Securities and Exchange Commission 2011 – Federal Register Recent Federal Regulation Documents

Results 501 - 550 of 2,021
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Amending NYSE Rule 17(c)(2)(B) To Make Permanent the Pilot Program That Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Rule 17(c)(2)(A)(ii) to More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority
Document Number: 2011-25825
Type: Notice
Date: 2011-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25825.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend C2 Rule 8.2 Concerning the Market-Maker Registration Cost for SPXPM
Document Number: 2011-25823
Type: Notice
Date: 2011-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25823.html
Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending NYSE Amex Options Rule 993NY(b)(2) To Make Permanent the Pilot Program that Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in Its Capacity as a Facility of Affiliated Exchanges and To Clarify the Text of NYSE Amex Options Rule 993NY(b)(1)(B) to More Accurately Reflect the Regulatory Services Agreement Between the Exchange and the Financial Industry Regulatory Authority
Document Number: 2011-25822
Type: Notice
Date: 2011-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25822.html
Approval of Filing Fees for Exempt Reporting Advisers and Private Fund Advisers
Document Number: 2011-25821
Type: Notice
Date: 2011-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is providing notice of its intent to approve filing fees for exempt reporting advisers filing Form ADV and, consistent with one of its recent rule proposals, private fund advisers filing Form PF.
https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25821.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain References to the Exchange Acting as the Designated Examining Authority
Document Number: 2011-25795
Type: Notice
Date: 2011-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25795.html
Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide an Optional Functionality for a BOX Options Participant To Prevent Its Market Maker or Proprietary Broker-Dealer Orders Entered in BOX From Trading With Quotes/Orders Originating From the Same BOX Participant and Were Resting on the BOX Book
Document Number: 2011-25794
Type: Notice
Date: 2011-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25794.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule To Increase the Number of Series Permitted per Class in the Short Term Option Series Program
Document Number: 2011-25793
Type: Notice
Date: 2011-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25793.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend BYX Rule 13.3 To Prohibit Members From Voting Uninstructed Shares on Certain Matters and To Align BYX Rule 13.3, Concerning the Forwarding of Proxy and Other Material and Proxy Voting, With the Rules of Other Self-Regulatory Organizations
Document Number: 2011-25792
Type: Notice
Date: 2011-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25792.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend BATS Rule 13.3 To Prohibit Members From Voting Uninstructed Shares on Certain Matters and To Align BATS Rule 13.3, Concerning the Forwarding of Proxy and Other Material and Proxy Voting, With the Rules of Other Self-Regulatory Organizations
Document Number: 2011-25790
Type: Notice
Date: 2011-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25790.html
Submission for OMB Review; Comment Request
Document Number: 2011-25789
Type: Notice
Date: 2011-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25789.html
Submission for OMB Review; Comment Request
Document Number: 2011-25788
Type: Notice
Date: 2011-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25788.html
Submission for OMB Review; Comment Request
Document Number: 2011-25787
Type: Notice
Date: 2011-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/06/2011-25787.html
Destra Capital Investments LLC and Destra Unit Investment Trust; Notice of Application
Document Number: 2011-25678
Type: Notice
Date: 2011-10-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/05/2011-25678.html
Principal Funds, Inc., et al.;
Document Number: 2011-25677
Type: Notice
Date: 2011-10-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/05/2011-25677.html
Rule 19a-1 Extension; Proposed Collection; Comment Request
Document Number: 2011-25676
Type: Notice
Date: 2011-10-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/05/2011-25676.html
Extension: Form N-17f-2; Proposed Collection; Comment Request
Document Number: 2011-25675
Type: Notice
Date: 2011-10-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/05/2011-25675.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
Document Number: 2011-25674
Type: Notice
Date: 2011-10-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/05/2011-25674.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Two-Day Settlement on CBOE Stock Exchange
Document Number: 2011-25572
Type: Notice
Date: 2011-10-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/05/2011-25572.html
Sunshine Act Meeting
Document Number: 2011-25659
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25659.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGX Rule 11.14
Document Number: 2011-25529
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25529.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change Related to Market-Wide Circuit Breakers
Document Number: 2011-25528
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25528.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility
Document Number: 2011-25527
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25527.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Proposed Rule Change Related to Market-Wide Circuit Breakers
Document Number: 2011-25526
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25526.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Exchange Rule 80B To Revise the Current Methodology For Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility
Document Number: 2011-25525
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25525.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing Proposed Rule Change To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due To Extraordinary Market Volatility
Document Number: 2011-25524
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25524.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.12 To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility
Document Number: 2011-25519
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25519.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Modify the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility
Document Number: 2011-25518
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25518.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Revise the Methodology for Determining When to Halt Trading Due to Extraordinary Market Volatility
Document Number: 2011-25517
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25517.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Trading Halts Due to Extraordinary Market Volatility
Document Number: 2011-25515
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25515.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 80B To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility
Document Number: 2011-25513
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25513.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change by EDGA Exchange, Inc. To Amend EDGA Rule 11.14 To Revise the Current Methodology for Determining When To Halt Trading in All Stocks Due to Extraordinary Market Volatility
Document Number: 2011-25512
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25512.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
Document Number: 2011-25511
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25511.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Modify the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility
Document Number: 2011-25510
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25510.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Revise the Methodology for Determining When to Halt Trading Due to Extraordinary Market Volatility
Document Number: 2011-25509
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25509.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Proposed Rule Change Related to Trading Halts Due to Extraordinary Market Volatility
Document Number: 2011-25508
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25508.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Regarding Simplification of the Exchange's $1 Strike Price Program
Document Number: 2011-25505
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25505.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Amendments to Rule A-3, on Membership on the Board
Document Number: 2011-25478
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25478.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 903 in Order To Simplify the $1 Strike Price Program
Document Number: 2011-25477
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25477.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Regarding Simplification of the Exchange's $1 Strike Price Program
Document Number: 2011-25476
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25476.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .04 to Rule 6.4 in Order To Simplify the $1 Strike Price Program
Document Number: 2011-25475
Type: Notice
Date: 2011-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/04/2011-25475.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Options Market
Document Number: C1-2011-23721
Type: Notice
Date: 2011-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/03/C1-2011-23721.html
BB Liquidation Inc., Order of Suspension of Trading
Document Number: 2011-25506
Type: Notice
Date: 2011-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25506.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Document Number: 2011-25379
Type: Notice
Date: 2011-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25379.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Document Number: 2011-25378
Type: Notice
Date: 2011-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25378.html
Submission for OMB Review; Comment Request
Document Number: 2011-25368
Type: Notice
Date: 2011-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25368.html
Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the National Market System Plan To Address Extraordinary Market Volatility by 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.
Document Number: 2011-25353
Type: Notice
Date: 2011-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25353.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
Document Number: 2011-25352
Type: Notice
Date: 2011-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25352.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Establish an Acceptable Trade Range for Quotes and Orders Entered on The NASDAQ Options Market
Document Number: 2011-25351
Type: Notice
Date: 2011-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/10/03/2011-25351.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons
Document Number: 2011-25288
Type: Notice
Date: 2011-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25288.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Rules Relating to the Settlement Timing of Partial Transfers Which Include Mutual Fund Assets Through NSCC's Automated Customer Account Transfer Service
Document Number: 2011-25195
Type: Notice
Date: 2011-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2011/09/30/2011-25195.html
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