<![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/2010/01/12?registers=between Tue, 24 Jun 2025 05:07:21 -0700 Tue, 24 Jun 2025 05:07:21 -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/2010/01/12?registers=between Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-359.html https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-359.html Tue, 12 Jan 2010 00:00:00 -0800 2010-359 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-359.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 452-NYSE Amex Equities and Section 723 of the NYSE Amex Company Guide Regarding Broker Discretionary Voting for Election of Directors and on Material Amendments to Investment Advisory Contracts https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-308.html https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-308.html Tue, 12 Jan 2010 00:00:00 -0800 2010-308 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-308.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-304.html https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-304.html Tue, 12 Jan 2010 00:00:00 -0800 2010-304 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-304.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-303.html https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-303.html Tue, 12 Jan 2010 00:00:00 -0800 2010-303 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-303.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-302.html https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-302.html Tue, 12 Jan 2010 00:00:00 -0800 2010-302 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-302.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 18 To Eliminate the $500 Minimum Net Loss Requirement for a Member Organization To Seek Compensation in the Event of an Exchange System Failure https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-301.html https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-301.html Tue, 12 Jan 2010 00:00:00 -0800 2010-301 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-301.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-300.html https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-300.html Tue, 12 Jan 2010 00:00:00 -0800 2010-300 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-300.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 18 To Eliminate the $500 Minimum Net Loss Requirement for a Member Organization To Seek Compensation in the Event of an Exchange System Failure https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-299.html https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-299.html Tue, 12 Jan 2010 00:00:00 -0800 2010-299 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-299.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Establish Registered Representative Fees https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-298.html https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-298.html Tue, 12 Jan 2010 00:00:00 -0800 2010-298 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-298.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Amounts That Direct Edge ECN, in Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-297.html https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-297.html Tue, 12 Jan 2010 00:00:00 -0800 2010-297 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-297.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amending the Direct Edge ECN Fee Schedule https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-296.html https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-296.html Tue, 12 Jan 2010 00:00:00 -0800 2010-296 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-296.pdf