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/2010/03/04?limit=200®isters=between&mode=atom2024-12-22T17:18:20-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4530.htmlNotice - Order Making Fiscal Year 2010 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 19342010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4530Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4530.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4529.htmlNotice - Privacy Act of 1974: Systems of Records2010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4529Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4529.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4517.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to ETFS Physical Swiss Gold Shares and ETFS Physical Silver Shares2010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4517Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4517.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4516.htmlNotice - First Trust/Aberdeen Global Opportunity Income Fund, et al.; Notice of Application2010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4516Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4516.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4499.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4499Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4499.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4458.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Approval of Proposed Rule Change Relating to Index Option Position Limits2010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4458Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4458.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4457.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Allow The Depository Trust Company To Provide Settlement Services to European Central Counterparty Limited for U.S. Securities Traded on European Trading Venues2010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4457Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4457.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4456.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the BATS Exchange, Inc., the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Amex LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Concerning Options-Related Sales Practice Matters2010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4456Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4456.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4455.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the NYSE Amex LLC, BATS Exchange, Inc., C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Concerning Options-Related Market Surveillance2010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4455Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4455.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4454.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Intermarket Linkage Rules2010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4454Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4454.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4453.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the By-Laws of The NASDAQ OMX Group, Inc.2010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4453Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4453.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4452.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC. Inc. Relating To Amending NASDAQ Options Market (“NOM”) Chapter V, Section 6, Obvious Errors2010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4452Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4452.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4411.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Round Lot Holder Initial Listing Requirement for Listing of Warrants on the Nasdaq Global and Capital Markets Except for Initial Firm Commitment Underwritten Public Offering2010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4411Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4411.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4059.htmlRule - Money Market Fund Reform2010-03-04T00:00:00-08:002010-03-04T00:00:00-08:002010-4059Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4059.pdf