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=atom2024-05-23T03:17:14-07:00Justia 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.pdf