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/2010/02?limit=200®isters=between&min-day=1&max-day=28&mode=atom2024-05-01T03:58:39-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2010/02/26/2010-3947.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Modification of Fees2010-02-26T00:00:00-08:002010-02-26T00:00:00-08:002010-3947Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-26/pdf/2010-3947.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/26/2010-3946.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Time Allowed To Temporarily Suspend Certain NYSE Requirements Relating to the Closing of Securities on the Exchange Which Currently Operates as a Pilot Pursuant to Former NYSE Rule 123C(8)(a)(1) Currently NYSE Rule 123C(9)(a)(1)2010-02-26T00:00:00-08:002010-02-26T00:00:00-08:002010-3946Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-26/pdf/2010-3946.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/26/2010-3945.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule To Increase the Maker Rebate for Transactions in Securities Priced Less Than $1 to 0.25% of the Dollar Value of the Transaction2010-02-26T00:00:00-08:002010-02-26T00:00:00-08:002010-3945Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-26/pdf/2010-3945.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/26/2010-3891.htmlRule - Amendments to Rules Requiring Internet Availability of Proxy Materials2010-02-26T00:00:00-08:002010-02-26T00:00:00-08:002010-3891Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-26/pdf/2010-3891.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3823.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add the BATS Exchange, Inc. as a Participant2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3823Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3823.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3822.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend BATS Fee Schedule To Impose Fees for Physical Ports Used To Connect to BATS Exchange2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3822.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3791.htmlNotice - NASDAQ OMX PHLX, Inc.; Order of Summary Abrogation2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3791Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3791.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3780.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts)2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3780Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3780.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3779.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving 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 Rulebook2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3779Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3779.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3778.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3778Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3778.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3777.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change To Expand the Number of Components in the PHLX Semiconductor SectorSM2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3777Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3777.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3775.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3775.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3774.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing on the Boston Options Exchange Facility2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3774Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3774.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3773.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Position Limits for Certain Exchange Traded Funds2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3773Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3773.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3772.htmlNotice - Order Granting Application for Exemption Pursuant to Section 36(a) of the Exchange Act by BATS Exchange, Inc. From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3772Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3772.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3771.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reduction of the Customer Transaction Fee for OEX and XEO Weeklys Options2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3771Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3771.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3770.htmlNotice - Submission for OMB Review; Comment Request2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3770Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3770.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3769.htmlNotice - Submission for OMB Review; Comment Request2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3769Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3769.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3753.htmlNotice - Submission for OMB Review; Comment Request2010-02-25T00:00:00-08:002010-02-25T00:00:00-08:002010-3753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3753.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3792.htmlNotice - Sunshine Act Meeting2010-02-24T00:00:00-08:002010-02-24T00:00:00-08:002010-3792Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-24/pdf/2010-3792.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3641.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Settlement Payment Obligation2010-02-24T00:00:00-08:002010-02-24T00:00:00-08:002010-3641Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-24/pdf/2010-3641.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3640.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Directed Order Process on the Boston Options Exchange Facility2010-02-24T00:00:00-08:002010-02-24T00:00:00-08:002010-3640Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-24/pdf/2010-3640.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3546.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Options Regulatory Fee2010-02-24T00:00:00-08:002010-02-24T00:00:00-08:002010-3546Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-24/pdf/2010-3546.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3545.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures To Facilitate the Listing and Trading of Standardized Options To Add BATS Exchange, Inc. as a Sponsor2010-02-24T00:00:00-08:002010-02-24T00:00:00-08:002010-3545Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-24/pdf/2010-3545.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3544.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System2010-02-24T00:00:00-08:002010-02-24T00:00:00-08:002010-3544Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-24/pdf/2010-3544.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3685.htmlNotice - Sunshine Act Meeting2010-02-23T00:00:00-08:002010-02-23T00:00:00-08:002010-3685Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3685.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3643.htmlNotice - Electronic Game Card, Inc.; Order of Suspension of Trading2010-02-23T00:00:00-08:002010-02-23T00:00:00-08:002010-3643Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3643.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3468.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the CBSX Market Data Infrastructure Fee2010-02-23T00:00:00-08:002010-02-23T00:00:00-08:002010-3468Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3468.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3467.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Apply Retroactively a Correction of a Typographical Error in Rule 70182010-02-23T00:00:00-08:002010-02-23T00:00:00-08:002010-3467Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3467.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3466.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Waiver of all Transaction Fees for Shares Executed on the NYSE MatchPointSM2010-02-23T00:00:00-08:002010-02-23T00:00:00-08:002010-3466Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3466.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3465.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Trading Hours for Foreign Currency Options2010-02-23T00:00:00-08:002010-02-23T00:00:00-08:002010-3465Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3465.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3464.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the WisdomTree Real Return Fund2010-02-23T00:00:00-08:002010-02-23T00:00:00-08:002010-3464Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3464.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3394.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Prior Notification Requirements When Companies Release Material Information Outside of Nasdaq Market Hours2010-02-23T00:00:00-08:002010-02-23T00:00:00-08:002010-3394Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3394.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3393.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Codes of Arbitration Procedure To Provide for Attorney Representation of Non-Party Witnesses in Arbitration2010-02-23T00:00:00-08:002010-02-23T00:00:00-08:002010-3393Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3393.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3333.htmlNotice - iShares Trust, et al.; Notice of Application2010-02-22T00:00:00-08:002010-02-22T00:00:00-08:002010-3333Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-22/pdf/2010-3333.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3332.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center and To Correct a Typographical Error in Rule 70182010-02-22T00:00:00-08:002010-02-22T00:00:00-08:002010-3332Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-22/pdf/2010-3332.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3331.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule2010-02-22T00:00:00-08:002010-02-22T00:00:00-08:002010-3331Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-22/pdf/2010-3331.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3330.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2010-02-22T00:00:00-08:002010-02-22T00:00:00-08:002010-3330Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-22/pdf/2010-3330.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3329.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Eliminate the Option To Receive a Physical Certificate From DTC for Unsponsored American Depositary Receipts That Are Part of the Fast Automated Securities Transfer Program2010-02-22T00:00:00-08:002010-02-22T00:00:00-08:002010-3329Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-22/pdf/2010-3329.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/19/2010-3230.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Incorporated NYSE Rule 312(g)(1)2010-02-19T00:00:00-08:002010-02-19T00:00:00-08:002010-3230Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-19/pdf/2010-3230.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/19/2010-3159.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2010-02-19T00:00:00-08:002010-02-19T00:00:00-08:002010-3159Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-19/pdf/2010-3159.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/19/2010-3142.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities2010-02-19T00:00:00-08:002010-02-19T00:00:00-08:002010-3142Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-19/pdf/2010-3142.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/19/2010-3140.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 2848, 3330, and 9810 To Reflect Changes to Corresponding FINRA Rules2010-02-19T00:00:00-08:002010-02-19T00:00:00-08:002010-3140Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-19/pdf/2010-3140.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3196.htmlNotice - Sunshine Act Meeting2010-02-18T00:00:00-08:002010-02-18T00:00:00-08:002010-3196Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-18/pdf/2010-3196.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3138.htmlNotice - Sunshine Act Meeting2010-02-18T00:00:00-08:002010-02-18T00:00:00-08:002010-3138Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-18/pdf/2010-3138.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3077.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 Fees2010-02-18T00:00:00-08:002010-02-18T00:00:00-08:002010-3077Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-18/pdf/2010-3077.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3076.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Relating to Changes to the U.S. Exchange Holdings, Inc. Corporate Documents and International Securities Exchange Trust Agreement2010-02-18T00:00:00-08:002010-02-18T00:00:00-08:002010-3076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-18/pdf/2010-3076.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3075.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Postponement Fee and Hearing Session Fee Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes2010-02-18T00:00:00-08:002010-02-18T00:00:00-08:002010-3075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-18/pdf/2010-3075.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/17/2010-3073.htmlNotice - Sunshine Act Meeting2010-02-17T00:00:00-08:002010-02-17T00:00:00-08:002010-3073Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-17/pdf/2010-3073.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/17/2010-3044.htmlNotice - Sunshine Act Meetings2010-02-17T00:00:00-08:002010-02-17T00:00:00-08:002010-3044Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-17/pdf/2010-3044.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2960.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade the Sprott Physical Gold Trust2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2960Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2960.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2959.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 8.85 and Rule 8.92 Regarding the Requirement To Own an Exchange Membership2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2959Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2959.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2958.htmlNotice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2958Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2958.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2957.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 Members2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2957Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2957.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2956.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 Schedule2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2956Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2956.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2955.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Co-location Service Fees2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2955Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2955.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2954.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, NYSE Amex LLC, and NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Changes and Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Listing and Trading Options on the ETFS Gold Trust and the ETFS Silver Trust2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2954Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2954.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2953.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2953Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2953.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2952.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 991 Options Communications2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2952Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2952.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2951.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade the Sprott Physical Gold Trust2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2951Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2951.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2950.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 8.85 and Rule 8.92 Regarding the Requirement To Own an Exchange Membership2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2950Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2950.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2949.htmlNotice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2949Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2949.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2948.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 Members2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2948Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2948.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2947.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 Schedule2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2947Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2947.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2946.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Co-Location Service Fees2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2946Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2946.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2945.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, NYSE Amex LLC, and NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Changes and Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Listing and Trading Options on the ETFS Gold Trust and the ETFS Silver Trust2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2945Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2945.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2944.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2944Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2944.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2943.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 991 Options Communications2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2943Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2943.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2867.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Hearing Location Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2867Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2867.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2866.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Exchange's Quote Lock Counting Period2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2866Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2866.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2865.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2865Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2865.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2864.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Codify Prices for Co-Location Services2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2864Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2864.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2863.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 960NY Trading Differentials2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2863Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2863.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2861.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Codify Prices for Co-Location Services2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2861Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2861.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2860.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options for Which the Premium and Exercise Price Are Expressed as a Multiple of the Per-Share Amount2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2860Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2860.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2859.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand Its Invitation To Cover Shorts Capability To Include Short Positions Outside DTC2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2859Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2859.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2858.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Related to Invitation to Cover Short Requests2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2858Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2858.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2856.htmlProposed Rule - Purchases of Certain Equity Securities by the Issuer and Others; Correction2010-02-10T00:00:00-08:002010-02-10T00:00:00-08:002010-2856Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2856.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2972.htmlNotice - Sunshine Act Meeting2010-02-09T00:00:00-08:002010-02-09T00:00:00-08:002010-2972Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2972.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2787.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change To Codify Prices for Co-Location Services2010-02-09T00:00:00-08:002010-02-09T00:00:00-08:002010-2787Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2787.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2786.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Transaction Fees and Rebates for Options2010-02-09T00:00:00-08:002010-02-09T00:00:00-08:002010-2786Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2786.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2749.htmlNotice - U.S. One, Inc. and U.S. One Trust; Notice of Application2010-02-09T00:00:00-08:002010-02-09T00:00:00-08:002010-2749Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2749.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2741.htmlNotice - Submission for OMB Review; Comment Request2010-02-09T00:00:00-08:002010-02-09T00:00:00-08:002010-2741Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2741.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2740.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NSX Fee and Rebate Schedule To Increase the Rebate for Liquidity Adding Displayed Orders of Securities Priced Under One Dollar in the Auto Execution Mode of Order Interaction to 0.25% of Trade Value2010-02-09T00:00:00-08:002010-02-09T00:00:00-08:002010-2740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2740.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2739.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program2010-02-09T00:00:00-08:002010-02-09T00:00:00-08:002010-2739Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2739.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2738.htmlNotice - Submission for OMB Review; Comment Request2010-02-09T00:00:00-08:002010-02-09T00:00:00-08:002010-2738Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2738.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2737.htmlNotice - Submission for OMB Review; Comment Request2010-02-09T00:00:00-08:002010-02-09T00:00:00-08:002010-2737Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2737.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2736.htmlNotice - Submission for OMB Review; Comment Request2010-02-09T00:00:00-08:002010-02-09T00:00:00-08:002010-2736Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2736.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2735.htmlNotice - Submission for OMB Review; Comment Request2010-02-09T00:00:00-08:002010-02-09T00:00:00-08:002010-2735Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2735.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2734.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook2010-02-09T00:00:00-08:002010-02-09T00:00:00-08:002010-2734Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2734.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2733.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes to the Penny Pilot Program2010-02-09T00:00:00-08:002010-02-09T00:00:00-08:002010-2733Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2733.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2638.htmlNotice - Submission for OMB Review; Comment Request2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2638Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2638.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2637.htmlNotice - Submission for OMB Review; Comment Request2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2637Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2637.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2636.htmlNotice - Submission for OMB Review; Comment Request2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2636Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2636.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2635.htmlNotice - Submission for OMB Review; Comment Request2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2635Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2635.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2634.htmlNotice - Submission for OMB Review; Comment Request2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2634Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2634.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2633.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Press Release Requirements for Listed Companies2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2633Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2633.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2632.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2632Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2632.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2631.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2631.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2602.htmlRule - Commission Guidance Regarding Disclosure Related to Climate Change2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2602Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2602.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2591.htmlNotice - Securities Act of 1933; Securities Exchange Act of 1934; Order Regarding Review of FASB Accounting Support Fee for 2010 Under Section 109 of the Sarbanes-Oxley Act of 20022010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2591Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2591.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2588.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Foreign Currency Options2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2588Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2588.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2587.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend Exchange Rules Related to Cutoff Time for Contrary Exercise Advice Submissions2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2587Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2587.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2586.htmlNotice - Consolidated Tape Association; Notice of Filing of the Fifteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Eleventh Substantive Amendment to the Restated Consolidated Quotation Plan2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2586Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2586.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2585.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add 75 Classes to the Penny Pilot Program2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2585Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2585.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2584.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Seventy-Five Options Classes to the Penny Pilot Program2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2584Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2584.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2583.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Seventy-Five Options Classes to the Penny Pilot Program2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2583Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2583.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2581.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Describing the BX Ouch BBO Feed2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2581Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2581.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2580.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Describing the NASDAQ Ouch BBO Feed2010-02-08T00:00:00-08:002010-02-08T00:00:00-08:002010-2580Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2580.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/05/2010-2519.htmlNotice - Investor Advisory Committee2010-02-05T00:00:00-08:002010-02-05T00:00:00-08:002010-2519Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-05/pdf/2010-2519.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/05/2010-2501.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Order Routing Rule2010-02-05T00:00:00-08:002010-02-05T00:00:00-08:002010-2501Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-05/pdf/2010-2501.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/05/2010-2500.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Modify the Procedures Followed When a Listed Company Falls Below Certain Listing Requirements2010-02-05T00:00:00-08:002010-02-05T00:00:00-08:002010-2500Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-05/pdf/2010-2500.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2381.htmlNotice - ShariahShares Exchange-Traded Fund Trust, et al.; Notice of Application2010-02-04T00:00:00-08:002010-02-04T00:00:00-08:002010-2381Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2381.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2380.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402010-02-04T00:00:00-08:002010-02-04T00:00:00-08:002010-2380Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2380.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2337.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating To Elimination of Market Maker Requirement for Each Option Series2010-02-04T00:00:00-08:002010-02-04T00:00:00-08:002010-2337Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2337.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2336.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Establish a Pilot Program To Modify FLEX Option Exercise Settlement Values and Minimum Value Sizes2010-02-04T00:00:00-08:002010-02-04T00:00:00-08:002010-2336Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2336.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2335.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating To Amending Rule 1092, Obvious Errors and Catastrophic Errors2010-02-04T00:00:00-08:002010-02-04T00:00:00-08:002010-2335Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2335.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2334.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to Fee Changes2010-02-04T00:00:00-08:002010-02-04T00:00:00-08:002010-2334Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2334.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2333.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Inconsistencies in Certain Execution Rules2010-02-04T00:00:00-08:002010-02-04T00:00:00-08:002010-2333Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2333.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2332.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Waiver of Certain Fees2010-02-04T00:00:00-08:002010-02-04T00:00:00-08:002010-2332Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2332.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2331.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Its Financial Responsibility Rules To Reflect Changes to Corresponding FINRA Rules2010-02-04T00:00:00-08:002010-02-04T00:00:00-08:002010-2331Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2331.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2330.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References and Make Other Various Non-Substantive Technical Changes to Certain FINRA Rules2010-02-04T00:00:00-08:002010-02-04T00:00:00-08:002010-2330Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2330.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2329.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify Nasdaq Rule 70232010-02-04T00:00:00-08:002010-02-04T00:00:00-08:002010-2329Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2329.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/03/2010-2424.htmlNotice - Sunshine Act Meetings2010-02-03T00:00:00-08:002010-02-03T00:00:00-08:002010-2424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-03/pdf/2010-2424.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2223.htmlNotice - In the Matter of L. Luria & Son, Inc., Lew Corp. (n/k/a Questus Global Limited), Library Bureau, Inc., Life Sciences, Inc., Lifesmart Nutrition Technologies, Inc., Lightning Rod Software, Inc., Lindatech, Inc., Littlefield, Adams & Company, and Liuski International, Inc.; Order of Suspension of Trading2010-02-02T00:00:00-08:002010-02-02T00:00:00-08:002010-2223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-02/pdf/2010-2223.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2109.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Modifying the NYSE Arca Realtime Reference Prices Service2010-02-02T00:00:00-08:002010-02-02T00:00:00-08:002010-2109Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-02/pdf/2010-2109.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2093.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow All SPY and IWM Options Series To Quote in Penny Increments2010-02-02T00:00:00-08:002010-02-02T00:00:00-08:002010-2093Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-02/pdf/2010-2093.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2092.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change Relating to Professional Orders2010-02-02T00:00:00-08:002010-02-02T00:00:00-08:002010-2092Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-02/pdf/2010-2092.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2091.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Allow Members To Deposit Customer Fully Paid or Excess Margin Securities to the Extent Permitted by No-Action Relief or Interpretive Guidance From the Commission or Interpretive Guidance From a Self-Regulatory Organization2010-02-02T00:00:00-08:002010-02-02T00:00:00-08:002010-2091Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-02/pdf/2010-2091.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2090.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending the Rule Governing the Issuance of Trading Licenses2010-02-02T00:00:00-08:002010-02-02T00:00:00-08:002010-2090Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-02/pdf/2010-2090.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/01/2010-2123.htmlNotice - Ariel Corp., Classica Group, Inc., Commodore Environmental Services, Inc., Dupont Direct Financial Holdings, Inc., New Paradigm Software Corp. (n/k/a Brunton Vineyards Holdings, Inc.), Polymer Research Corp. of America, and Shopnet.Com, Inc., Order of Suspension of Trading2010-02-01T00:00:00-08:002010-02-01T00:00:00-08:002010-2123Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-2123.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/01/2010-2076.htmlNotice - Sunshine Act Meeting2010-02-01T00:00:00-08:002010-02-01T00:00:00-08:002010-2076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-2076.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/01/2010-2075.htmlNotice - Sunshine Act Meeting2010-02-01T00:00:00-08:002010-02-01T00:00:00-08:002010-2075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-2075.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/01/2010-1969.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish Rules Governing the Trading of Options on the BATS Options Exchange2010-02-01T00:00:00-08:002010-02-01T00:00:00-08:002010-1969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-1969.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/01/2010-1951.htmlNotice - Submission for OMB Review; Comment Request2010-02-01T00:00:00-08:002010-02-01T00:00:00-08:002010-1951Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-1951.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/01/2010-1950.htmlNotice - Assurant, Inc., et al.; Notice of Application and Temporary Order2010-02-01T00:00:00-08:002010-02-01T00:00:00-08:002010-1950Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-1950.pdfhttps://regulations.justia.com/regulations/fedreg/2010/02/01/2010-1949.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook2010-02-01T00:00:00-08:002010-02-01T00:00:00-08:002010-1949Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-1949.pdf