<![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/2010/03/04?registers=between Fri, 27 Jun 2025 12:46:12 -0700 Fri, 27 Jun 2025 12:46:12 -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/2010/03/04?registers=between Notice - 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 1934 https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4530.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4530.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4530 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4530.pdf Notice - Privacy Act of 1974: Systems of Records https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4529.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4529.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4529 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4529.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to ETFS Physical Swiss Gold Shares and ETFS Physical Silver Shares https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4517.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4517.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4517 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4517.pdf Notice - First Trust/Aberdeen Global Opportunity Income Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4516.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4516.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4516 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4516.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4499.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4499.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4499 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4499.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Approval of Proposed Rule Change Relating to Index Option Position Limits https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4458.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4458.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4458 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4458.pdf Notice - 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 Venues https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4457.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4457.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4457 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4457.pdf Notice - 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 Matters https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4456.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4456.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4456 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4456.pdf Notice - 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 Surveillance https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4455.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4455.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4455 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4455.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Intermarket Linkage Rules https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4454.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4454.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4454 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4454.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4453.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4453.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4453 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4453.pdf Notice - 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 Errors https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4452.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4452.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4452 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4452.pdf Notice - 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 Offering https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4411.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4411.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4411 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4411.pdf Rule - Money Market Fund Reform https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4059.html https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4059.html Thu, 04 Mar 2010 00:00:00 -0800 2010-4059 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-03-04/pdf/2010-4059.pdf