Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010?limit=200®isters=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom2024-04-18T07:05:41-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2010/12/30/2010-33077.htmlRule - Principal Trades with Certain Advisory Clients2010-12-30T00:00:00-08:002010-12-30T00:00:00-08:002010-33077Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-33077.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32941.htmlNotice - Proposed Collection; Comment Request2010-12-30T00:00:00-08:002010-12-30T00:00:00-08:002010-32941Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32941.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32904.htmlNotice - Self-Regulatory Organizations, The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Amend IM-5101-2 To Provide Special Purpose Acquisition Companies the Option To Hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition and Other Changes to the SPAC Listing Standards2010-12-30T00:00:00-08:002010-12-30T00:00:00-08:002010-32904Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32904.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32891.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising Floor Qualification Examination2010-12-30T00:00:00-08:002010-12-30T00:00:00-08:002010-32891Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32891.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32885.htmlNotice - Public Company Accounting Oversight Board; Order Approving Proposed Rules on Auditing Standards Related to the Auditor's Assessment of and Response to Risk and Related Amendments to PCAOB Standards2010-12-30T00:00:00-08:002010-12-30T00:00:00-08:002010-32885Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32885.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32085.htmlProposed Rule - Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations2010-12-30T00:00:00-08:002010-12-30T00:00:00-08:002010-32085Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32085.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32787.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the Insurance and Retirement Processing Services To Incorporate a New Analytics Reporting Service2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32787Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32787.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32734.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending 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 Privileges2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32734Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32734.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32733.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Managed Futures Strategy Fund2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32733Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32733.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32732.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Amendments to Rule G-5, on Disciplinary Actions by Appropriate Regulatory Agencies, Remedial Notices by Registered Securities Associations; and Rule G-17, on Conduct of Municipal Securities Activities2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32732Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32732.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32731.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Create a Listing Market on the Exchange2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32731Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32731.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32730.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change to Enhance the Reconfirmation and Pricing Service, Including the Creation of the Obligation Warehouse2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32730Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32730.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32729.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32729Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32729.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32728.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Trading Rules To Permit Trading Options on Leveraged (Multiple or Inverse) Exchange-Traded Notes and Broaden the Definition of “Futures-Linked Securities”2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32728Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32728.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32715.htmlNotice - Order Approving Investment Adviser Registration Depository Filing Fees2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32715Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32715.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32727.htmlNotice - Sunshine Act Meeting2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32727Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32727.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32650.htmlNotice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20112010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32650Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32650.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32623.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC To Expand Its Short Term Option Program2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32623.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32622.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Permanent the Pilot Program That Offers Liquidity Takers a Reduced Transaction Fee Structure for Certain Bond Trades Executed on the NYSE Bonds System2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32622Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32622.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32615.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue the Practice Governing the Directed Order Process on BOX2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32615Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32615.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32614.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.52010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32614Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32614.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32613.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX Rule 11.52010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32613Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32613.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32608.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the SiM Dynamic Allocation Diversified Income ETF and SiM Dynamic Allocation Growth Income ETF2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32608Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32608.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32607.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Various NYSE Arca Equities Rules To Harmonize Them With Financial Industry Regulatory Authority Rules2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32607.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32553.htmlNotice - Submission for OMB Review; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32553.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32522.htmlNotice - Submission for OMB Review; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32522Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32522.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32521.htmlNotice - Proposed Collection; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32521Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32521.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32520.htmlNotice - Proposed Collection; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32520Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32520.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32519.htmlNotice - Proposed Collection; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32519Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32519.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32518.htmlNotice - Proposed Collection; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32518Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32518.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32517.htmlNotice - Proposed Collection; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32517Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32517.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32516.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend FINRA Rule 6140 (Other Trading Practices)2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32516Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32516.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32513.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of the Grail Western Asset Ultra Short Duration ETF Under NYSE Arca Equities Rule 8.6002010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32513Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32513.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32512.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Hybrid Opening System2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32512Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32512.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/27/2010-32382.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Alpha Index Options2010-12-27T00:00:00-08:002010-12-27T00:00:00-08:002010-32382Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-27/pdf/2010-32382.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/27/2010-32376.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule2010-12-27T00:00:00-08:002010-12-27T00:00:00-08:002010-32376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-27/pdf/2010-32376.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/27/2010-32372.htmlNotice - Proposed Collection; Comment Request2010-12-27T00:00:00-08:002010-12-27T00:00:00-08:002010-32372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-27/pdf/2010-32372.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32287.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32287Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32287.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32286.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Amend EDGX Rules 11.9 and 11.52010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32286Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32286.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32285.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Amend EDGA Rules 11.9(b)(1)(C) and 11.5(c)(7) Regarding Step-Up Orders2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32285Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32285.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32280.htmlNotice - Credit Rating Standardization Study2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32280Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32280.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32225.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change To Authorize Additional Shares of Preferred Stock and Designate Shares as Series A Preferred Stock2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32225.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32224.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify How Odd-Lots Are Handled on CBSX2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32224.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32223.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Eliminate the Validated Cross Trade Entry Functionality2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32223.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32222.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Options Overlying QNET2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32222Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32222.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-31943.htmlProposed Rule - Disclosure of Payments by Resource Extraction Issuers2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-31943Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-31943.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-31940.htmlProposed Rule - Conflict Minerals2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-31940Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-31940.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32098.htmlRule - Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities2010-12-22T00:00:00-08:002010-12-22T00:00:00-08:002010-32098Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32098.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32090.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations)2010-12-22T00:00:00-08:002010-12-22T00:00:00-08:002010-32090Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32090.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32089.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Relating to Complex Orders2010-12-22T00:00:00-08:002010-12-22T00:00:00-08:002010-32089Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32089.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32087.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .11(a) to NYSE Amex Options Rule 915 To Permit Trading Options on Leveraged Exchange-Traded Notes and Broaden the Definition of Futures Linked Securities2010-12-22T00:00:00-08:002010-12-22T00:00:00-08:002010-32087Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32087.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32086.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to Chicago Mercantile Exchange's Rules Governing Contract Specifications for Physically Delivered Single Security Futures2010-12-22T00:00:00-08:002010-12-22T00:00:00-08:002010-32086Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32086.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32067.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Regarding Rule 4.20-Anti-Money Laundering Compliance Program2010-12-22T00:00:00-08:002010-12-22T00:00:00-08:002010-32067Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32067.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/22/2010-31941.htmlProposed Rule - Mine Safety Disclosure2010-12-22T00:00:00-08:002010-12-22T00:00:00-08:002010-31941Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-31941.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/21/2010-32096.htmlNotice - Supatcha Resources Inc.; Order of Suspension of Trading2010-12-21T00:00:00-08:002010-12-21T00:00:00-08:002010-32096Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-32096.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31994.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 5.3(j) To Permit Trading Options on Leveraged Exchange-Traded Notes and Broaden the Definition of Futures Linked Securities2010-12-21T00:00:00-08:002010-12-21T00:00:00-08:002010-31994Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31994.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31973.htmlProposed Rule - End-User Exception to Mandatory Clearing of Security-Based Swaps2010-12-21T00:00:00-08:002010-12-21T00:00:00-08:002010-31973Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31973.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31951.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Regarding Registration and Qualification Requirements for Associated Persons2010-12-21T00:00:00-08:002010-12-21T00:00:00-08:002010-31951Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31951.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31950.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Establish Royalty Fees for Non-Customer Executions in Options Based on the KBW Bank Index2010-12-21T00:00:00-08:002010-12-21T00:00:00-08:002010-31950Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31950.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31949.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Establishing Strike Price Intervals of $1 and Increasing Position and Exercise Limits With Respect to Options on the KBW Bank Index2010-12-21T00:00:00-08:002010-12-21T00:00:00-08:002010-31949Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31949.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31932.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Margin Requirements for Credit Options2010-12-21T00:00:00-08:002010-12-21T00:00:00-08:002010-31932Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31932.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31931.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend for 12 Months the Pilot Program Permitting the Exchange's Ownership Interest in BIDS Holdings L.P. (BIDS) and the Affiliation of BIDS With the New York Block Exchange LLC2010-12-21T00:00:00-08:002010-12-21T00:00:00-08:002010-31931Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31931.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31930.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the C2 Fees Schedule2010-12-21T00:00:00-08:002010-12-21T00:00:00-08:002010-31930Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31930.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31928.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C To Clarify That Exchange Systems Enforce Rule 123C With Respect to Market At-The-Close and Limit At-The-Close Order Entry After 3:45 p.m.2010-12-21T00:00:00-08:002010-12-21T00:00:00-08:002010-31928Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31928.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31926.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C-NYSE Amex Equities To Clarify That Exchange Systems Enforce Rule 123C With Respect to Market At-The-Close and Limit At-The-Close Order Entry After 3:45 p.m.2010-12-21T00:00:00-08:002010-12-21T00:00:00-08:002010-31926Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31926.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31925.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Collection of Exchange Fees2010-12-21T00:00:00-08:002010-12-21T00:00:00-08:002010-31925Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31925.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31130.htmlProposed Rule - Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”2010-12-21T00:00:00-08:002010-12-21T00:00:00-08:002010-31130Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31130.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/20/C1-2010-29719.htmlProposed Rule - Security-Based Swap Data Repository Registration, Duties, and Core Principles2010-12-20T00:00:00-08:002010-12-20T00:00:00-08:00C1-2010-29719Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/C1-2010-29719.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31827.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue the Practice Governing the Exchange's Directed Order Process on BOX and Maintain the Effective Date Until December 31, 20102010-12-20T00:00:00-08:002010-12-20T00:00:00-08:002010-31827Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31827.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31826.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend Chapter IV of the BOX Rules To Allow Executing Participants To Provide BOX a List of the Order Flow Providers for Which the Executing Participants Will Provide Directed Order Services2010-12-20T00:00:00-08:002010-12-20T00:00:00-08:002010-31826Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31826.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31825.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity2010-12-20T00:00:00-08:002010-12-20T00:00:00-08:002010-31825Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31825.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31821.htmlNotice - Submission for OMB Review; Comment Request2010-12-20T00:00:00-08:002010-12-20T00:00:00-08:002010-31821Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31821.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31820.htmlNotice - Submission for OMB Review; Comment Request2010-12-20T00:00:00-08:002010-12-20T00:00:00-08:002010-31820Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31820.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31819.htmlNotice - Submission for OMB Review; Comment Request2010-12-20T00:00:00-08:002010-12-20T00:00:00-08:002010-31819Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31819.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31817.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(9)(a)(1) To Extend the Operation of a Pilot Operating Pursuant to the Rule Until June 1, 20112010-12-20T00:00:00-08:002010-12-20T00:00:00-08:002010-31817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31817.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31816.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 123C(9)(a)(1) To Extend the Operation of a Pilot Operating Pursuant to the Rule Until June 1, 20112010-12-20T00:00:00-08:002010-12-20T00:00:00-08:002010-31816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31816.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/20/2010-30469.htmlUnknown - Regulatory Flexibility Agenda2010-12-20T00:00:00-08:002010-12-20T00:00:00-08:002010-30469Unknownhttp://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-30469.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/17/2010-31685.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendments to Rule A-3, on Membership on the Board2010-12-17T00:00:00-08:002010-12-17T00:00:00-08:002010-31685Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-17/pdf/2010-31685.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/17/2010-31684.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, by New York Stock Exchange LLC in Connection with the Proposal of NYSE Euronext to Eliminate the Requirement of an 80% Supermajority Vote to Amend or Repeal Section 3.1 of its Bylaws2010-12-17T00:00:00-08:002010-12-17T00:00:00-08:002010-31684Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-17/pdf/2010-31684.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/17/2010-31683.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Fee Waiver2010-12-17T00:00:00-08:002010-12-17T00:00:00-08:002010-31683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-17/pdf/2010-31683.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/17/2010-31682.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide an Exemption from the Thirty-Day Written Notice Requirement of Rule 7018(i)(3)2010-12-17T00:00:00-08:002010-12-17T00:00:00-08:002010-31682Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-17/pdf/2010-31682.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31698.htmlNotice - In the Matter of Alternate Energy Holdings, Inc.; Order of Suspension of Trading2010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31698Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31698.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31634.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional and Voluntary Professional Fees2010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31634Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31634.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31633.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change Implementation Date for Direct Access Fees2010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31633Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31633.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31630.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Change Implementation Date for Direct Access Fees2010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31630Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31630.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31628.htmlNotice - Self-Regulatory Organizations; The NASDAQ OMX BX Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change Implementation Date for Direct Access Fees2010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31628.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31627.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31627Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31627.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31626.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31626Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31626.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31625.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31625.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31563.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products That Experience a Price Change of 10% or More During a Five-Minute Period2010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31563Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31563.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31562.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.14 To Extend the Operation of a Pilot Pursuant to the Rule Until April 11, 20112010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31562Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31562.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31561.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility2010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31561Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31561.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31560.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Rules To Extend Pilot Program Regarding Trading Pauses in Individual Securities Due To Extraordinary Market Volatility2010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31560Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31560.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31559.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 To Extend the Operation of a Pilot Pursuant to the Rule Until April 11, 20112010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31559Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31559.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31537.htmlNotice - Order Approving Public Company Accounting Oversight Board Supplemental Budget Request To Establish an Office of Outreach and Small Business Liaison in 20102010-12-16T00:00:00-08:002010-12-16T00:00:00-08:002010-31537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31537.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31491.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13 To Extend the Operation of a Pilot Pursuant to Rule 11.13 Until April 11, 20112010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31491Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31491.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31490.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.13 To Extend the Operation of a Pilot Pursuant to Rule 11.13 Until April 11, 20112010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31490Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31490.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31487.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Complex Orders2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31487Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31487.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31485.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt Additional Criteria for Listing Commodity Stockpiling Companies That Have Indicated That Their Business Plan Is To Buy and Hold Commodities2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31485Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31485.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31484.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102 To Extend the Pilot Program2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31484Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31484.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31483.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products That Experience a Price Change of 10% or More During a Five-Minute Period2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31483Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31483.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31482.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products That Experience a Price Change of 10% or More During a Five-Minute Period2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31482Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31482.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31480.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of the Trading Pause Pilot2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31480Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31480.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31479.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of the Individual Stock Trading Pause Pilot Program2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31479Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31479.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31478.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C To Extend the Effective Date of the Pilot2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31478Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31478.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31477.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C To Extend the Effective Date of the Pilot2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31477Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31477.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31475.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Related to Individual Securities Circuit Breakers2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31475Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31475.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31474.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Quote Management Procedures2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31474Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31474.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31472.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31472Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31472.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31470.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11 To Extend the Effective Date of the Pilot2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31470Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31470.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31457.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Collection of Exchange Fees2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31457Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31457.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31456.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31456Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31456.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31455.htmlNotice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Teucrium Natural Gas Fund Under NYSE Arca Equities Rule 8.2002010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31455Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31455.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31454.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating To Changing the Starting Time for NASDAQ OMX PSX2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31454Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31454.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31453.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Transactions Rule2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31453Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31453.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31452.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Transactions Rule2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31452Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31452.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31451.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Transactions Rule2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31451Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31451.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31450.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Pilot Program Related To Clearly Erroneous Execution Reviews2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31450Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31450.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31449.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Pilot Program Related to Clearly Erroneous Execution Transactions2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31449Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31449.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31448.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Pilot Program Related to Clearly Erroneous Execution Reviews2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31448Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31448.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31447.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of the Clearly Erroneous Policy Pilot Program2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31447Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31447.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31446.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend Pilot Program Regarding Clearly Erroneous Executions2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31446Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31446.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31445.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31445Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31445.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31442.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 7.10, Which Governs Clearly Erroneous Executions, To Extend the Effective Date of the Pilot2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31442Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31442.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31441.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 To Extend the Pilot Program2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31441Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31441.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31440.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128, Which Governs Clearly Erroneous Executions, To Extend the Effective Date of the Pilot2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31440Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31440.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31439.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Which Governs Clearly Erroneous Executions, To Extend the Effective Date of the Pilot2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31439Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31439.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31437.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Schedule and Circular Regarding Trading Permit Holder Application and Other Related Fees2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31437Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31437.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31436.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to CBOE's Marketing Fee Program2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31436Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31436.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31435.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule To Add Two New Routing Options2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31435Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31435.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31434.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule To Add Two New Routing Options2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31434Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31434.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31433.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31433Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31433.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31432.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2010-12-15T00:00:00-08:002010-12-15T00:00:00-08:002010-31432Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31432.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31329.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Re-establishing and Extending the Exchange's Pilot Program Relating to Cabinet Trades Until June 1, 20112010-12-14T00:00:00-08:002010-12-14T00:00:00-08:002010-31329Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31329.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31328.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Payment for Order Flow Fees2010-12-14T00:00:00-08:002010-12-14T00:00:00-08:002010-31328Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31328.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31290.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reestablishing a Pilot Program Relating to Cabinet Trades Until June 1, 20112010-12-14T00:00:00-08:002010-12-14T00:00:00-08:002010-31290Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31290.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31289.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Its Fee Schedule2010-12-14T00:00:00-08:002010-12-14T00:00:00-08:002010-31289Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31289.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31288.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To List and Trade Shares of the ETFS Asian Gold Trust2010-12-14T00:00:00-08:002010-12-14T00:00:00-08:002010-31288Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31288.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31256.htmlNotice - Nuveen Asset Management, et al.; Notice of Application2010-12-14T00:00:00-08:002010-12-14T00:00:00-08:002010-31256Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31256.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31230.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities2010-12-14T00:00:00-08:002010-12-14T00:00:00-08:002010-31230Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31230.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31228.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending Its Rules Regarding the Listing of Options Series With $1 Strike Prices2010-12-14T00:00:00-08:002010-12-14T00:00:00-08:002010-31228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31228.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/13/2010-31393.htmlNotice - Sunshine Act Meeting2010-12-13T00:00:00-08:002010-12-13T00:00:00-08:002010-31393Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-13/pdf/2010-31393.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/13/2010-31291.htmlNotice - Sunshine Act Meeting2010-12-13T00:00:00-08:002010-12-13T00:00:00-08:002010-31291Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-13/pdf/2010-31291.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/13/2010-31224.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending Its Rules Regarding the Listing of Option Series With $1 Strike Prices2010-12-13T00:00:00-08:002010-12-13T00:00:00-08:002010-31224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-13/pdf/2010-31224.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/13/2010-31200.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operative Date of NYSE Rule 92(c)(3) From December 31, 2010 to August 1, 20112010-12-13T00:00:00-08:002010-12-13T00:00:00-08:002010-31200Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-13/pdf/2010-31200.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/13/2010-31199.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) From December 31, 2010 to August 1, 20112010-12-13T00:00:00-08:002010-12-13T00:00:00-08:002010-31199Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-13/pdf/2010-31199.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/13/2010-31132.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing Relating to Listing and Trading of AdvisorShares Active Bear ETF Under NYSE Arca Equities Rule 8.6002010-12-13T00:00:00-08:002010-12-13T00:00:00-08:002010-31132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-13/pdf/2010-31132.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31102.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Create a Bond Trading License for Member Organizations and Establish Bonds Liquidity Providers as a New Market Class on NYSE Under a Pilot Program2010-12-10T00:00:00-08:002010-12-10T00:00:00-08:002010-31102Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31102.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31101.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Direct Access to Exchange Data2010-12-10T00:00:00-08:002010-12-10T00:00:00-08:002010-31101Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31101.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31100.htmlNotice - Self-Regulatory Organizations; The NASDAQ OMX BX Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Direct Access to Exchange Data2010-12-10T00:00:00-08:002010-12-10T00:00:00-08:002010-31100Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31100.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31099.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Direct Access to Exchange Data2010-12-10T00:00:00-08:002010-12-10T00:00:00-08:002010-31099Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31099.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31097.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 7.31(k) and 7.23(a)(1) To Modify Certain Characteristics of the Q Order and Clarify the Interest Eligible for Satisfaction of a Market Maker's Two-Sided Obligation2010-12-10T00:00:00-08:002010-12-10T00:00:00-08:002010-31097Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31097.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31096.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2010-12-10T00:00:00-08:002010-12-10T00:00:00-08:002010-31096Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31096.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31078.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, To Create a Listing Market on the Exchange2010-12-10T00:00:00-08:002010-12-10T00:00:00-08:002010-31078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31078.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31051.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Market Maker Quote Management Procedures2010-12-10T00:00:00-08:002010-12-10T00:00:00-08:002010-31051Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31051.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31050.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program2010-12-10T00:00:00-08:002010-12-10T00:00:00-08:002010-31050Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31050.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31049.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Penny Pilot Program2010-12-10T00:00:00-08:002010-12-10T00:00:00-08:002010-31049Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31049.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/10/2010-29957.htmlProposed Rule - Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers2010-12-10T00:00:00-08:002010-12-10T00:00:00-08:002010-29957Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-29957.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/10/2010-29956.htmlProposed Rule - Rules Implementing Amendments to the Investment Advisers Act of 19402010-12-10T00:00:00-08:002010-12-10T00:00:00-08:002010-29956Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-29956.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/10/2010-29719.htmlProposed Rule - Security-Based Swap Data Repository Registration, Duties, and Core Principles2010-12-10T00:00:00-08:002010-12-10T00:00:00-08:002010-29719Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-29719.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/09/2010-31003.htmlNotice - Joint Public Roundtable on Issues Related to Capital and Margin Requirements for Swaps and Security-Based Swaps2010-12-09T00:00:00-08:002010-12-09T00:00:00-08:002010-31003Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-31003.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30965.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for the NASDAQ OMX BX Equities System2010-12-09T00:00:00-08:002010-12-09T00:00:00-08:002010-30965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30965.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30946.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to Regulation NMS Rules2010-12-09T00:00:00-08:002010-12-09T00:00:00-08:002010-30946Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30946.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30945.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment of the Hybrid Agency Liaison Step-Up Rebate2010-12-09T00:00:00-08:002010-12-09T00:00:00-08:002010-30945Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30945.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30944.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.9 To Offer Anti-Internalization Qualifier (“AIQ”) Functionality to Exchange Users2010-12-09T00:00:00-08:002010-12-09T00:00:00-08:002010-30944Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30944.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30943.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.9 To Offer Anti-Internalization Qualifier (“AIQ”) Functionality to Exchange Users2010-12-09T00:00:00-08:002010-12-09T00:00:00-08:002010-30943Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30943.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30942.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rules 2270 and 2910 To Reflect Changes to Corresponding FINRA Rule2010-12-09T00:00:00-08:002010-12-09T00:00:00-08:002010-30942Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30942.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30941.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Waiver of Transaction Fee for Public Customer Orders in SPDR Options Executed in Open Outcry or in the Automated Improvement Mechanism2010-12-09T00:00:00-08:002010-12-09T00:00:00-08:002010-30941Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30941.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30905.htmlNotice - Acceptance of Public Submissions on a Study Mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act, Section 719(b)2010-12-09T00:00:00-08:002010-12-09T00:00:00-08:002010-30905Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30905.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30883.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Market and Stop Orders in Nasdaq-Listed Securities Traded on the Exchange2010-12-09T00:00:00-08:002010-12-09T00:00:00-08:002010-30883Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30883.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30881.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the Cost Basis Reporting Service2010-12-08T00:00:00-08:002010-12-08T00:00:00-08:002010-30881Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30881.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30880.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Procedure II of the NSCC Rules & Procedures To Modify the Money Tolerance Comparison Provisions for Fixed Income Securities2010-12-08T00:00:00-08:002010-12-08T00:00:00-08:002010-30880Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30880.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30833.htmlNotice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2010-12-08T00:00:00-08:002010-12-08T00:00:00-08:002010-30833Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30833.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30830.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2010-12-08T00:00:00-08:002010-12-08T00:00:00-08:002010-30830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30830.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30829.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Effectuate an Amendment to Bylaws of NSX Holdings, Inc.2010-12-08T00:00:00-08:002010-12-08T00:00:00-08:002010-30829Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30829.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30804.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to The Price Improvement Period To Permit an Initiating Participant To Designate a PIP Surrender Quantity2010-12-08T00:00:00-08:002010-12-08T00:00:00-08:002010-30804Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30804.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30803.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC To Clarify the Exclusion of Partial Trading Days From Certain Calculations Within the Investor Support Program2010-12-08T00:00:00-08:002010-12-08T00:00:00-08:002010-30803Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30803.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30721.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Extending the End-of-Day Cutoff Time for Processing to The Federal Reserve and To Reflect Other Changes Requested by the Federal Reserve2010-12-08T00:00:00-08:002010-12-08T00:00:00-08:002010-30721Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30721.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30718.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending the Exchange Price List With Respect to Nasdaq Securities Traded Pursuant to Unlisted Trading Privileges2010-12-08T00:00:00-08:002010-12-08T00:00:00-08:002010-30718Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30718.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30703.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Modify Fees for NASDAQ OMX PSX2010-12-08T00:00:00-08:002010-12-08T00:00:00-08:002010-30703Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30703.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30702.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Billing and Other Clarifying Amendments2010-12-08T00:00:00-08:002010-12-08T00:00:00-08:002010-30702Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30702.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30701.htmlNotice - Approval of Investment Adviser Registration Depository Filing Fees2010-12-08T00:00:00-08:002010-12-08T00:00:00-08:002010-30701Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30701.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30731.htmlNotice - FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT:2010-12-07T00:00:00-08:002010-12-07T00:00:00-08:002010-30731Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30731.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30580.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement, on a Semi-Annual Basis, of Penny Pilot Issues that Have Been Delisted2010-12-07T00:00:00-08:002010-12-07T00:00:00-08:002010-30580Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30580.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30579.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement, on a Semi-Annual Basis, of Penny Pilot Issues That Have Been Delisted2010-12-07T00:00:00-08:002010-12-07T00:00:00-08:002010-30579Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30579.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30577.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Create a Directed Order Program2010-12-07T00:00:00-08:002010-12-07T00:00:00-08:002010-30577Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30577.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30576.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols2010-12-07T00:00:00-08:002010-12-07T00:00:00-08:002010-30576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30576.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30575.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Revise Section 4.04 of the Data Recipient Interface Specification and Section 4.15 of the Participant Interface Specification and Make Conforming Changes to Appendix D2010-12-07T00:00:00-08:002010-12-07T00:00:00-08:002010-30575Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30575.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30574.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Calculation of Net Asset Value for the iShares® Gold Trust2010-12-07T00:00:00-08:002010-12-07T00:00:00-08:002010-30574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30574.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30628.htmlNotice - Sunshine Act Meeting2010-12-06T00:00:00-08:002010-12-06T00:00:00-08:002010-30628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30628.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30590.htmlProposed Rule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients2010-12-06T00:00:00-08:002010-12-06T00:00:00-08:002010-30590Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30590.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30530.htmlNotice - Sunshine Act Meeting2010-12-06T00:00:00-08:002010-12-06T00:00:00-08:002010-30530Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30530.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30461.htmlNotice - American United Life Insurance Company, et al.; Notice of Application2010-12-06T00:00:00-08:002010-12-06T00:00:00-08:002010-30461Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30461.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30434.htmlNotice - Securities Investor Protection Corporation; Notice of Filing of a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members2010-12-06T00:00:00-08:002010-12-06T00:00:00-08:002010-30434Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30434.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30432.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 To Extend, Through December 31, 2011, the Pilot Program That Permits Certain Classes To Be Quoted in Penny Increments on BOX2010-12-06T00:00:00-08:002010-12-06T00:00:00-08:002010-30432Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30432.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30431.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Option Trading Rules in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 20112010-12-06T00:00:00-08:002010-12-06T00:00:00-08:002010-30431Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30431.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30429.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend to July 16, 2011, the Pilot Period for FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)2010-12-06T00:00:00-08:002010-12-06T00:00:00-08:002010-30429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30429.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30428.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Penny Pilot Program2010-12-06T00:00:00-08:002010-12-06T00:00:00-08:002010-30428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30428.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/03/2010-30376.htmlNotice - Order Extending Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of Eurex Clearing AG Related to Central Clearing of Credit Default Swaps and Request for Comment2010-12-03T00:00:00-08:002010-12-03T00:00:00-08:002010-30376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-03/pdf/2010-30376.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/03/2010-30375.htmlNotice - Order Extending Temporary Conditional Exemptions Under The Securities Exchange Act of 1934 in Connection With Request on Behalf of Ice Clear Europe, Limited Related to Central Clearing of Credit Default Swaps and Request for Comment2010-12-03T00:00:00-08:002010-12-03T00:00:00-08:002010-30375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-03/pdf/2010-30375.pdf