<![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/2010/01/11?registers=between Sat, 19 Jul 2025 15:29:43 -0700 Sat, 19 Jul 2025 15:29:43 -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/2010/01/11?registers=between Notice - Sunshine Act Meeting Notice https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-391.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-391.html Mon, 11 Jan 2010 00:00:00 -0800 2010-391 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-391.pdf Notice - 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 Permanent https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-240.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-240.html Mon, 11 Jan 2010 00:00:00 -0800 2010-240 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-240.pdf Notice - 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, 2010 https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-239.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-239.html Mon, 11 Jan 2010 00:00:00 -0800 2010-239 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-239.pdf Notice - 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 Training https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-238.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-238.html Mon, 11 Jan 2010 00:00:00 -0800 2010-238 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-238.pdf Notice - 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 Public https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-222.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-222.html Mon, 11 Jan 2010 00:00:00 -0800 2010-222 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-222.pdf Notice - 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 Increments https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-205.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-205.html Mon, 11 Jan 2010 00:00:00 -0800 2010-205 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-205.pdf Notice - 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 Increments https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-204.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-204.html Mon, 11 Jan 2010 00:00:00 -0800 2010-204 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-204.pdf Notice - BlackRock, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-196.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-196.html Mon, 11 Jan 2010 00:00:00 -0800 2010-196 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-196.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-195.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-195.html Mon, 11 Jan 2010 00:00:00 -0800 2010-195 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-195.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on the Brazilian Real https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-194.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-194.html Mon, 11 Jan 2010 00:00:00 -0800 2010-194 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-194.pdf Notice - 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 LEAPS https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-193.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-193.html Mon, 11 Jan 2010 00:00:00 -0800 2010-193 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-193.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-192.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-192.html Mon, 11 Jan 2010 00:00:00 -0800 2010-192 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-192.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-191.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-191.html Mon, 11 Jan 2010 00:00:00 -0800 2010-191 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-191.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Related to Stock-Option Orders https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-190.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-190.html Mon, 11 Jan 2010 00:00:00 -0800 2010-190 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-190.pdf Rule - Commission Guidance Regarding Independent Public Accountant Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-19.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-19.html Mon, 11 Jan 2010 00:00:00 -0800 2010-19 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-19.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-189.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-189.html Mon, 11 Jan 2010 00:00:00 -0800 2010-189 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-189.pdf Notice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Fee Schedule https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-188.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-188.html Mon, 11 Jan 2010 00:00:00 -0800 2010-188 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-188.pdf Rule - Custody of Funds or Securities of Clients by Investment Advisers https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-18.html https://regulations.justia.com/regulations/fedreg/2010/01/11/2010-18.html Mon, 11 Jan 2010 00:00:00 -0800 2010-18 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-11/pdf/2010-18.pdf