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?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-01T22:18:41-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1856.htmlProposed Rule - Purchases of Certain Equity Securities by the Issuer and Others2010-01-29T00:00:00-08:002010-01-29T00:00:00-08:002010-1856Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1856.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1854.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Fee Schedule2010-01-29T00:00:00-08:002010-01-29T00:00:00-08:002010-1854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1854.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1853.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Trading Licenses for Foreign Currency Options2010-01-29T00:00:00-08:002010-01-29T00:00:00-08:002010-1853Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1853.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1852.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Eliminate Guarantee of Payment in Connection With the Envelope Settlement Service2010-01-29T00:00:00-08:002010-01-29T00:00:00-08:002010-1852Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1852.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1850.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 LLC2010-01-29T00:00:00-08:002010-01-29T00:00:00-08:002010-1850Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1850.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1849.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Amend Certain of Its Initial Listing Requirements2010-01-29T00:00:00-08:002010-01-29T00:00:00-08:002010-1849Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1849.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1848.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change Relating to Collection of Exchange Fees2010-01-29T00:00:00-08:002010-01-29T00:00:00-08:002010-1848Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1848.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1847.htmlNotice - Submission for OMB Review; Comment Request2010-01-29T00:00:00-08:002010-01-29T00:00:00-08:002010-1847Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1847.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1846.htmlNotice - Proposed Collection; Comment Request2010-01-29T00:00:00-08:002010-01-29T00:00:00-08:002010-1846Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1846.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1845.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Deleting Obsolete Provisions Relating to the Opening2010-01-29T00:00:00-08:002010-01-29T00:00:00-08:002010-1845Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1845.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1844.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.872010-01-29T00:00:00-08:002010-01-29T00:00:00-08:002010-1844Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1844.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1843.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, by NASDAQ OMX PHLX, Inc. Relating to Transaction Fees and Rebates for Options Overlying Standard and Poor's Depositary Receipts (“SPDRs”)2010-01-29T00:00:00-08:002010-01-29T00:00:00-08:002010-1843Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1843.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1767.htmlNotice - BATS Y-Exchange, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 19342010-01-28T00:00:00-08:002010-01-28T00:00:00-08:002010-1767Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1767.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1696.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Relating to Changes in NYSE Realtime Reference Prices Service2010-01-28T00:00:00-08:002010-01-28T00:00:00-08:002010-1696Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1696.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1695.htmlNotice - Self-Regulatory Organizations; NYSE Amex, Inc.; Order Approving Proposed Rule Change To Establish the NYSE Amex Realtime Reference Prices Service2010-01-28T00:00:00-08:002010-01-28T00:00:00-08:002010-1695Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1695.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1694.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Postponing the Implementation Date of Information Memo 10-03, Which Provides Updated Parameters for, and Guidance on the Application of, the Exchange's Gap Quote Policy2010-01-28T00:00:00-08:002010-01-28T00:00:00-08:002010-1694Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1694.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1693.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Postponing the Implementation Date of Information Memo 10-03, Which Provides Updated Parameters for, and Guidance on the Application of, the Exchange's Gap Quote Policy2010-01-28T00:00:00-08:002010-01-28T00:00:00-08:002010-1693Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1693.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1692.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Order Routing Pilot on the Boston Options Exchange Facility2010-01-28T00:00:00-08:002010-01-28T00:00:00-08:002010-1692Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1692.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1662.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Non-Substantive Technical Changes to FINRA Rule 4521(d)2010-01-28T00:00:00-08:002010-01-28T00:00:00-08:002010-1662Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1662.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1607.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 975NY2010-01-27T00:00:00-08:002010-01-27T00:00:00-08:002010-1607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-27/pdf/2010-1607.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1606.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement a Cancellation Fee2010-01-27T00:00:00-08:002010-01-27T00:00:00-08:002010-1606Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-27/pdf/2010-1606.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1605.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 2342 To Reflect Changes to Corresponding FINRA Rule2010-01-27T00:00:00-08:002010-01-27T00:00:00-08:002010-1605Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-27/pdf/2010-1605.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1604.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Registered Representative Fee and Options Regulatory Fee2010-01-27T00:00:00-08:002010-01-27T00:00:00-08:002010-1604Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-27/pdf/2010-1604.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1603.htmlNotice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fee Schedule of the Government Securities Division of the Fixed Income Clearing Corporation2010-01-27T00:00:00-08:002010-01-27T00:00:00-08:002010-1603Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-27/pdf/2010-1603.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1443.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 9.1 Sharing in Accounts, Extent Permissible2010-01-26T00:00:00-08:002010-01-26T00:00:00-08:002010-1443Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1443.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1442.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2010-01-26T00:00:00-08:002010-01-26T00:00:00-08:002010-1442Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1442.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1440.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 2810 To Reflect Changes To Corresponding FINRA Rule2010-01-26T00:00:00-08:002010-01-26T00:00:00-08:002010-1440Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1440.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1433.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Arca, Inc. Amending Its Fee Schedule2010-01-26T00:00:00-08:002010-01-26T00:00:00-08:002010-1433Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1433.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1432.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Routing Fees2010-01-26T00:00:00-08:002010-01-26T00:00:00-08:002010-1432Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1432.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1431.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change Consisting of Amendments to Rule G-37 (Political Contributions and Prohibitions on Municipal Securities Business) and Rule G-8 (Books and Records To Be Made by Brokers, Dealers and Municipal Securities Dealers)2010-01-26T00:00:00-08:002010-01-26T00:00:00-08:002010-1431Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1431.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1430.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed Rule Change Relating to Listing of Grail McDonnell Fixed Income ETFs2010-01-26T00:00:00-08:002010-01-26T00:00:00-08:002010-1430Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1430.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1429.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program2010-01-26T00:00:00-08:002010-01-26T00:00:00-08:002010-1429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1429.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1269.htmlProposed Rule - Risk Management Controls for Brokers or Dealers With Market Access2010-01-26T00:00:00-08:002010-01-26T00:00:00-08:002010-1269Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1269.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1456.htmlNotice - Sunshine Act Meeting2010-01-25T00:00:00-08:002010-01-25T00:00:00-08:002010-1456Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-25/pdf/2010-1456.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1441.htmlNotice - Big Sky Energy Corp., Biomedical Waste Systems, Inc., Biometrics Security Technology, Inc., Biosys, Inc., Bolder Technologies Corp., Boyds Wheels, Inc., Breakaway Solutions, Inc., and BRE-X Minerals, Ltd.; Order of Suspension of Trading2010-01-25T00:00:00-08:002010-01-25T00:00:00-08:002010-1441Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-25/pdf/2010-1441.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1434.htmlNotice - Sunshine Act Meeting2010-01-25T00:00:00-08:002010-01-25T00:00:00-08:002010-1434Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-25/pdf/2010-1434.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1271.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Relating to Foreign Currency Options2010-01-25T00:00:00-08:002010-01-25T00:00:00-08:002010-1271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-25/pdf/2010-1271.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1270.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status and Interim Trading Permit Access Fees2010-01-25T00:00:00-08:002010-01-25T00:00:00-08:002010-1270Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-25/pdf/2010-1270.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1267.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rules 3330 and 9810 To Reflect Changes to Corresponding FINRA Rules2010-01-25T00:00:00-08:002010-01-25T00:00:00-08:002010-1267Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-25/pdf/2010-1267.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1147.htmlNotice - Proposed Collection; Comment Request2010-01-22T00:00:00-08:002010-01-22T00:00:00-08:002010-1147Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1147.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1146.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Revise the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Serve as the Operating Agreement for OPRA LLC2010-01-22T00:00:00-08:002010-01-22T00:00:00-08:002010-1146Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1146.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1145.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data2010-01-22T00:00:00-08:002010-01-22T00:00:00-08:002010-1145Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1145.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1144.htmlNotice - 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 To Insert a Date (January 1, 2010) That Was Inadvertently Omitted in a Previous Rule Change2010-01-22T00:00:00-08:002010-01-22T00:00:00-08:002010-1144Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1144.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1143.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating To Reporting of Trade Cancellations to FINRA2010-01-22T00:00:00-08:002010-01-22T00:00:00-08:002010-1143Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1143.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1142.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Elimination of the Hybrid Electronic Quoting Fee2010-01-22T00:00:00-08:002010-01-22T00:00:00-08:002010-1142Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1142.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1141.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Waiving All Transaction Fees for Shares Executed on the NYSE MatchPointSM2010-01-22T00:00:00-08:002010-01-22T00:00:00-08:002010-1141Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1141.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1140.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 2240 and 2250 To Reflect Changes to Corresponding FINRA Rules2010-01-22T00:00:00-08:002010-01-22T00:00:00-08:002010-1140Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1140.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1139.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 2810 To Reflect Changes to Corresponding FINRA Rule2010-01-22T00:00:00-08:002010-01-22T00:00:00-08:002010-1139Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1139.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1138.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 2342 To Reflect Changes to Corresponding FINRA Rule2010-01-22T00:00:00-08:002010-01-22T00:00:00-08:002010-1138Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1138.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1045.htmlProposed Rule - Concept Release on Equity Market Structure2010-01-21T00:00:00-08:002010-01-21T00:00:00-08:002010-1045Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1045.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1028.htmlNotice - Public Company Accounting Oversight Board; Order Approving Proposed Rules on Auditing Standard No. 7, Engagement Quality Review, and Conforming Amendment2010-01-21T00:00:00-08:002010-01-21T00:00:00-08:002010-1028Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1028.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1022.htmlNotice - Proposed Collection; Comment Request2010-01-21T00:00:00-08:002010-01-21T00:00:00-08:002010-1022Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1022.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1021.htmlNotice - Proposed Collection; Comment Request2010-01-21T00:00:00-08:002010-01-21T00:00:00-08:002010-1021Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1021.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1020.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Trading Hours for CBSX2010-01-21T00:00:00-08:002010-01-21T00:00:00-08:002010-1020Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1020.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1019.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Codify Certain Provisions of the Options Listing Procedures Plan Into ISE's Rules2010-01-21T00:00:00-08:002010-01-21T00:00:00-08:002010-1019Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1019.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1018.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the NASDAQ Stock Market LLC To Amend the $1 Strike Program To Allow the Listing of $1 LEAPS2010-01-21T00:00:00-08:002010-01-21T00:00:00-08:002010-1018Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1018.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1017.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Commentary .01 to Rule 903G2010-01-21T00:00:00-08:002010-01-21T00:00:00-08:002010-1017Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1017.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1016.htmlNotice - Self-Regulatory Organizations; One Chicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, Changing Its Listing Standards in Conformance With the November 19, 2009 Joint Order Modifying the Listing Standards Requirements Under Section 6(h) of the Securities Exchange Act of 1934 and the Criteria Under Section 2(a)(1) of the Commodity Exchange Act2010-01-21T00:00:00-08:002010-01-21T00:00:00-08:002010-1016Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1016.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1015.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Fee Schedule of the Boston Options Exchange Facility2010-01-21T00:00:00-08:002010-01-21T00:00:00-08:002010-1015Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1015.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/20/2010-940.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, To Adopt a Modified Sponsored Access Rule2010-01-20T00:00:00-08:002010-01-20T00:00:00-08:002010-940Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-20/pdf/2010-940.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/20/2010-924.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook2010-01-20T00:00:00-08:002010-01-20T00:00:00-08:002010-924Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-20/pdf/2010-924.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-843.htmlRule - Policy Statement Concerning Cooperation by Individuals in Its Investigations and Related Enforcement Actions2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-843Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-843.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-842.htmlRule - Delegations of Authority to the Director of Its Division of Enforcement2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-842Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-842.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-833.htmlNotice - Order of Suspension of Trading; East Delta Resources Corp.2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-833Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-833.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-824.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Fee Schedule2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-824Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-824.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-823.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional Fees2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-823Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-823.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-822.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend Rule 8.91-Limitations on Dealings of DPMs and Affiliated Persons of DPMs2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-822.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-821.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Its Listing Fees for Structured Products2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-821Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-821.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-820.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Concurrent Listing of $3.50 and $4 Strikes for Classes in the $0.50 Strike and $1 Strike Programs2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-820Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-820.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-819.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-819Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-819.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-818.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-818.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-801.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to the Listing Fee and Annual Fee Applicable to Derivative Securities Products2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-801Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-801.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-800.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Index Option Position Limits2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-800Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-800.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-799.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Tiered Fee Schedule2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-799Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-799.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-798.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Repeal NASD Rule 2450 (Installment or Partial Sales), NASD Interpretive Material 2830-2 (“IM-2830-2”) (Maintaining the Public Offering Price) and Incorporated NYSE Rule 413 (Uniform Forms) as Part of the Process of Developing a Consolidated FINRA Rulebook2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-798.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-797.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 1140 and 3080 to Reflect Changes to a Corresponding FINRA Rule2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-797Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-797.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-756.htmlRule - Shareholder Approval of Executive Compensation of TARP Recipients2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-756Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-756.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/19/2010-704.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Market Data Fees2010-01-19T00:00:00-08:002010-01-19T00:00:00-08:002010-704Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-704.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/15/2010-638.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex, LLC Amending Its Options Fee Schedule2010-01-15T00:00:00-08:002010-01-15T00:00:00-08:002010-638Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-15/pdf/2010-638.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/15/2010-637.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Adopting New Rule 107B-NYSE Amex Equities To Establish a New Class of NYSE Amex Equities Market Participants Referred to as “Supplemental Liquidity Providers” or “SLPs”2010-01-15T00:00:00-08:002010-01-15T00:00:00-08:002010-637Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-15/pdf/2010-637.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/15/2010-633.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Settlement Progress Payment and Principal and Income Withdrawal Cutoff Times2010-01-15T00:00:00-08:002010-01-15T00:00:00-08:002010-633Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-15/pdf/2010-633.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/14/2010-649.htmlNotice - Sunshine Act Meeting; Notice2010-01-14T00:00:00-08:002010-01-14T00:00:00-08:002010-649Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-649.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/14/2010-546.htmlNotice - Proposed Collection; Comment Request2010-01-14T00:00:00-08:002010-01-14T00:00:00-08:002010-546Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-546.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/14/2010-545.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2.32010-01-14T00:00:00-08:002010-01-14T00:00:00-08:002010-545Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-545.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/14/2010-544.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Deficient Claims Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes2010-01-14T00:00:00-08:002010-01-14T00:00:00-08:002010-544Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-544.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/14/2010-543.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Modify the Liquidity Credits Paid to Supplemental Liquidity Providers2010-01-14T00:00:00-08:002010-01-14T00:00:00-08:002010-543Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-543.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/14/2010-542.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Modify Its Liquidity Credits and Establish Separate Liquidity Credits for Supplemental Liquidity Providers2010-01-14T00:00:00-08:002010-01-14T00:00:00-08:002010-542Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-542.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/14/2010-541.htmlNotice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Its Co-Location Fees2010-01-14T00:00:00-08:002010-01-14T00:00:00-08:002010-541Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-541.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/14/2010-540.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Chicago Board Options Exchange Stock Exchange Fees Schedule2010-01-14T00:00:00-08:002010-01-14T00:00:00-08:002010-540Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-540.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/14/2010-539.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 2240 and 2250 To Reflect Changes to Corresponding FINRA Rules2010-01-14T00:00:00-08:002010-01-14T00:00:00-08:002010-539Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-539.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/14/2010-538.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities2010-01-14T00:00:00-08:002010-01-14T00:00:00-08:002010-538Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-538.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/14/2010-537.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees for Fiscal Year 20102010-01-14T00:00:00-08:002010-01-14T00:00:00-08:002010-537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-537.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/13/2010-592.htmlNotice - Sunshine Act Meeting2010-01-13T00:00:00-08:002010-01-13T00:00:00-08:002010-592Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-13/pdf/2010-592.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/12/2010-359.htmlNotice - 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 Rulebook2010-01-12T00:00:00-08:002010-01-12T00:00:00-08:002010-359Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-359.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/12/2010-308.htmlNotice - 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 Contracts2010-01-12T00:00:00-08:002010-01-12T00:00:00-08:002010-308Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-308.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/12/2010-304.htmlNotice - Submission for OMB Review; Comment Request2010-01-12T00:00:00-08:002010-01-12T00:00:00-08:002010-304Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-304.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/12/2010-303.htmlNotice - Submission for OMB Review; Comment Request2010-01-12T00:00:00-08:002010-01-12T00:00:00-08:002010-303Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-303.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/12/2010-302.htmlNotice - Submission for OMB Review; Comment Request2010-01-12T00:00:00-08:002010-01-12T00:00:00-08:002010-302Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-302.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/12/2010-301.htmlNotice - 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 Failure2010-01-12T00:00:00-08:002010-01-12T00:00:00-08:002010-301Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-301.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/12/2010-300.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2010-01-12T00:00:00-08:002010-01-12T00:00:00-08:002010-300Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-300.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/12/2010-299.htmlNotice - 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 Failure2010-01-12T00:00:00-08:002010-01-12T00:00:00-08:002010-299Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-299.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/12/2010-298.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Establish Registered Representative Fees2010-01-12T00:00:00-08:002010-01-12T00:00:00-08:002010-298Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-298.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/12/2010-297.htmlNotice - 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 Members2010-01-12T00:00:00-08:002010-01-12T00:00:00-08:002010-297Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-297.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/12/2010-296.htmlNotice - 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 Schedule2010-01-12T00:00:00-08:002010-01-12T00:00:00-08:002010-296Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-296.pdfhttps://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.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-80.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Deleting NYSE Rule 445 and Adopting New Rule 3310 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-80Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-80.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-79.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Deleting Rule 445-NYSE Amex Equities and Adopting New Rule 3310-NYSE Amex Equities To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-79Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-79.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-78.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Orders From Nasdaq Execution Services2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-78Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-78.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-77.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Orders From Archipelago Securities LLC2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-77Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-77.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-76.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Certain Equities Orders From Archipelago Securities LLC2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-76Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-76.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-75.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Equities Orders From Archipelago Securities LLC2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-75Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-75.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-74.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Establish a Trading License Fee for 20102010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-74Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-74.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-73.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 123C(8)(a)(1) To Extend the Operation of the Extreme Order Imbalances Pilot2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-73Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-73.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-72.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(8)(a)(1) To Extend Operation of the Extreme Order Imbalances Pilot2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-72Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-72.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-71.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Minimum Trading Increments on the Boston Options Exchange Facility2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-71Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-71.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-70.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Fee Schedule To Impose Fees for Physical Ports Used To Connect to BATS Exchange2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-70Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-70.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-69.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to ETFS Physical Swiss Gold Shares and ETFS Physical Silver Shares2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-69Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-69.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-68.htmlNotice - Submission for OMB Review; Comment Request2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-68Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-68.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-67.htmlNotice - Submission for OMB Review; Comment Request2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-67Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-67.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-40.htmlNotice - Submission for OMB Review; Comment Request2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-40Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-40.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/08/2010-200.htmlNotice - Sunshine Act Meeting Notice2010-01-08T00:00:00-08:002010-01-08T00:00:00-08:002010-200Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-200.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/07/2010-6.htmlNotice - Submission of OMB Review; Comment Request2010-01-07T00:00:00-08:002010-01-07T00:00:00-08:002010-6Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-6.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/07/2010-5.htmlNotice - Submission for OMB Review; Comment Request2010-01-07T00:00:00-08:002010-01-07T00:00:00-08:002010-5Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-5.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/07/2010-4.htmlNotice - Submission for OMB Review; Comment Request;2010-01-07T00:00:00-08:002010-01-07T00:00:00-08:002010-4Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-4.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/07/2010-3.htmlNotice - Submission for OMB Review; Comment Request2010-01-07T00:00:00-08:002010-01-07T00:00:00-08:002010-3Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-3.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/07/2010-2.htmlNotice - Submission for OMB Review; Comment Request2010-01-07T00:00:00-08:002010-01-07T00:00:00-08:002010-2Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-2.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/07/2010-117.htmlNotice - Sunshine Act Meeting Notice2010-01-07T00:00:00-08:002010-01-07T00:00:00-08:002010-117Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-117.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/07/2010-1.htmlNotice - MetLife, Inc. and MetLife Capital Trust V; Notice of Application2010-01-07T00:00:00-08:002010-01-07T00:00:00-08:002010-1Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-1.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/06/E9-31420.htmlRule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients2010-01-06T00:00:00-08:002010-01-06T00:00:00-08:00E9-31420Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-06/pdf/E9-31420.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31429.htmlNotice - Sunshine Act Meeting2010-01-05T00:00:00-08:002010-01-05T00:00:00-08:00E9-31429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31429.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31345.htmlNotice - 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)2010-01-05T00:00:00-08:002010-01-05T00:00:00-08:00E9-31345Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31345.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31344.htmlNotice - 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 Program2010-01-05T00:00:00-08:002010-01-05T00:00:00-08:00E9-31344Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31344.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31343.htmlNotice - 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%2010-01-05T00:00:00-08:002010-01-05T00:00:00-08:00E9-31343Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31343.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31342.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Reserve Orders2010-01-05T00:00:00-08:002010-01-05T00:00:00-08:00E9-31342Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31342.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31333.htmlNotice - 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 Rulebook2010-01-05T00:00:00-08:002010-01-05T00:00:00-08:00E9-31333Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31333.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31273.htmlNotice - 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, 20102010-01-05T00:00:00-08:002010-01-05T00:00:00-08:00E9-31273Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31273.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31272.htmlNotice - 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 152010-01-05T00:00:00-08:002010-01-05T00:00:00-08:00E9-31272Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31272.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31271.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, 2009 to July 31, 20102010-01-05T00:00:00-08:002010-01-05T00:00:00-08:00E9-31271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31271.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31206.htmlNotice - 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®)2010-01-05T00:00:00-08:002010-01-05T00:00:00-08:00E9-31206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31206.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31205.htmlNotice - 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®)2010-01-05T00:00:00-08:002010-01-05T00:00:00-08:00E9-31205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31205.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/05/E9-31204.htmlNotice - 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 Venues2010-01-05T00:00:00-08:002010-01-05T00:00:00-08:00E9-31204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-05/pdf/E9-31204.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31164.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify CBSX Rule 51.8 To Add Pegged Cross Orders, To Add an Interpretation Regarding Pricing of Cross Orders, and To Add Greater Flexibility to Intermarket Sweep Orders2010-01-04T00:00:00-08:002010-01-04T00:00:00-08:00E9-31164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-04/pdf/E9-31164.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31163.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending Equities Rule 5.2(j)(3)2010-01-04T00:00:00-08:002010-01-04T00:00:00-08:00E9-31163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-04/pdf/E9-31163.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31162.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change for the Listing and Trading of Sprott Physical Gold Trust2010-01-04T00:00:00-08:002010-01-04T00:00:00-08:00E9-31162Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-04/pdf/E9-31162.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31161.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rules 116 and 123C To Allow More Than One Closing Print To Be Reported to the Consolidated Tape for Closing Transactions That Exceed 99,999,999 Shares2010-01-04T00:00:00-08:002010-01-04T00:00:00-08:00E9-31161Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-04/pdf/E9-31161.pdfhttps://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31160.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Amending the FINRA Rule 9550 Series (Expedited Proceedings)2010-01-04T00:00:00-08:002010-01-04T00:00:00-08:00E9-31160Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-01-04/pdf/E9-31160.pdf