<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2010/01/05?registers=between Sun, 29 Jun 2025 12:20:53 -0700 Sun, 29 Jun 2025 12:20:53 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2010/01/05?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31429.html https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31429.html Tue, 05 Jan 2010 00:00:00 -0800 E9-31429 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31429.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to the Simple Auction Liaison (SAL) https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31345.html https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31345.html Tue, 05 Jan 2010 00:00:00 -0800 E9-31345 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31345.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Technical Change to the Exchange's Complex Order Program https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31344.html https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31344.html Tue, 05 Jan 2010 00:00:00 -0800 E9-31344 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31344.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Increase the Ceiling on Its Equity Ownership Interest in BIDS Holdings L.P. to Less Than 10% https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31343.html https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31343.html Tue, 05 Jan 2010 00:00:00 -0800 E9-31343 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31343.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Reserve Orders https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31342.html https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31342.html Tue, 05 Jan 2010 00:00:00 -0800 E9-31342 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31342.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31333.html https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31333.html Tue, 05 Jan 2010 00:00:00 -0800 E9-31333 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31333.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of Rule 92(c)(3) From December 31, 2009 to July 31, 2010 https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31273.html https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31273.html Tue, 05 Jan 2010 00:00:00 -0800 E9-31273 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31273.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving the Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Amex Equities Rule 123C To Modify the Procedures for Its Closing Process and Make Conforming Changes to NYSE Amex Equities Rule 13 and Rule 15 https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31272.html https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31272.html Tue, 05 Jan 2010 00:00:00 -0800 E9-31272 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31272.pdf Notice - 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, 2009 to July 31, 2010 https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31271.html https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31271.html Tue, 05 Jan 2010 00:00:00 -0800 E9-31271 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31271.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to Additional Voluntary Submissions by Issuers to the MSRB's Electronic Municipal Market Access System (EMMA®) https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31206.html https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31206.html Tue, 05 Jan 2010 00:00:00 -0800 E9-31206 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31206.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to Rule G-32, on Disclosures in Connection With Primary Offerings, Form G-32, and the Primary Market Disclosure and Primary Market Subscription Services of the MSRB's Electronic Municipal Market Access System (EMMA®) https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31205.html https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31205.html Tue, 05 Jan 2010 00:00:00 -0800 E9-31205 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31205.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Allow The Depository Trust Company To Provide Settlement Services to European Central Counterparty Limited for U.S. Securities Traded on European Trading Venues https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31204.html https://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31204.html Tue, 05 Jan 2010 00:00:00 -0800 E9-31204 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31204.pdf