 2011-12-15T00:00:00-08:00 2011-32167 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-15/pdf/2011-32167.pdf https://regulations.justia.com/regulations/fedreg/2011/12/15/2011-32166.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule 2011-12-15T00:00:00-08:00 2011-12-15T00:00:00-08:00 2011-32166 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-15/pdf/2011-32166.pdf https://regulations.justia.com/regulations/fedreg/2011/12/15/2011-32165.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule 2011-12-15T00:00:00-08:00 2011-12-15T00:00:00-08:00 2011-32165 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-15/pdf/2011-32165.pdf https://regulations.justia.com/regulations/fedreg/2011/12/15/2011-32143.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Post-Only Order 2011-12-15T00:00:00-08:00 2011-12-15T00:00:00-08:00 2011-32143 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-15/pdf/2011-32143.pdf https://regulations.justia.com/regulations/fedreg/2011/12/15/2011-32142.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Management of Liquidity Risk 2011-12-15T00:00:00-08:00 2011-12-15T00:00:00-08:00 2011-32142 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-15/pdf/2011-32142.pdf https://regulations.justia.com/regulations/fedreg/2011/12/15/2011-32141.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the Minimum Life Order as a New Order Type 2011-12-15T00:00:00-08:00 2011-12-15T00:00:00-08:00 2011-32141 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-15/pdf/2011-32141.pdf https://regulations.justia.com/regulations/fedreg/2011/12/15/2011-32140.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Permit Fees 2011-12-15T00:00:00-08:00 2011-12-15T00:00:00-08:00 2011-32140 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-15/pdf/2011-32140.pdf https://regulations.justia.com/regulations/fedreg/2011/12/15/2011-32139.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Permit Fee 2011-12-15T00:00:00-08:00 2011-12-15T00:00:00-08:00 2011-32139 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-15/pdf/2011-32139.pdf https://regulations.justia.com/regulations/fedreg/2011/12/15/2011-32138.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Relating to Manual Orders 2011-12-15T00:00:00-08:00 2011-12-15T00:00:00-08:00 2011-32138 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-15/pdf/2011-32138.pdf https://regulations.justia.com/regulations/fedreg/2011/12/15/2011-32132.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Modify Its Co-Location Fee Schedule Regarding Low Latency Network Connections; Correction 2011-12-15T00:00:00-08:00 2011-12-15T00:00:00-08:00 2011-32132 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-15/pdf/2011-32132.pdf https://regulations.justia.com/regulations/fedreg/2011/12/14/2011-32164.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Allow the Mortgage-Backed Securities Division To Provide Guaranteed Settlement and Central Counterparty Services; Correction 2011-12-14T00:00:00-08:00 2011-12-14T00:00:00-08:00 2011-32164 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-14/pdf/2011-32164.pdf https://regulations.justia.com/regulations/fedreg/2011/12/14/2011-32087.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change, as Modified by Amendment No. 2, Consisting of Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities 2011-12-14T00:00:00-08:00 2011-12-14T00:00:00-08:00 2011-32087 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-14/pdf/2011-32087.pdf https://regulations.justia.com/regulations/fedreg/2011/12/14/2011-32067.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Withdrawal of Proposed Rule Change To Modify Commentary .01 to Rule 1009 Regarding Criteria for Listing an Option on an Underlying Covered Security 2011-12-14T00:00:00-08:00 2011-12-14T00:00:00-08:00 2011-32067 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-14/pdf/2011-32067.pdf https://regulations.justia.com/regulations/fedreg/2011/12/14/2011-32066.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGA Rule 11.9 2011-12-14T00:00:00-08:00 2011-12-14T00:00:00-08:00 2011-32066 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-14/pdf/2011-32066.pdf https://regulations.justia.com/regulations/fedreg/2011/12/14/2011-32034.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change Related to Complex Order Processing in Hybrid 3.0 Classes 2011-12-14T00:00:00-08:00 2011-12-14T00:00:00-08:00 2011-32034 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-14/pdf/2011-32034.pdf https://regulations.justia.com/regulations/fedreg/2011/12/14/2011-32003.html Notice - Seasons Series Trust, et al.; Notice of Application 2011-12-14T00:00:00-08:00 2011-12-14T00:00:00-08:00 2011-32003 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-14/pdf/2011-32003.pdf https://regulations.justia.com/regulations/fedreg/2011/12/14/2011-32001.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to API Fees 2011-12-14T00:00:00-08:00 2011-12-14T00:00:00-08:00 2011-32001 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-14/pdf/2011-32001.pdf https://regulations.justia.com/regulations/fedreg/2011/12/14/2011-32000.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4613(a)(2)(D) To Clarify That the Designated Percentage for Rights and Warrants Is Thirty Percent 2011-12-14T00:00:00-08:00 2011-12-14T00:00:00-08:00 2011-32000 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-14/pdf/2011-32000.pdf https://regulations.justia.com/regulations/fedreg/2011/12/14/2011-31999.html Notice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee 2011-12-14T00:00:00-08:00 2011-12-14T00:00:00-08:00 2011-31999 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-14/pdf/2011-31999.pdf https://regulations.justia.com/regulations/fedreg/2011/12/14/2011-31998.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for BX Members Using the NASDAQ OMX BX Equities System 2011-12-14T00:00:00-08:00 2011-12-14T00:00:00-08:00 2011-31998 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-14/pdf/2011-31998.pdf https://regulations.justia.com/regulations/fedreg/2011/12/14/2011-31997.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Expand the Applicability of the Fails Charge to Agency Debt Securities Transactions 2011-12-14T00:00:00-08:00 2011-12-14T00:00:00-08:00 2011-31997 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-14/pdf/2011-31997.pdf https://regulations.justia.com/regulations/fedreg/2011/12/14/2011-31968.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2011-12-14T00:00:00-08:00 2011-12-14T00:00:00-08:00 2011-31968 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-14/pdf/2011-31968.pdf https://regulations.justia.com/regulations/fedreg/2011/12/13/2011-32031.html Notice - In the Matter of: Brendan Technologies, Inc., CenterStaging Corp., PGMI, Inc., Thermal Energy Storage, Inc., and Trinity3 Corporation; Order of Suspension of Trading 2011-12-13T00:00:00-08:00 2011-12-13T00:00:00-08:00 2011-32031 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-13/pdf/2011-32031.pdf https://regulations.justia.com/regulations/fedreg/2011/12/13/2011-32002.html Notice - Sunshine Act Meeting 2011-12-13T00:00:00-08:00 2011-12-13T00:00:00-08:00 2011-32002 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-13/pdf/2011-32002.pdf https://regulations.justia.com/regulations/fedreg/2011/12/13/2011-31891.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. 2011-12-13T00:00:00-08:00 2011-12-13T00:00:00-08:00 2011-31891 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-13/pdf/2011-31891.pdf https://regulations.justia.com/regulations/fedreg/2011/12/12/2011-31877.html Notice - Sunshine Act Meeting 2011-12-12T00:00:00-08:00 2011-12-12T00:00:00-08:00 2011-31877 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-12/pdf/2011-31877.pdf https://regulations.justia.com/regulations/fedreg/2011/12/12/2011-31764.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGX Rule 11.9 2011-12-12T00:00:00-08:00 2011-12-12T00:00:00-08:00 2011-31764 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-12/pdf/2011-31764.pdf https://regulations.justia.com/regulations/fedreg/2011/12/12/2011-31763.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGA Rule 11.9 2011-12-12T00:00:00-08:00 2011-12-12T00:00:00-08:00 2011-31763 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-12/pdf/2011-31763.pdf https://regulations.justia.com/regulations/fedreg/2011/12/12/2011-31762.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Allow the Mortgage-Backed Securities Division To Provide Guaranteed Settlement and Central Counterparty Services 2011-12-12T00:00:00-08:00 2011-12-12T00:00:00-08:00 2011-31762 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-12/pdf/2011-31762.pdf https://regulations.justia.com/regulations/fedreg/2011/12/12/2011-31761.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Whistleblower Claims in Arbitration 2011-12-12T00:00:00-08:00 2011-12-12T00:00:00-08:00 2011-31761 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-12/pdf/2011-31761.pdf https://regulations.justia.com/regulations/fedreg/2011/12/12/2011-31737.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Existing Operational Arrangements Involving Eligibility of Securities 2011-12-12T00:00:00-08:00 2011-12-12T00:00:00-08:00 2011-31737 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-12/pdf/2011-31737.pdf https://regulations.justia.com/regulations/fedreg/2011/12/12/2011-31736.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Legging Orders 2011-12-12T00:00:00-08:00 2011-12-12T00:00:00-08:00 2011-31736 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-12/pdf/2011-31736.pdf https://regulations.justia.com/regulations/fedreg/2011/12/12/2011-31735.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Threshold Levels for Tier-Based Rebates for Qualified Contingent Cross Orders and Solicitation Orders Executed on the Exchange 2011-12-12T00:00:00-08:00 2011-12-12T00:00:00-08:00 2011-31735 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-12/pdf/2011-31735.pdf https://regulations.justia.com/regulations/fedreg/2011/12/12/2011-31734.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee 2011-12-12T00:00:00-08:00 2011-12-12T00:00:00-08:00 2011-31734 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-12/pdf/2011-31734.pdf 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 https://regulations.justia.com/regulations/fedreg/2011/12/08/2011-31524.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating To Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA 2011-12-08T00:00:00-08:00 2011-12-08T00:00:00-08:00 2011-31524 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-08/pdf/2011-31524.pdf https://regulations.justia.com/regulations/fedreg/2011/12/08/2011-31485.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees for BX 2011-12-08T00:00:00-08:00 2011-12-08T00:00:00-08:00 2011-31485 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-08/pdf/2011-31485.pdf https://regulations.justia.com/regulations/fedreg/2011/12/08/2011-31483.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Transaction Fees 2011-12-08T00:00:00-08:00 2011-12-08T00:00:00-08:00 2011-31483 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-08/pdf/2011-31483.pdf https://regulations.justia.com/regulations/fedreg/2011/12/08/2011-31482.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2011-12-08T00:00:00-08:00 2011-12-08T00:00:00-08:00 2011-31482 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-08/pdf/2011-31482.pdf https://regulations.justia.com/regulations/fedreg/2011/12/08/2011-31481.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct NOM Rules 2011-12-08T00:00:00-08:00 2011-12-08T00:00:00-08:00 2011-31481 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-08/pdf/2011-31481.pdf https://regulations.justia.com/regulations/fedreg/2011/12/08/2011-31480.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trades for Less Than $1 2011-12-08T00:00:00-08:00 2011-12-08T00:00:00-08:00 2011-31480 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-08/pdf/2011-31480.pdf https://regulations.justia.com/regulations/fedreg/2011/12/08/2011-31479.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Modify a Practice in Order To Mitigate Systemic Risk, Specifically Liquidity Related, Associated With DTC End of Day Net Funds Settlement 2011-12-08T00:00:00-08:00 2011-12-08T00:00:00-08:00 2011-31479 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-08/pdf/2011-31479.pdf https://regulations.justia.com/regulations/fedreg/2011/12/08/2011-31478.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow for the Clearing of Real Estate Index Futures Contracts 2011-12-08T00:00:00-08:00 2011-12-08T00:00:00-08:00 2011-31478 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-08/pdf/2011-31478.pdf https://regulations.justia.com/regulations/fedreg/2011/12/08/2011-31477.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality 2011-12-08T00:00:00-08:00 2011-12-08T00:00:00-08:00 2011-31477 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-08/pdf/2011-31477.pdf https://regulations.justia.com/regulations/fedreg/2011/12/08/2011-31476.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality 2011-12-08T00:00:00-08:00 2011-12-08T00:00:00-08:00 2011-31476 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-08/pdf/2011-31476.pdf https://regulations.justia.com/regulations/fedreg/2011/12/08/2011-31475.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality 2011-12-08T00:00:00-08:00 2011-12-08T00:00:00-08:00 2011-31475 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-08/pdf/2011-31475.pdf https://regulations.justia.com/regulations/fedreg/2011/12/08/2011-31474.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NYSE Rule 104(a)(1)(A) To Reflect That Designated Market Maker Unit Quoting Requirements Are Based on Consolidated Average Daily Volume 2011-12-08T00:00:00-08:00 2011-12-08T00:00:00-08:00 2011-31474 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-08/pdf/2011-31474.pdf https://regulations.justia.com/regulations/fedreg/2011/12/08/2011-31473.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NYSE Rule 104(a)(1)(A) To Reflect That Designated Market Maker Unit Quoting Requirements Are Based on Consolidated Average Daily Volume 2011-12-08T00:00:00-08:00 2011-12-08T00:00:00-08:00 2011-31473 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-08/pdf/2011-31473.pdf https://regulations.justia.com/regulations/fedreg/2011/12/07/2011-31484.html Notice - Sunshine Act Meeting 2011-12-07T00:00:00-08:00 2011-12-07T00:00:00-08:00 2011-31484 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-07/pdf/2011-31484.pdf https://regulations.justia.com/regulations/fedreg/2011/12/07/2011-31414.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 26 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the 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., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc. 2011-12-07T00:00:00-08:00 2011-12-07T00:00:00-08:00 2011-31414 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-07/pdf/2011-31414.pdf https://regulations.justia.com/regulations/fedreg/2011/12/07/2011-31337.html Notice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Accuvest Global Opportunities ETF Under NYSE Arca Equities Rule 8.600 2011-12-07T00:00:00-08:00 2011-12-07T00:00:00-08:00 2011-31337 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-07/pdf/2011-31337.pdf https://regulations.justia.com/regulations/fedreg/2011/12/07/2011-31336.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Network and Gateway Fees 2011-12-07T00:00:00-08:00 2011-12-07T00:00:00-08:00 2011-31336 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-07/pdf/2011-31336.pdf https://regulations.justia.com/regulations/fedreg/2011/12/07/2011-31335.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of SPDR SSgA Real Assets ETF; SPDR SSgA Income Allocation ETF; SPDR SSgA Conservative Global Allocation ETF; SPDR SSgA Global Allocation ETF; and SPDR SSgA Aggressive Global Allocation ETF Under NYSE Arca Equities Rule 8.600 2011-12-07T00:00:00-08:00 2011-12-07T00:00:00-08:00 2011-31335 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-07/pdf/2011-31335.pdf https://regulations.justia.com/regulations/fedreg/2011/12/07/2011-31334.html Notice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate To Add Liquidity 2011-12-07T00:00:00-08:00 2011-12-07T00:00:00-08:00 2011-31334 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-07/pdf/2011-31334.pdf https://regulations.justia.com/regulations/fedreg/2011/12/07/2011-31298.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2011-12-07T00:00:00-08:00 2011-12-07T00:00:00-08:00 2011-31298 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-07/pdf/2011-31298.pdf https://regulations.justia.com/regulations/fedreg/2011/12/06/2011-31457.html Notice - Sunshine Act Meeting 2011-12-06T00:00:00-08:00 2011-12-06T00:00:00-08:00 2011-31457 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-06/pdf/2011-31457.pdf https://regulations.justia.com/regulations/fedreg/2011/12/06/2011-31263.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Russell Global Opportunity ETF; Russell Bond ETF; and Russell Real Return ETF Under NYSE Arca Equities Rule 8.600 2011-12-06T00:00:00-08:00 2011-12-06T00:00:00-08:00 2011-31263 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-06/pdf/2011-31263.pdf https://regulations.justia.com/regulations/fedreg/2011/12/06/2011-31230.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Exchange Direct Orders 2011-12-06T00:00:00-08:00 2011-12-06T00:00:00-08:00 2011-31230 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-06/pdf/2011-31230.pdf https://regulations.justia.com/regulations/fedreg/2011/12/06/2011-31204.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Active Specialized Quote Feed Port Fee 2011-12-06T00:00:00-08:00 2011-12-06T00:00:00-08:00 2011-31204 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-06/pdf/2011-31204.pdf https://regulations.justia.com/regulations/fedreg/2011/12/06/2011-31188.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period To Allow Cabinet Trading To Take Place Below $1 per Option Contract 2011-12-06T00:00:00-08:00 2011-12-06T00:00:00-08:00 2011-31188 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-06/pdf/2011-31188.pdf https://regulations.justia.com/regulations/fedreg/2011/12/05/2011-31264.html Notice - Sunshine Act Meeting 2011-12-05T00:00:00-08:00 2011-12-05T00:00:00-08:00 2011-31264 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-05/pdf/2011-31264.pdf https://regulations.justia.com/regulations/fedreg/2011/12/05/2011-31261.html Notice - ZipGlobal Holdings, Inc., Symbollon Pharmaceuticals, Inc., Microholdings US, Inc., ComCam International, Inc., Outfront Companies, Augrid Global Holdings Corp., 1st Global Financial, Corp.; Order of Suspension of Trading 2011-12-05T00:00:00-08:00 2011-12-05T00:00:00-08:00 2011-31261 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-05/pdf/2011-31261.pdf https://regulations.justia.com/regulations/fedreg/2011/12/05/2011-31110.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the QView Service 2011-12-05T00:00:00-08:00 2011-12-05T00:00:00-08:00 2011-31110 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-05/pdf/2011-31110.pdf https://regulations.justia.com/regulations/fedreg/2011/12/05/2011-31103.html Notice - Submission for OMB Review; Comment Request 2011-12-05T00:00:00-08:00 2011-12-05T00:00:00-08:00 2011-31103 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-05/pdf/2011-31103.pdf https://regulations.justia.com/regulations/fedreg/2011/12/05/2011-31102.html Notice - Submission for OMB Review; Comment Request 2011-12-05T00:00:00-08:00 2011-12-05T00:00:00-08:00 2011-31102 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-05/pdf/2011-31102.pdf https://regulations.justia.com/regulations/fedreg/2011/12/05/2011-31101.html Notice - Proposed Collection; Comment Request 2011-12-05T00:00:00-08:00 2011-12-05T00:00:00-08:00 2011-31101 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-05/pdf/2011-31101.pdf https://regulations.justia.com/regulations/fedreg/2011/12/05/2011-31100.html Notice - Submission for OMB Review; Comment Request 2011-12-05T00:00:00-08:00 2011-12-05T00:00:00-08:00 2011-31100 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-05/pdf/2011-31100.pdf https://regulations.justia.com/regulations/fedreg/2011/12/05/2011-31099.html Notice - AllianceBernstein Cap Fund, Inc., et al.; Notice of Application 2011-12-05T00:00:00-08:00 2011-12-05T00:00:00-08:00 2011-31099 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-05/pdf/2011-31099.pdf https://regulations.justia.com/regulations/fedreg/2011/12/05/2011-31045.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Guggenheim Enhanced Short Duration High Yield Bond ETF Under NYSE Arca Equities Rule 8.600 2011-12-05T00:00:00-08:00 2011-12-05T00:00:00-08:00 2011-31045 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-05/pdf/2011-31045.pdf https://regulations.justia.com/regulations/fedreg/2011/12/05/2011-31044.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Emerging Markets Inflation Protection Bond Fund Under NYSE Arca Equities Rule 8.600 2011-12-05T00:00:00-08:00 2011-12-05T00:00:00-08:00 2011-31044 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-05/pdf/2011-31044.pdf https://regulations.justia.com/regulations/fedreg/2011/12/05/2011-31043.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change To Amend the By-Laws of The NASDAQ OMX Group, Inc. 2011-12-05T00:00:00-08:00 2011-12-05T00:00:00-08:00 2011-31043 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-05/pdf/2011-31043.pdf https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-31014.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. 2011-12-02T00:00:00-08:00 2011-12-02T00:00:00-08:00 2011-31014 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-02/pdf/2011-31014.pdf https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-31001.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Amending and Restating the CBSX Operating Agreement and Adopting Rule 2.50 2011-12-02T00:00:00-08:00 2011-12-02T00:00:00-08:00 2011-31001 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-02/pdf/2011-31001.pdf https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30997.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the Proposed Rule Change in Connection With the Proposed Purchase and Sale of the National Stock Exchange, Inc. to CBOE Stock Exchange, Inc. 2011-12-02T00:00:00-08:00 2011-12-02T00:00:00-08:00 2011-30997 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-02/pdf/2011-30997.pdf https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30996.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Makers' Continuous Electronic Quoting Obligations and Adjusted Option Series 2011-12-02T00:00:00-08:00 2011-12-02T00:00:00-08:00 2011-30996 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-02/pdf/2011-30996.pdf https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30995.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market-Makers' Continuous Quoting Obligations and Adjusted Option Series 2011-12-02T00:00:00-08:00 2011-12-02T00:00:00-08:00 2011-30995 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-02/pdf/2011-30995.pdf https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30994.html 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 2011-12-02T00:00:00-08:00 2011-12-02T00:00:00-08:00 2011-30994 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-02/pdf/2011-30994.pdf https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30989.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for a Direct Market Data Product, NASDAQ Options Trade Outline (“NOTO”) 2011-12-02T00:00:00-08:00 2011-12-02T00:00:00-08:00 2011-30989 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-02/pdf/2011-30989.pdf https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30983.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Listed Company Manual To Apply Listing and Annual Fees to Foreign Private Issuers of Certain Debt Securities 2011-12-02T00:00:00-08:00 2011-12-02T00:00:00-08:00 2011-30983 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-02/pdf/2011-30983.pdf https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30982.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change With Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. 2011-12-02T00:00:00-08:00 2011-12-02T00:00:00-08:00 2011-30982 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-02/pdf/2011-30982.pdf https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30981.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of a Recently Effective Modification to the Operation of the Minimum Quantity Order on the NASDAQ OMX PSX 2011-12-02T00:00:00-08:00 2011-12-02T00:00:00-08:00 2011-30981 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-02/pdf/2011-30981.pdf https://regulations.justia.com/regulations/fedreg/2011/12/02/2011-30980.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Enhance Risk Management Controls Associated With the Receiver Authorized Delivery Function 2011-12-02T00:00:00-08:00 2011-12-02T00:00:00-08:00 2011-30980 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-02/pdf/2011-30980.pdf https://regulations.justia.com/regulations/fedreg/2011/12/01/2011-31047.html Notice - Sunshine Act Meeting 2011-12-01T00:00:00-08:00 2011-12-01T00:00:00-08:00 2011-31047 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-01/pdf/2011-31047.pdf https://regulations.justia.com/regulations/fedreg/2011/12/01/2011-30916.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Limited Extension to the Compliance Deadline for Registration and Qualification Pursuant to Rule 3.6A 2011-12-01T00:00:00-08:00 2011-12-01T00:00:00-08:00 2011-30916 Notice http://www.gpo.gov/fdsys/pkg/FR-2011-12-01/pdf/2011-30916.pdf 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