Securities and Exchange Commission June 2010 – Federal Register Recent Federal Regulation Documents

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Aris Industries, Inc., Bene Io, Inc., Commodore Separation Technologies, Inc., Food Integrated Technologies, Inc., Gap Instrument Corp., Skysat Communications Network Corp., and Vicon Fiber Optics Corp.; Order of Suspension of Trading
Document Number: 2010-16000
Type: Notice
Date: 2010-06-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/30/2010-16000.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending NYSE Arca Equities Rule 7.11 To Set Forth How the Exchange Will Handle Order Flow During a Regulatory Halt for a Security Listed on an Exchange Other Than NYSE Arca
Document Number: 2010-15893
Type: Notice
Date: 2010-06-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/30/2010-15893.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise Its By-Laws and Rules To Establish a Clearing Fund Amount Intended To Support Losses Under a Defined Set of Default Scenarios
Document Number: 2010-15892
Type: Notice
Date: 2010-06-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/30/2010-15892.html
Lazard Global Total Return and Income Fund, Inc., et al.; Notice of Application
Document Number: 2010-15887
Type: Notice
Date: 2010-06-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/30/2010-15887.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE AMEX LLC to Expand and Permanently Establish Its Short Term Option Program
Document Number: 2010-15825
Type: Notice
Date: 2010-06-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/30/2010-15825.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Arca To Expand and Permanently Establish Its Short Term Option Program
Document Number: 2010-15824
Type: Notice
Date: 2010-06-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/30/2010-15824.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing the Exchange's Directed Order Process on the Boston Options Exchange
Document Number: 2010-15823
Type: Notice
Date: 2010-06-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/30/2010-15823.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement an Equity Rights Program
Document Number: 2010-15822
Type: Notice
Date: 2010-06-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/30/2010-15822.html
Sunshine Act; Notice of Meeting
Document Number: 2010-15821
Type: Notice
Date: 2010-06-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/29/2010-15821.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Adopting NYSE Arca Equities Rule 0 To Provide That Certain References in Exchange Rules Should Be Understood to Also Include FINRA, as Applicable
Document Number: 2010-15754
Type: Notice
Date: 2010-06-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/29/2010-15754.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Adopting Rule 0 To Provide That Certain References in Exchange Rules Should Be Understood To Also Include FINRA, as Applicable
Document Number: 2010-15753
Type: Notice
Date: 2010-06-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/29/2010-15753.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Regarding Listing and Trading of the WisdomTree Emerging Markets Local Debt Fund
Document Number: 2010-15752
Type: Notice
Date: 2010-06-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/29/2010-15752.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Relating to Listing and Trading of WisdomTree Dreyfus Commodity Currency Fund Under NYSE Arca Equities Rule 8.600
Document Number: 2010-15750
Type: Notice
Date: 2010-06-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/29/2010-15750.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Listing and Trading Shares of AdvisorShares WCM/BNY Mellon Focused Growth ADR ETF
Document Number: 2010-15749
Type: Notice
Date: 2010-06-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/29/2010-15749.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2.4
Document Number: 2010-15748
Type: Notice
Date: 2010-06-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/29/2010-15748.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Arca Equities Rule 7.10 Relating to Clearly Erroneous Executions
Document Number: 2010-15747
Type: Notice
Date: 2010-06-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/29/2010-15747.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Relating to the Guaranteed Allocation for Lead Market Makers and Directed Order Market Makers
Document Number: 2010-15746
Type: Notice
Date: 2010-06-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/29/2010-15746.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish in the Market for OTC Equity Securities Certain Regulatory Protections Derived From Certain Rules Adopted by the Commission in the Market for Listed Securities
Document Number: 2010-15707
Type: Notice
Date: 2010-06-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/29/2010-15707.html
Sunshine Act Meeting
Document Number: 2010-15706
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15706.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting New Rule 0 To Provide That Certain References in Exchange Rules Should Be Understood to Also Include FINRA, as Applicable.
Document Number: 2010-15650
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15650.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 0 To Provide That Certain References in Exchange Rules Should Be Understood To Also Include FINRA, as Applicable
Document Number: 2010-15649
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15649.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 1000 Regarding Order Size Eligible for Automatic Execution
Document Number: 2010-15597
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15597.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 1000 Regarding Order Size Eligible for Automatic Execution
Document Number: 2010-15594
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15594.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to the CBSX Clearly Erroneous Policy
Document Number: 2010-15591
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15591.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Article 20, Rule 10 Regarding Clearly Erroneous Transactions
Document Number: 2010-15590
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15590.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 11.19, Entitled “Clearly Erroneous Executions”
Document Number: 2010-15588
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15588.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, To Amend NASDAQ OMX BX Rule 11890 Governing Clearly Erroneous Executions
Document Number: 2010-15550
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15550.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Document Number: 2010-15549
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15549.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 11.17, entitled “Clearly Erroneous Executions”
Document Number: 2010-15547
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15547.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Amend EDGX Rule 11.13, Entitled “Clearly Erroneous Executions”
Document Number: 2010-15546
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15546.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Amend EDGA Rule 11.13, Entitled “Clearly Erroneous Executions”
Document Number: 2010-15545
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15545.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NASDAQ Rule 11890 Governing Clearly Erroneous Executions
Document Number: 2010-15543
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15543.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 128 Relating to Clearly Erroneous Executions
Document Number: 2010-15542
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15542.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 128 Relating to Clearly Erroneous Executions
Document Number: 2010-15541
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15541.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Clearly Erroneous Executions
Document Number: 2010-15540
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15540.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Sprott Physical Gold Shares
Document Number: 2010-15539
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15539.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
Document Number: 2010-15537
Type: Notice
Date: 2010-06-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/28/2010-15537.html
Channel America Television Network, Inc., EquiMed, Inc., Kore Holdings, Inc., Robotic Vision Systems, Inc. (n/k/a Acuity Cimatrix, Inc.), Security Investments Group, Inc., Shared Technologies Cellular, Inc., Shimoda Resources Holdings, Inc., Tri Star Holdings, Inc. (f/k/a Silver Star Foods, Inc.), and V-One Corp.; Order of Suspension of Trading
Document Number: 2010-15586
Type: Notice
Date: 2010-06-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/25/2010-15586.html
SSE Telecom, Inc., Strategic Alliance Group, Inc., (n/k/a CruiseCam International, Inc.), Stratasec, Inc., Superfly Advertising, Inc. (f/k/a Morlex, Inc.), SVI Media, Inc., Symons International Group, Inc., Synergy Renewable Resources, Inc., and Syntech International, Inc. (n/k/a Avalon Technology Group, Inc.); Order of Suspension of Trading
Document Number: 2010-15585
Type: Notice
Date: 2010-06-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/25/2010-15585.html
Pruco Life Insurance Company, et al.; Notice of Application
Document Number: 2010-15362
Type: Notice
Date: 2010-06-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants seek an order under Section 6(c) of the Act, exempting them from Sections 2(a)(32), and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder, to permit the recapture of credits previously applied to purchase payments under certain variable flexible premium deferred annuity contracts issued by the Insurance Companies.
https://regulations.justia.com/regulations/fedreg/2010/06/25/2010-15362.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish a Revenue Sharing Program With Correlix, Inc.
Document Number: 2010-15361
Type: Notice
Date: 2010-06-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/25/2010-15361.html
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Equity Options
Document Number: 2010-15360
Type: Notice
Date: 2010-06-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/25/2010-15360.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 8210 To Require Information Provided via Portable Media Device Be Encrypted
Document Number: 2010-15359
Type: Notice
Date: 2010-06-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/25/2010-15359.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Related to the Price Improvement Mechanism
Document Number: 2010-15357
Type: Notice
Date: 2010-06-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/25/2010-15357.html
Green Energy Resources, Inc.; Order of Suspension of Trading
Document Number: 2010-15425
Type: Notice
Date: 2010-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/24/2010-15425.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Amend NYSE Arca Rule 3.3(a) and Section 401(a) of the Exchange's Bylaws To Eliminate the Exchange's Audit Committee, Compensation Committee, and Regulatory Oversight Committee
Document Number: 2010-15285
Type: Notice
Date: 2010-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/24/2010-15285.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change Relating to the Corporate Restructuring of C2 in Connection With the Demutualization of the Chicago Board Options Exchange, Incorporated
Document Number: 2010-15281
Type: Notice
Date: 2010-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/24/2010-15281.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity
Document Number: 2010-15280
Type: Notice
Date: 2010-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/24/2010-15280.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Related to the Hybrid Matching Algorithms
Document Number: 2010-15279
Type: Notice
Date: 2010-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/24/2010-15279.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Discontinuation of the MSRB Public Access Facility
Document Number: 2010-15268
Type: Notice
Date: 2010-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/06/24/2010-15268.html
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