Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2010/01/11?limit=200®isters=between&mode=atom2024-12-22T21:12:20-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-391.htmlNotice - Sunshine Act Meeting Notice2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-391Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-391.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-240.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make the Exchange's Pilot Program To Expose All-Or-None Orders Permanent2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-240.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-239.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program To Expose All-or-None Orders Until January 31, 20102010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-239Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-239.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-238.htmlNotice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of a Proposed Change to the Interpretive Notice Regarding Security Futures Products Proficiency Training2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-238Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-238.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-222.htmlNotice - National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Compliance Rule 2-29(h) and the Adoption of an Interpretive Notice Regarding the Use of On-Line Social Networking Groups To Communicate With the Public2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-222Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-222.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-205.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow All SPY and IWM Option Series To Quote in Penny Increments2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-205.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-204.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow All SPY and IWM Option Series To Quote in Penny Increments2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-204.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-196.htmlNotice - BlackRock, Inc.; Notice of Application2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-196Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-196.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-195.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Facilitate Annual Membership Billing Conducted by BX Using the FINRA CRD System2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-195Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-195.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-194.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on the Brazilian Real2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-194Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-194.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-193.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Amend the $1 Strike Program To Allow Low-Strike LEAPS2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-193Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-193.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-192.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Rescinding NYSE Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-192Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-192.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-191.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Rescinding Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-191Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-191.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-190.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Related to Stock-Option Orders2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-190Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-190.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-19.htmlRule - Commission Guidance Regarding Independent Public Accountant Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment Advisers Act of 19402010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-19Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-19.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-189.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Concurrent Listing of $2.50 and $1 Strikes on MNX Options2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-189.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-188.htmlNotice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Fee Schedule2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-188Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-188.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/11/2010-18.htmlRule - Custody of Funds or Securities of Clients by Investment Advisers2010-01-11T00:00:00-08:002010-01-11T00:00:00-08:002010-18Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-18.pdf