<![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?registers=between&min-day=1&max-day=31 Thu, 02 May 2024 03:54:23 -0700 Thu, 02 May 2024 03:54:23 -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?registers=between&min-day=1&max-day=31 Proposed Rule - Purchases of Certain Equity Securities by the Issuer and Others https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1856.html https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1856.html Fri, 29 Jan 2010 00:00:00 -0800 2010-1856 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1856.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Fee Schedule https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1854.html https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1854.html Fri, 29 Jan 2010 00:00:00 -0800 2010-1854 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1854.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1853.html https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1853.html Fri, 29 Jan 2010 00:00:00 -0800 2010-1853 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1853.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1852.html https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1852.html Fri, 29 Jan 2010 00:00:00 -0800 2010-1852 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1852.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1850.html https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1850.html Fri, 29 Jan 2010 00:00:00 -0800 2010-1850 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1850.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1849.html https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1849.html Fri, 29 Jan 2010 00:00:00 -0800 2010-1849 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1849.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change Relating to Collection of Exchange Fees https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1848.html https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1848.html Fri, 29 Jan 2010 00:00:00 -0800 2010-1848 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1848.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1847.html https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1847.html Fri, 29 Jan 2010 00:00:00 -0800 2010-1847 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1847.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1846.html https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1846.html Fri, 29 Jan 2010 00:00:00 -0800 2010-1846 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1846.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Deleting Obsolete Provisions Relating to the Opening https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1845.html https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1845.html Fri, 29 Jan 2010 00:00:00 -0800 2010-1845 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1845.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.87 https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1844.html https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1844.html Fri, 29 Jan 2010 00:00:00 -0800 2010-1844 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1844.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1843.html https://regulations.justia.com/regulations/fedreg/2010/01/29/2010-1843.html Fri, 29 Jan 2010 00:00:00 -0800 2010-1843 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-29/pdf/2010-1843.pdf Notice - 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 1934 https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1767.html https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1767.html Thu, 28 Jan 2010 00:00:00 -0800 2010-1767 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1767.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Relating to Changes in NYSE Realtime Reference Prices Service https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1696.html https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1696.html Thu, 28 Jan 2010 00:00:00 -0800 2010-1696 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1696.pdf Notice - Self-Regulatory Organizations; NYSE Amex, Inc.; Order Approving Proposed Rule Change To Establish the NYSE Amex Realtime Reference Prices Service https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1695.html https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1695.html Thu, 28 Jan 2010 00:00:00 -0800 2010-1695 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1695.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1694.html https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1694.html Thu, 28 Jan 2010 00:00:00 -0800 2010-1694 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1694.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1693.html https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1693.html Thu, 28 Jan 2010 00:00:00 -0800 2010-1693 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1693.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1692.html https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1692.html Thu, 28 Jan 2010 00:00:00 -0800 2010-1692 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1692.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1662.html https://regulations.justia.com/regulations/fedreg/2010/01/28/2010-1662.html Thu, 28 Jan 2010 00:00:00 -0800 2010-1662 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-28/pdf/2010-1662.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 975NY https://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1607.html https://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1607.html Wed, 27 Jan 2010 00:00:00 -0800 2010-1607 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-27/pdf/2010-1607.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement a Cancellation Fee https://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1606.html https://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1606.html Wed, 27 Jan 2010 00:00:00 -0800 2010-1606 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-27/pdf/2010-1606.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 2342 To Reflect Changes to Corresponding FINRA Rule https://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1605.html https://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1605.html Wed, 27 Jan 2010 00:00:00 -0800 2010-1605 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-27/pdf/2010-1605.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1604.html https://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1604.html Wed, 27 Jan 2010 00:00:00 -0800 2010-1604 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-27/pdf/2010-1604.pdf Notice - 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 Corporation https://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1603.html https://regulations.justia.com/regulations/fedreg/2010/01/27/2010-1603.html Wed, 27 Jan 2010 00:00:00 -0800 2010-1603 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-27/pdf/2010-1603.pdf Notice - 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 Permissible https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1443.html https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1443.html Tue, 26 Jan 2010 00:00:00 -0800 2010-1443 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1443.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/2010/01/26/2010-1442.html https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1442.html Tue, 26 Jan 2010 00:00:00 -0800 2010-1442 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1442.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 2810 To Reflect Changes To Corresponding FINRA Rule https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1440.html https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1440.html Tue, 26 Jan 2010 00:00:00 -0800 2010-1440 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1440.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Arca, Inc. Amending Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1433.html https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1433.html Tue, 26 Jan 2010 00:00:00 -0800 2010-1433 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1433.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1432.html https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1432.html Tue, 26 Jan 2010 00:00:00 -0800 2010-1432 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1432.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1431.html https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1431.html Tue, 26 Jan 2010 00:00:00 -0800 2010-1431 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1431.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed Rule Change Relating to Listing of Grail McDonnell Fixed Income ETFs https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1430.html https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1430.html Tue, 26 Jan 2010 00:00:00 -0800 2010-1430 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1430.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1429.html https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1429.html Tue, 26 Jan 2010 00:00:00 -0800 2010-1429 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1429.pdf Proposed Rule - Risk Management Controls for Brokers or Dealers With Market Access https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1269.html https://regulations.justia.com/regulations/fedreg/2010/01/26/2010-1269.html Tue, 26 Jan 2010 00:00:00 -0800 2010-1269 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-26/pdf/2010-1269.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1456.html https://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1456.html Mon, 25 Jan 2010 00:00:00 -0800 2010-1456 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-25/pdf/2010-1456.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1441.html https://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1441.html Mon, 25 Jan 2010 00:00:00 -0800 2010-1441 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-25/pdf/2010-1441.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1434.html https://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1434.html Mon, 25 Jan 2010 00:00:00 -0800 2010-1434 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-25/pdf/2010-1434.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Relating to Foreign Currency Options https://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1271.html https://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1271.html Mon, 25 Jan 2010 00:00:00 -0800 2010-1271 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-25/pdf/2010-1271.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1270.html https://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1270.html Mon, 25 Jan 2010 00:00:00 -0800 2010-1270 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-25/pdf/2010-1270.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1267.html https://regulations.justia.com/regulations/fedreg/2010/01/25/2010-1267.html Mon, 25 Jan 2010 00:00:00 -0800 2010-1267 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-25/pdf/2010-1267.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1147.html https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1147.html Fri, 22 Jan 2010 00:00:00 -0800 2010-1147 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1147.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1146.html https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1146.html Fri, 22 Jan 2010 00:00:00 -0800 2010-1146 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1146.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1145.html https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1145.html Fri, 22 Jan 2010 00:00:00 -0800 2010-1145 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1145.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 To Insert a Date (January 1, 2010) That Was Inadvertently Omitted in a Previous Rule Change https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1144.html https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1144.html Fri, 22 Jan 2010 00:00:00 -0800 2010-1144 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1144.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating To Reporting of Trade Cancellations to FINRA https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1143.html https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1143.html Fri, 22 Jan 2010 00:00:00 -0800 2010-1143 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1143.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1142.html https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1142.html Fri, 22 Jan 2010 00:00:00 -0800 2010-1142 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1142.pdf Notice - 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 MatchPointSM https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1141.html https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1141.html Fri, 22 Jan 2010 00:00:00 -0800 2010-1141 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1141.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1140.html https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1140.html Fri, 22 Jan 2010 00:00:00 -0800 2010-1140 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1140.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1139.html https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1139.html Fri, 22 Jan 2010 00:00:00 -0800 2010-1139 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1139.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1138.html https://regulations.justia.com/regulations/fedreg/2010/01/22/2010-1138.html Fri, 22 Jan 2010 00:00:00 -0800 2010-1138 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-22/pdf/2010-1138.pdf Proposed Rule - Concept Release on Equity Market Structure https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1045.html https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1045.html Thu, 21 Jan 2010 00:00:00 -0800 2010-1045 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1045.pdf Notice - Public Company Accounting Oversight Board; Order Approving Proposed Rules on Auditing Standard No. 7, Engagement Quality Review, and Conforming Amendment https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1028.html https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1028.html Thu, 21 Jan 2010 00:00:00 -0800 2010-1028 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1028.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1022.html https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1022.html Thu, 21 Jan 2010 00:00:00 -0800 2010-1022 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1022.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1021.html https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1021.html Thu, 21 Jan 2010 00:00:00 -0800 2010-1021 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1021.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Trading Hours for CBSX https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1020.html https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1020.html Thu, 21 Jan 2010 00:00:00 -0800 2010-1020 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1020.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1019.html https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1019.html Thu, 21 Jan 2010 00:00:00 -0800 2010-1019 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1019.pdf Notice - 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 LEAPS https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1018.html https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1018.html Thu, 21 Jan 2010 00:00:00 -0800 2010-1018 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1018.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Commentary .01 to Rule 903G https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1017.html https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1017.html Thu, 21 Jan 2010 00:00:00 -0800 2010-1017 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1017.pdf Notice - 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 Act https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1016.html https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1016.html Thu, 21 Jan 2010 00:00:00 -0800 2010-1016 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1016.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1015.html https://regulations.justia.com/regulations/fedreg/2010/01/21/2010-1015.html Thu, 21 Jan 2010 00:00:00 -0800 2010-1015 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-21/pdf/2010-1015.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2010/01/20/2010-940.html https://regulations.justia.com/regulations/fedreg/2010/01/20/2010-940.html Wed, 20 Jan 2010 00:00:00 -0800 2010-940 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-20/pdf/2010-940.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2010/01/20/2010-924.html https://regulations.justia.com/regulations/fedreg/2010/01/20/2010-924.html Wed, 20 Jan 2010 00:00:00 -0800 2010-924 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-20/pdf/2010-924.pdf Rule - Policy Statement Concerning Cooperation by Individuals in Its Investigations and Related Enforcement Actions https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-843.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-843.html Tue, 19 Jan 2010 00:00:00 -0800 2010-843 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-843.pdf Rule - Delegations of Authority to the Director of Its Division of Enforcement https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-842.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-842.html Tue, 19 Jan 2010 00:00:00 -0800 2010-842 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-842.pdf Notice - Order of Suspension of Trading; East Delta Resources Corp. https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-833.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-833.html Tue, 19 Jan 2010 00:00:00 -0800 2010-833 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-833.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Fee Schedule https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-824.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-824.html Tue, 19 Jan 2010 00:00:00 -0800 2010-824 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-824.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional Fees https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-823.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-823.html Tue, 19 Jan 2010 00:00:00 -0800 2010-823 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-823.pdf Notice - 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 DPMs https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-822.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-822.html Tue, 19 Jan 2010 00:00:00 -0800 2010-822 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-822.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Its Listing Fees for Structured Products https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-821.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-821.html Tue, 19 Jan 2010 00:00:00 -0800 2010-821 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-821.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 $3.50 and $4 Strikes for Classes in the $0.50 Strike and $1 Strike Programs https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-820.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-820.html Tue, 19 Jan 2010 00:00:00 -0800 2010-820 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-820.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-819.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-819.html Tue, 19 Jan 2010 00:00:00 -0800 2010-819 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-819.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-818.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-818.html Tue, 19 Jan 2010 00:00:00 -0800 2010-818 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-818.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to the Listing Fee and Annual Fee Applicable to Derivative Securities Products https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-801.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-801.html Tue, 19 Jan 2010 00:00:00 -0800 2010-801 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-801.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Index Option Position Limits https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-800.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-800.html Tue, 19 Jan 2010 00:00:00 -0800 2010-800 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-800.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Tiered Fee Schedule https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-799.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-799.html Tue, 19 Jan 2010 00:00:00 -0800 2010-799 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-799.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-798.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-798.html Tue, 19 Jan 2010 00:00:00 -0800 2010-798 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-798.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-797.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-797.html Tue, 19 Jan 2010 00:00:00 -0800 2010-797 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-797.pdf Rule - Shareholder Approval of Executive Compensation of TARP Recipients https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-756.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-756.html Tue, 19 Jan 2010 00:00:00 -0800 2010-756 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-756.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Market Data Fees https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-704.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-704.html Tue, 19 Jan 2010 00:00:00 -0800 2010-704 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-704.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex, LLC Amending Its Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2010/01/15/2010-638.html https://regulations.justia.com/regulations/fedreg/2010/01/15/2010-638.html Fri, 15 Jan 2010 00:00:00 -0800 2010-638 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-15/pdf/2010-638.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2010/01/15/2010-637.html https://regulations.justia.com/regulations/fedreg/2010/01/15/2010-637.html Fri, 15 Jan 2010 00:00:00 -0800 2010-637 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-15/pdf/2010-637.pdf Notice - 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 Times https://regulations.justia.com/regulations/fedreg/2010/01/15/2010-633.html https://regulations.justia.com/regulations/fedreg/2010/01/15/2010-633.html Fri, 15 Jan 2010 00:00:00 -0800 2010-633 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-15/pdf/2010-633.pdf Notice - Sunshine Act Meeting; Notice https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-649.html https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-649.html Thu, 14 Jan 2010 00:00:00 -0800 2010-649 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-649.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-546.html https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-546.html Thu, 14 Jan 2010 00:00:00 -0800 2010-546 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-546.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2.3 https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-545.html https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-545.html Thu, 14 Jan 2010 00:00:00 -0800 2010-545 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-545.pdf Notice - 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 Disputes https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-544.html https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-544.html Thu, 14 Jan 2010 00:00:00 -0800 2010-544 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-544.pdf Notice - 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 Providers https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-543.html https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-543.html Thu, 14 Jan 2010 00:00:00 -0800 2010-543 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-543.pdf Notice - 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 Providers https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-542.html https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-542.html Thu, 14 Jan 2010 00:00:00 -0800 2010-542 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-542.pdf Notice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Its Co-Location Fees https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-541.html https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-541.html Thu, 14 Jan 2010 00:00:00 -0800 2010-541 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-541.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-540.html https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-540.html Thu, 14 Jan 2010 00:00:00 -0800 2010-540 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-540.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-539.html https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-539.html Thu, 14 Jan 2010 00:00:00 -0800 2010-539 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-539.pdf Notice - 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 Facilities https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-538.html https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-538.html Thu, 14 Jan 2010 00:00:00 -0800 2010-538 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-538.pdf Notice - 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 2010 https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-537.html https://regulations.justia.com/regulations/fedreg/2010/01/14/2010-537.html Thu, 14 Jan 2010 00:00:00 -0800 2010-537 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-14/pdf/2010-537.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/01/13/2010-592.html https://regulations.justia.com/regulations/fedreg/2010/01/13/2010-592.html Wed, 13 Jan 2010 00:00:00 -0800 2010-592 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-13/pdf/2010-592.pdf 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 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 Notice - 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. https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-80.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-80.html Fri, 08 Jan 2010 00:00:00 -0800 2010-80 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-80.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-79.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-79.html Fri, 08 Jan 2010 00:00:00 -0800 2010-79 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-79.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-78.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-78.html Fri, 08 Jan 2010 00:00:00 -0800 2010-78 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-78.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-77.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-77.html Fri, 08 Jan 2010 00:00:00 -0800 2010-77 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-77.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-76.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-76.html Fri, 08 Jan 2010 00:00:00 -0800 2010-76 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-76.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-75.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-75.html Fri, 08 Jan 2010 00:00:00 -0800 2010-75 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-75.pdf Notice - 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 2010 https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-74.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-74.html Fri, 08 Jan 2010 00:00:00 -0800 2010-74 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-74.pdf Notice - 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 Pilot https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-73.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-73.html Fri, 08 Jan 2010 00:00:00 -0800 2010-73 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-73.pdf Notice - 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 Pilot https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-72.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-72.html Fri, 08 Jan 2010 00:00:00 -0800 2010-72 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-72.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-71.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-71.html Fri, 08 Jan 2010 00:00:00 -0800 2010-71 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-71.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-70.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-70.html Fri, 08 Jan 2010 00:00:00 -0800 2010-70 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-70.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-69.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-69.html Fri, 08 Jan 2010 00:00:00 -0800 2010-69 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-69.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-68.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-68.html Fri, 08 Jan 2010 00:00:00 -0800 2010-68 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-68.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-67.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-67.html Fri, 08 Jan 2010 00:00:00 -0800 2010-67 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-67.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-40.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-40.html Fri, 08 Jan 2010 00:00:00 -0800 2010-40 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-40.pdf Notice - Sunshine Act Meeting Notice https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-200.html https://regulations.justia.com/regulations/fedreg/2010/01/08/2010-200.html Fri, 08 Jan 2010 00:00:00 -0800 2010-200 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-08/pdf/2010-200.pdf Notice - Submission of OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-6.html https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-6.html Thu, 07 Jan 2010 00:00:00 -0800 2010-6 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-6.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-5.html https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-5.html Thu, 07 Jan 2010 00:00:00 -0800 2010-5 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-5.pdf Notice - Submission for OMB Review; Comment Request; https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-4.html https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-4.html Thu, 07 Jan 2010 00:00:00 -0800 2010-4 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-4.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-3.html https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-3.html Thu, 07 Jan 2010 00:00:00 -0800 2010-3 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-3.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-2.html https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-2.html Thu, 07 Jan 2010 00:00:00 -0800 2010-2 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-2.pdf Notice - Sunshine Act Meeting Notice https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-117.html https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-117.html Thu, 07 Jan 2010 00:00:00 -0800 2010-117 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-117.pdf Notice - MetLife, Inc. and MetLife Capital Trust V; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-1.html https://regulations.justia.com/regulations/fedreg/2010/01/07/2010-1.html Thu, 07 Jan 2010 00:00:00 -0800 2010-1 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-07/pdf/2010-1.pdf Rule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients https://regulations.justia.com/regulations/fedreg/2010/01/06/E9-31420.html https://regulations.justia.com/regulations/fedreg/2010/01/06/E9-31420.html Wed, 06 Jan 2010 00:00:00 -0800 E9-31420 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-06/pdf/E9-31420.pdf 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 Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31164.html https://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31164.html Mon, 04 Jan 2010 00:00:00 -0800 E9-31164 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-04/pdf/E9-31164.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending Equities Rule 5.2(j)(3) https://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31163.html https://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31163.html Mon, 04 Jan 2010 00:00:00 -0800 E9-31163 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-04/pdf/E9-31163.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change for the Listing and Trading of Sprott Physical Gold Trust https://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31162.html https://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31162.html Mon, 04 Jan 2010 00:00:00 -0800 E9-31162 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-04/pdf/E9-31162.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31161.html https://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31161.html Mon, 04 Jan 2010 00:00:00 -0800 E9-31161 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-04/pdf/E9-31161.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Amending the FINRA Rule 9550 Series (Expedited Proceedings) https://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31160.html https://regulations.justia.com/regulations/fedreg/2010/01/04/E9-31160.html Mon, 04 Jan 2010 00:00:00 -0800 E9-31160 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-04/pdf/E9-31160.pdf