<![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/2010/02?registers=between&min-day=1&max-day=28 Wed, 01 May 2024 01:25:27 -0700 Wed, 01 May 2024 01:25:27 -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/2010/02?registers=between&min-day=1&max-day=28 Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Modification of Fees https://regulations.justia.com/regulations/fedreg/2010/02/26/2010-3947.html https://regulations.justia.com/regulations/fedreg/2010/02/26/2010-3947.html Fri, 26 Feb 2010 00:00:00 -0800 2010-3947 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-26/pdf/2010-3947.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2010/02/26/2010-3946.html https://regulations.justia.com/regulations/fedreg/2010/02/26/2010-3946.html Fri, 26 Feb 2010 00:00:00 -0800 2010-3946 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-26/pdf/2010-3946.pdf Notice - 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 Transaction https://regulations.justia.com/regulations/fedreg/2010/02/26/2010-3945.html https://regulations.justia.com/regulations/fedreg/2010/02/26/2010-3945.html Fri, 26 Feb 2010 00:00:00 -0800 2010-3945 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-26/pdf/2010-3945.pdf Rule - Amendments to Rules Requiring Internet Availability of Proxy Materials https://regulations.justia.com/regulations/fedreg/2010/02/26/2010-3891.html https://regulations.justia.com/regulations/fedreg/2010/02/26/2010-3891.html Fri, 26 Feb 2010 00:00:00 -0800 2010-3891 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-02-26/pdf/2010-3891.pdf Notice - 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 Participant https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3823.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3823.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3823 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3823.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3822.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3822.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3822 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3822.pdf Notice - NASDAQ OMX PHLX, Inc.; Order of Summary Abrogation https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3791.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3791.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3791 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3791.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3780.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3780.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3780 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3780.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3779.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3779.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3779 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3779.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3778.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3778.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3778 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3778.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change To Expand the Number of Components in the PHLX Semiconductor SectorSM https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3777.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3777.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3777 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3777.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3775.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3775.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3775 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3775.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3774.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3774.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3774 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3774.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Position Limits for Certain Exchange Traded Funds https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3773.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3773.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3773 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3773.pdf Notice - 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 Reference https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3772.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3772.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3772 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3772.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3771.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3771.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3771 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3771.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3770.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3770.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3770 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3770.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3769.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3769.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3769 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3769.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3753.html https://regulations.justia.com/regulations/fedreg/2010/02/25/2010-3753.html Thu, 25 Feb 2010 00:00:00 -0800 2010-3753 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-25/pdf/2010-3753.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3792.html https://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3792.html Wed, 24 Feb 2010 00:00:00 -0800 2010-3792 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-24/pdf/2010-3792.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Settlement Payment Obligation https://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3641.html https://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3641.html Wed, 24 Feb 2010 00:00:00 -0800 2010-3641 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-24/pdf/2010-3641.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3640.html https://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3640.html Wed, 24 Feb 2010 00:00:00 -0800 2010-3640 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-24/pdf/2010-3640.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3546.html https://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3546.html Wed, 24 Feb 2010 00:00:00 -0800 2010-3546 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-24/pdf/2010-3546.pdf Notice - 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 Sponsor https://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3545.html https://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3545.html Wed, 24 Feb 2010 00:00:00 -0800 2010-3545 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-24/pdf/2010-3545.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3544.html https://regulations.justia.com/regulations/fedreg/2010/02/24/2010-3544.html Wed, 24 Feb 2010 00:00:00 -0800 2010-3544 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-24/pdf/2010-3544.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3685.html https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3685.html Tue, 23 Feb 2010 00:00:00 -0800 2010-3685 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3685.pdf Notice - Electronic Game Card, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3643.html https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3643.html Tue, 23 Feb 2010 00:00:00 -0800 2010-3643 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3643.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3468.html https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3468.html Tue, 23 Feb 2010 00:00:00 -0800 2010-3468 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3468.pdf Notice - 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 7018 https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3467.html https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3467.html Tue, 23 Feb 2010 00:00:00 -0800 2010-3467 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3467.pdf Notice - 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 MatchPointSM https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3466.html https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3466.html Tue, 23 Feb 2010 00:00:00 -0800 2010-3466 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3466.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Trading Hours for Foreign Currency Options https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3465.html https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3465.html Tue, 23 Feb 2010 00:00:00 -0800 2010-3465 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3465.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the WisdomTree Real Return Fund https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3464.html https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3464.html Tue, 23 Feb 2010 00:00:00 -0800 2010-3464 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3464.pdf Notice - 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 Hours https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3394.html https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3394.html Tue, 23 Feb 2010 00:00:00 -0800 2010-3394 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3394.pdf Notice - 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 Arbitration https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3393.html https://regulations.justia.com/regulations/fedreg/2010/02/23/2010-3393.html Tue, 23 Feb 2010 00:00:00 -0800 2010-3393 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-23/pdf/2010-3393.pdf Notice - iShares Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3333.html https://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3333.html Mon, 22 Feb 2010 00:00:00 -0800 2010-3333 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-22/pdf/2010-3333.pdf Notice - 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 7018 https://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3332.html https://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3332.html Mon, 22 Feb 2010 00:00:00 -0800 2010-3332 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-22/pdf/2010-3332.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3331.html https://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3331.html Mon, 22 Feb 2010 00:00:00 -0800 2010-3331 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-22/pdf/2010-3331.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3330.html https://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3330.html Mon, 22 Feb 2010 00:00:00 -0800 2010-3330 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-22/pdf/2010-3330.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3329.html https://regulations.justia.com/regulations/fedreg/2010/02/22/2010-3329.html Mon, 22 Feb 2010 00:00:00 -0800 2010-3329 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-22/pdf/2010-3329.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2010/02/19/2010-3230.html https://regulations.justia.com/regulations/fedreg/2010/02/19/2010-3230.html Fri, 19 Feb 2010 00:00:00 -0800 2010-3230 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-19/pdf/2010-3230.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2010/02/19/2010-3159.html https://regulations.justia.com/regulations/fedreg/2010/02/19/2010-3159.html Fri, 19 Feb 2010 00:00:00 -0800 2010-3159 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-19/pdf/2010-3159.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2010/02/19/2010-3142.html https://regulations.justia.com/regulations/fedreg/2010/02/19/2010-3142.html Fri, 19 Feb 2010 00:00:00 -0800 2010-3142 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-19/pdf/2010-3142.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2010/02/19/2010-3140.html https://regulations.justia.com/regulations/fedreg/2010/02/19/2010-3140.html Fri, 19 Feb 2010 00:00:00 -0800 2010-3140 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-19/pdf/2010-3140.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3196.html https://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3196.html Thu, 18 Feb 2010 00:00:00 -0800 2010-3196 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-18/pdf/2010-3196.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3138.html https://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3138.html Thu, 18 Feb 2010 00:00:00 -0800 2010-3138 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-18/pdf/2010-3138.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/2010/02/18/2010-3077.html https://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3077.html Thu, 18 Feb 2010 00:00:00 -0800 2010-3077 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-18/pdf/2010-3077.pdf Notice - 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 Agreement https://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3076.html https://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3076.html Thu, 18 Feb 2010 00:00:00 -0800 2010-3076 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-18/pdf/2010-3076.pdf Notice - 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 Disputes https://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3075.html https://regulations.justia.com/regulations/fedreg/2010/02/18/2010-3075.html Thu, 18 Feb 2010 00:00:00 -0800 2010-3075 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-18/pdf/2010-3075.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/02/17/2010-3073.html https://regulations.justia.com/regulations/fedreg/2010/02/17/2010-3073.html Wed, 17 Feb 2010 00:00:00 -0800 2010-3073 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-17/pdf/2010-3073.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2010/02/17/2010-3044.html https://regulations.justia.com/regulations/fedreg/2010/02/17/2010-3044.html Wed, 17 Feb 2010 00:00:00 -0800 2010-3044 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-17/pdf/2010-3044.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade the Sprott Physical Gold Trust https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2960.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2960.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2960 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2960.pdf Notice - 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 Membership https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2959.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2959.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2959 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2959.pdf Notice - 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 Dollar https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2958.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2958.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2958 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2958.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/2010/02/10/2010-2957.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2957.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2957 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2957.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/2010/02/10/2010-2956.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2956.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2956 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2956.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Co-location Service Fees https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2955.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2955.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2955 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2955.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2954.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2954.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2954 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2954.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2953.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2953.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2953 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2953.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 991 Options Communications https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2952.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2952.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2952 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2952.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade the Sprott Physical Gold Trust https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2951.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2951.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2951 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2951.pdf Notice - 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 Membership https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2950.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2950.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2950 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2950.pdf Notice - 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 Dollar https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2949.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2949.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2949 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2949.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/2010/02/10/2010-2948.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2948.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2948 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2948.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/2010/02/10/2010-2947.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2947.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2947 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2947.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Co-Location Service Fees https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2946.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2946.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2946 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2946.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2945.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2945.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2945 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2945.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2944.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2944.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2944 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2944.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 991 Options Communications https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2943.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2943.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2943 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2943.pdf Notice - 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 Disputes https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2867.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2867.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2867 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2867.pdf Notice - 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 Period https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2866.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2866.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2866 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2866.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2865.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2865.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2865 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2865.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Codify Prices for Co-Location Services https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2864.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2864.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2864 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2864.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 960NY Trading Differentials https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2863.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2863.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2863 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2863.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Codify Prices for Co-Location Services https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2861.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2861.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2861 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2861.pdf Notice - 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 Amount https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2860.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2860.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2860 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2860.pdf Notice - 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 DTC https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2859.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2859.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2859 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2859.pdf Notice - 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 Requests https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2858.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2858.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2858 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2858.pdf Proposed Rule - Purchases of Certain Equity Securities by the Issuer and Others; Correction https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2856.html https://regulations.justia.com/regulations/fedreg/2010/02/10/2010-2856.html Wed, 10 Feb 2010 00:00:00 -0800 2010-2856 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-02-10/pdf/2010-2856.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2972.html https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2972.html Tue, 09 Feb 2010 00:00:00 -0800 2010-2972 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2972.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change To Codify Prices for Co-Location Services https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2787.html https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2787.html Tue, 09 Feb 2010 00:00:00 -0800 2010-2787 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2787.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2786.html https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2786.html Tue, 09 Feb 2010 00:00:00 -0800 2010-2786 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2786.pdf Notice - U.S. One, Inc. and U.S. One Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2749.html https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2749.html Tue, 09 Feb 2010 00:00:00 -0800 2010-2749 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2749.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2741.html https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2741.html Tue, 09 Feb 2010 00:00:00 -0800 2010-2741 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2741.pdf Notice - 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 Value https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2740.html https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2740.html Tue, 09 Feb 2010 00:00:00 -0800 2010-2740 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2740.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2739.html https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2739.html Tue, 09 Feb 2010 00:00:00 -0800 2010-2739 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2739.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2738.html https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2738.html Tue, 09 Feb 2010 00:00:00 -0800 2010-2738 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2738.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2737.html https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2737.html Tue, 09 Feb 2010 00:00:00 -0800 2010-2737 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2737.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2736.html https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2736.html Tue, 09 Feb 2010 00:00:00 -0800 2010-2736 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2736.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2735.html https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2735.html Tue, 09 Feb 2010 00:00:00 -0800 2010-2735 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2735.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2734.html https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2734.html Tue, 09 Feb 2010 00:00:00 -0800 2010-2734 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2734.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2733.html https://regulations.justia.com/regulations/fedreg/2010/02/09/2010-2733.html Tue, 09 Feb 2010 00:00:00 -0800 2010-2733 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-09/pdf/2010-2733.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2638.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2638.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2638 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2638.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2637.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2637.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2637 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2637.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2636.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2636.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2636 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2636.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2635.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2635.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2635 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2635.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2634.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2634.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2634 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2634.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Press Release Requirements for Listed Companies https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2633.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2633.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2633 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2633.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2632.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2632.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2632 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2632.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2631.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2631.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2631 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2631.pdf Rule - Commission Guidance Regarding Disclosure Related to Climate Change https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2602.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2602.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2602 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2602.pdf Notice - 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 2002 https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2591.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2591.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2591 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2591.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Foreign Currency Options https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2588.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2588.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2588 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2588.pdf Notice - 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 Submissions https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2587.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2587.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2587 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2587.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2586.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2586.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2586 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2586.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2585.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2585.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2585 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2585.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2584.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2584.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2584 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2584.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2583.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2583.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2583 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2583.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Describing the BX Ouch BBO Feed https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2581.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2581.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2581 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2581.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Describing the NASDAQ Ouch BBO Feed https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2580.html https://regulations.justia.com/regulations/fedreg/2010/02/08/2010-2580.html Mon, 08 Feb 2010 00:00:00 -0800 2010-2580 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-08/pdf/2010-2580.pdf Notice - Investor Advisory Committee https://regulations.justia.com/regulations/fedreg/2010/02/05/2010-2519.html https://regulations.justia.com/regulations/fedreg/2010/02/05/2010-2519.html Fri, 05 Feb 2010 00:00:00 -0800 2010-2519 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-05/pdf/2010-2519.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Order Routing Rule https://regulations.justia.com/regulations/fedreg/2010/02/05/2010-2501.html https://regulations.justia.com/regulations/fedreg/2010/02/05/2010-2501.html Fri, 05 Feb 2010 00:00:00 -0800 2010-2501 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-05/pdf/2010-2501.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2010/02/05/2010-2500.html https://regulations.justia.com/regulations/fedreg/2010/02/05/2010-2500.html Fri, 05 Feb 2010 00:00:00 -0800 2010-2500 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-05/pdf/2010-2500.pdf Notice - ShariahShares Exchange-Traded Fund Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2381.html https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2381.html Thu, 04 Feb 2010 00:00:00 -0800 2010-2381 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2381.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2380.html https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2380.html Thu, 04 Feb 2010 00:00:00 -0800 2010-2380 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2380.pdf Notice - 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 Series https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2337.html https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2337.html Thu, 04 Feb 2010 00:00:00 -0800 2010-2337 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2337.pdf Notice - 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 Sizes https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2336.html https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2336.html Thu, 04 Feb 2010 00:00:00 -0800 2010-2336 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2336.pdf Notice - 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 Errors https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2335.html https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2335.html Thu, 04 Feb 2010 00:00:00 -0800 2010-2335 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2335.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2334.html https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2334.html Thu, 04 Feb 2010 00:00:00 -0800 2010-2334 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2334.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Inconsistencies in Certain Execution Rules https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2333.html https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2333.html Thu, 04 Feb 2010 00:00:00 -0800 2010-2333 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2333.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Waiver of Certain Fees https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2332.html https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2332.html Thu, 04 Feb 2010 00:00:00 -0800 2010-2332 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2332.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2331.html https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2331.html Thu, 04 Feb 2010 00:00:00 -0800 2010-2331 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2331.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2330.html https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2330.html Thu, 04 Feb 2010 00:00:00 -0800 2010-2330 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2330.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify Nasdaq Rule 7023 https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2329.html https://regulations.justia.com/regulations/fedreg/2010/02/04/2010-2329.html Thu, 04 Feb 2010 00:00:00 -0800 2010-2329 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-04/pdf/2010-2329.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2010/02/03/2010-2424.html https://regulations.justia.com/regulations/fedreg/2010/02/03/2010-2424.html Wed, 03 Feb 2010 00:00:00 -0800 2010-2424 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-03/pdf/2010-2424.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2223.html https://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2223.html Tue, 02 Feb 2010 00:00:00 -0800 2010-2223 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-02/pdf/2010-2223.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Modifying the NYSE Arca Realtime Reference Prices Service https://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2109.html https://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2109.html Tue, 02 Feb 2010 00:00:00 -0800 2010-2109 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-02/pdf/2010-2109.pdf Notice - 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 Increments https://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2093.html https://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2093.html Tue, 02 Feb 2010 00:00:00 -0800 2010-2093 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-02/pdf/2010-2093.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change Relating to Professional Orders https://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2092.html https://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2092.html Tue, 02 Feb 2010 00:00:00 -0800 2010-2092 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-02/pdf/2010-2092.pdf Notice - 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 Organization https://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2091.html https://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2091.html Tue, 02 Feb 2010 00:00:00 -0800 2010-2091 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-02/pdf/2010-2091.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending the Rule Governing the Issuance of Trading Licenses https://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2090.html https://regulations.justia.com/regulations/fedreg/2010/02/02/2010-2090.html Tue, 02 Feb 2010 00:00:00 -0800 2010-2090 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-02/pdf/2010-2090.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-2123.html https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-2123.html Mon, 01 Feb 2010 00:00:00 -0800 2010-2123 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-2123.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-2076.html https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-2076.html Mon, 01 Feb 2010 00:00:00 -0800 2010-2076 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-2076.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-2075.html https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-2075.html Mon, 01 Feb 2010 00:00:00 -0800 2010-2075 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-2075.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-1969.html https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-1969.html Mon, 01 Feb 2010 00:00:00 -0800 2010-1969 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-1969.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-1951.html https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-1951.html Mon, 01 Feb 2010 00:00:00 -0800 2010-1951 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-1951.pdf Notice - Assurant, Inc., et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-1950.html https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-1950.html Mon, 01 Feb 2010 00:00:00 -0800 2010-1950 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-1950.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-1949.html https://regulations.justia.com/regulations/fedreg/2010/02/01/2010-1949.html Mon, 01 Feb 2010 00:00:00 -0800 2010-1949 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-02-01/pdf/2010-1949.pdf