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?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-05T11:34:17-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7207.htmlNotice - MetLife Insurance Company of Connecticut, et al.2010-03-31T00:00:00-07:002010-03-31T00:00:00-07:002010-7207Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-31/pdf/2010-7207.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7206.htmlNotice - MCG Capital Corporation; Notice of Application2010-03-31T00:00:00-07:002010-03-31T00:00:00-07:002010-7206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-31/pdf/2010-7206.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7204.htmlNotice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Eligibility of Securities Processed Through the ID Net Service2010-03-31T00:00:00-07:002010-03-31T00:00:00-07:002010-7204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-31/pdf/2010-7204.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7203.htmlNotice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Its Settlement Service Guide as It Relates to the ID Net Service2010-03-31T00:00:00-07:002010-03-31T00:00:00-07:002010-7203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-31/pdf/2010-7203.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7110.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Regarding the Listing of the ProShares Ultra MSCI Mexico Investable Market Fund2010-03-31T00:00:00-07:002010-03-31T00:00:00-07:002010-7110Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-31/pdf/2010-7110.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7109.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program2010-03-31T00:00:00-07:002010-03-31T00:00:00-07:002010-7109Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-31/pdf/2010-7109.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7107.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Application of NASDAQ Rule 4611(d)2010-03-31T00:00:00-07:002010-03-31T00:00:00-07:002010-7107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-31/pdf/2010-7107.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7106.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Relating to Exchange Liability2010-03-31T00:00:00-07:002010-03-31T00:00:00-07:002010-7106Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-31/pdf/2010-7106.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7105.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities2010-03-31T00:00:00-07:002010-03-31T00:00:00-07:002010-7105Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-31/pdf/2010-7105.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7104.htmlNotice - Self-Regulatory Organizations; The NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3121 To Reflect Changes to Corresponding FINRA Rule2010-03-31T00:00:00-07:002010-03-31T00:00:00-07:002010-7104Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-31/pdf/2010-7104.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/30/C1-2010-6184.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Co- location Service Fees2010-03-30T00:00:00-07:002010-03-30T00:00:00-07:00C1-2010-6184Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-30/pdf/C1-2010-6184.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/30/2010-7128.htmlNotice - Sunshine Act Meeting2010-03-30T00:00:00-07:002010-03-30T00:00:00-07:002010-7128Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-30/pdf/2010-7128.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/30/2010-6994.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to U.S. Dollar-Settled Foreign Currency Options2010-03-30T00:00:00-07:002010-03-30T00:00:00-07:002010-6994Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-30/pdf/2010-6994.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/30/2010-6993.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Outdated References in the Exchange Fees Schedule2010-03-30T00:00:00-07:002010-03-30T00:00:00-07:002010-6993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-30/pdf/2010-6993.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/30/2010-6992.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.37A and Rule 6.642010-03-30T00:00:00-07:002010-03-30T00:00:00-07:002010-6992Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-30/pdf/2010-6992.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6874.htmlNotice - Rydex Series Funds, et al.; Notice of Application2010-03-29T00:00:00-07:002010-03-29T00:00:00-07:002010-6874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-29/pdf/2010-6874.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6873.htmlNotice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Aggregate Obligations in Certain Securities Transactions Designated for Settlement on a Trade-for-Trade Basis2010-03-29T00:00:00-07:002010-03-29T00:00:00-07:002010-6873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-29/pdf/2010-6873.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6838.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify and Modify the Applicability of Nasdaq Rule 5615 To Exchange Traded Funds2010-03-29T00:00:00-07:002010-03-29T00:00:00-07:002010-6838Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-29/pdf/2010-6838.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6837.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 127 To Remove the Restrictions on the Execution of Block Cross Transactions Outside the Prevailing NYSE Quotation2010-03-29T00:00:00-07:002010-03-29T00:00:00-07:002010-6837Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-29/pdf/2010-6837.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6836.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 127 To Remove the Restrictions on the Execution of Block Cross Transactions Outside the Prevailing NYSE Amex Quotation2010-03-29T00:00:00-07:002010-03-29T00:00:00-07:002010-6836Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-29/pdf/2010-6836.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6779.htmlNotice - RMR Real Estate Income Fund, et al.; Notice of Application2010-03-29T00:00:00-07:002010-03-29T00:00:00-07:002010-6779Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-29/pdf/2010-6779.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6775.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan2010-03-29T00:00:00-07:002010-03-29T00:00:00-07:002010-6775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-29/pdf/2010-6775.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6774.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan2010-03-29T00:00:00-07:002010-03-29T00:00:00-07:002010-6774Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-29/pdf/2010-6774.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6773.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update a Cross-Reference Within FINRA Rule 01502010-03-29T00:00:00-07:002010-03-29T00:00:00-07:002010-6773Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-29/pdf/2010-6773.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/26/2010-6679.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Deleting NYSE Rule 446 and Adopting New Rule 4370 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-03-26T00:00:00-07:002010-03-26T00:00:00-07:002010-6679Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-26/pdf/2010-6679.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/26/2010-6678.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Deleting Rule 446-NYSE Amex Equities and Adopting New Rule 4370-NYSE Amex Equities To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-03-26T00:00:00-07:002010-03-26T00:00:00-07:002010-6678Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-26/pdf/2010-6678.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/26/2010-6677.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To List and Trade Options on the ETFS Palladium Trust and the ETFS Platinum Trust2010-03-26T00:00:00-07:002010-03-26T00:00:00-07:002010-6677Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-26/pdf/2010-6677.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/26/2010-6676.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services2010-03-26T00:00:00-07:002010-03-26T00:00:00-07:002010-6676Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-26/pdf/2010-6676.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/25/C1-2010-5914.htmlNotice - Self[dash]Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to ETFS Palladium Shares and ETFS Platinum Shares2010-03-25T00:00:00-07:002010-03-25T00:00:00-07:00C1-2010-5914Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-25/pdf/C1-2010-5914.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/25/2010-6711.htmlNotice - Sunshine Act Meetings2010-03-25T00:00:00-07:002010-03-25T00:00:00-07:002010-6711Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-25/pdf/2010-6711.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6517.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Concurrent Listing of $3.50 and $4 Strikes for Classes in the $0.50 Strike and $1 Strike Programs2010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6517Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6517.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6516.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Elimination of a Market Maker Requirement for Each Option Series2010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6516Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6516.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6515.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC To Permit the Concurrent Listing of $3.50 and $4 Strikes for Classes Participating in the $0.50 Strike Program and the $1 Strike Program2010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6515Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6515.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6514.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CBOE Rule 31.85 to, Among Other Things, Prohibit Broker Discretionary Voting on the Elections of Directors2010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6514Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6514.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6513.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Credit2010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6513Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6513.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6512.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CHX Article 8, Rule 14 To, Among Other Things, Prohibit Broker Discretionary Voting on the Elections of Directors2010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6512Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6512.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6510.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Relating to Cabinet Trades2010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6510Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6510.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6509.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Accommodate Cabinet Trades That Take Place Below $1 Per Option Contract Until July 1, 20102010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6509Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6509.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6508.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6508Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6508.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6507.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing of the United States Brent Oil Fund, LP2010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6507Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6507.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6506.htmlNotice - Submission for OMB Review; Comment Request2010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6506Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6506.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6505.htmlNotice - Submission for OMB Review; Comment Request2010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6505Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6505.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6504.htmlNotice - Submission for OMB Review; Comment Request2010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6504Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6504.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6377.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Proposing To Extend the Operation of Its New Market Model Pilot, Currently Scheduled To Expire on March 30, 2010, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or September 30, 20102010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6377Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6377.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6376.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Proposing To Extend the Operation of Its New Market Model Pilot Currently Scheduled To Expire on March 30, 2010, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or September 30, 20102010-03-24T00:00:00-07:002010-03-24T00:00:00-07:002010-6376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-24/pdf/2010-6376.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/23/2010-6447.htmlNotice - Aspen Group Resources Corp., Commercial Concepts, Inc., Desert Health Products, Inc., Equalnet Communications Corp., Geneva Steel Holdings Corp., Orderpro Logistics, Inc. (n/k/a Securus Renewable Energy, Inc.), and Sepragen Corp.; Order of Suspension of Trading2010-03-23T00:00:00-07:002010-03-23T00:00:00-07:002010-6447Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-23/pdf/2010-6447.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/23/2010-6303.htmlNotice - SeaCo Ltd.; Notice of Application2010-03-23T00:00:00-07:002010-03-23T00:00:00-07:002010-6303Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-23/pdf/2010-6303.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6368.htmlNotice - Sunshine Act Meeting2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6368Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6368.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6315.htmlNotice - In the Matter of Talisman Enterprises, Inc., Tangent Solutions, Inc., Telepanel Systems, Inc., Telesis North Communications, Inc., Telzuit Medical Technologies, Inc., Tengtu International Corp., Thomaston Mills, Inc., Three D Departments, Inc., Tiger Telematics, Inc., and TIS Mortgage Investment Co.; Order of Suspension of Trading2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6315Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6315.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6214.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6214Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6214.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6204.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change To Amend Exchange Rules Related to Cut-Off Time for Contrary Exercise Advice Submissions2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6204.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6184.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Co-Location Service Fees2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6184Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6184.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6183.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market-Maker Joint Accounts2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6183Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6183.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6182.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To Modify the Press Release Requirements for Listed Companies2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6182Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6182.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6181.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Controller Space Fee2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6181Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6181.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6152.htmlNotice - Proposed Collection; Comment Request2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6152Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6152.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6150.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 3902010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6150Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6150.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6149.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 9.1(f)2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6149Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6149.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6148.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Its Fees Schedule2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6148Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6148.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6118.htmlNotice - Proposed Collection; Comment Request2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6118Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6118.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6117.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6117Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6117.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6116.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6116Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6116.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6115.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6115Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6115.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6114.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed Rule Change Relating to the WisdomTree Real Return Fund2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6114Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6114.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6113.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities2010-03-22T00:00:00-07:002010-03-22T00:00:00-07:002010-6113Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-22/pdf/2010-6113.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5947.htmlNotice - Proposed Collection; Comment Request2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5947Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5947.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5921.htmlNotice - Integrity Life Insurance Company, et al.;2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5921Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5921.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5920.htmlNotice - American Vantage Companies; Notice of Application2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5920Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5920.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5919.htmlNotice - Submission for OMB Review; Comment Request2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5919Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5919.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5918.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Optional Non-Display Usage Cap for Internal Distributors of TotalView and OpenView2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5918Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5918.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5917.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5917Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5917.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5916.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC To Amend the Bylaws of NYSE Euronext To Adopt a Majority Voting Standard in Uncontested Elections of Directors2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5916Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5916.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5915.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Payment for Order Flow Fees2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5915Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5915.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5914.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to ETFS Palladium Shares And ETFS Platinum Shares2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5914Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5914.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5913.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings (“IPOs”)2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5913Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5913.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5912.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing of the One Fund Under NYSE Arca Equities Rule 8.6002010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5912Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5912.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5911.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5911Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5911.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5910.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain Exchange Fees2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5910Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5910.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5909.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5909Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5909.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5908.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing of HTE Global Relative Value ETF2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5908Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5908.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5907.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to FLEX Option Pilots2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5907Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5907.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5906.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees for the Block Order Mechanism2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5906Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5906.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/18/2010-5868.htmlNotice - In the Matter of the Applications of EDGX Exchange, Inc., and EDGA Exchange, Inc. for Registration as National Securities Exchanges; Findings, Opinion, and Order of the Commission2010-03-18T00:00:00-07:002010-03-18T00:00:00-07:002010-5868Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-18/pdf/2010-5868.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/16/2010-5661.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide an Additional Option to the DOTI Routing Strategy2010-03-16T00:00:00-07:002010-03-16T00:00:00-07:002010-5661Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-16/pdf/2010-5661.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/16/2010-5660.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 3121 To Reflect Changes To Corresponding FINRA Rule and a Clerical Change to NASDAQ's Rules2010-03-16T00:00:00-07:002010-03-16T00:00:00-07:002010-5660Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-16/pdf/2010-5660.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/16/2010-5659.htmlNotice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Its Co-Location Fees2010-03-16T00:00:00-07:002010-03-16T00:00:00-07:002010-5659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-16/pdf/2010-5659.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/16/2010-5658.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Permanent Approval of the Dividend, Merger and Short Stock Interest Strategies Fee Cap Pilot Program2010-03-16T00:00:00-07:002010-03-16T00:00:00-07:002010-5658Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-16/pdf/2010-5658.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/16/2010-5648.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities2010-03-16T00:00:00-07:002010-03-16T00:00:00-07:002010-5648Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-16/pdf/2010-5648.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/15/2010-5728.htmlNotice - Sunshine Act Meeting2010-03-15T00:00:00-07:002010-03-15T00:00:00-07:002010-5728Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-15/pdf/2010-5728.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/15/2010-5534.htmlNotice - Self-Regulatory Organization; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Adjustment Increments Applicable to Stock Futures2010-03-15T00:00:00-07:002010-03-15T00:00:00-07:002010-5534Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-15/pdf/2010-5534.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/15/2010-5533.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Adopt a Reservation Fee for Next Generation Trading Floor Booth Space2010-03-15T00:00:00-07:002010-03-15T00:00:00-07:002010-5533Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-15/pdf/2010-5533.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/15/2010-5532.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar2010-03-15T00:00:00-07:002010-03-15T00:00:00-07:002010-5532Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-15/pdf/2010-5532.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/15/2010-5531.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Increase the Monthly ATP Fee for All Options Market Makers and To Reduce the Per-Contract Transaction Fee for Non-Directed Options Market Makers2010-03-15T00:00:00-07:002010-03-15T00:00:00-07:002010-5531Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-15/pdf/2010-5531.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/15/2010-5530.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Routing of Orders From NASDAQ Options Market to an Affiliated Exchange2010-03-15T00:00:00-07:002010-03-15T00:00:00-07:002010-5530Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-15/pdf/2010-5530.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/15/2010-5529.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets2010-03-15T00:00:00-07:002010-03-15T00:00:00-07:002010-5529Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-15/pdf/2010-5529.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/12/2010-5446.htmlNotice - Lincoln Investment Advisors Corporation and Lincoln Variable Insurance Products Trust; Notice of Application2010-03-12T00:00:00-08:002010-03-12T00:00:00-08:002010-5446Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-12/pdf/2010-5446.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/12/2010-5413.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To Modify the Fees for Listing on the Nasdaq Stock Market and the Fee for Written Interpretations of Nasdaq Listing Rules2010-03-12T00:00:00-08:002010-03-12T00:00:00-08:002010-5413Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-12/pdf/2010-5413.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/12/2010-5319.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Procedures To Prevent Informational Advantages Resulting From the Affiliation Between PHLX and NOS2010-03-12T00:00:00-08:002010-03-12T00:00:00-08:002010-5319Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-12/pdf/2010-5319.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/12/2010-5317.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Reestablishing Certain Fees2010-03-12T00:00:00-08:002010-03-12T00:00:00-08:002010-5317Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-12/pdf/2010-5317.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/12/2010-5316.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2010-03-12T00:00:00-08:002010-03-12T00:00:00-08:002010-5316Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-12/pdf/2010-5316.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/12/2010-5315.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Enable the Listing and Trading of Options on the ETFS Palladium Trust and the ETFS Platinum Trust2010-03-12T00:00:00-08:002010-03-12T00:00:00-08:002010-5315Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-12/pdf/2010-5315.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/12/2010-5302.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 Fees2010-03-12T00:00:00-08:002010-03-12T00:00:00-08:002010-5302Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-12/pdf/2010-5302.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/12/2010-5301.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBSX Fees Schedule To Adopt a Document Request Fee and Transaction Fees for Cross Trades That Settle Non-Regular-Way2010-03-12T00:00:00-08:002010-03-12T00:00:00-08:002010-5301Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-12/pdf/2010-5301.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/12/2010-5300.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data2010-03-12T00:00:00-08:002010-03-12T00:00:00-08:002010-5300Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-12/pdf/2010-5300.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/12/2010-5299.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Making Permanent the Exchange's Pilot Program With Respect to Its Continued Listing Standards2010-03-12T00:00:00-08:002010-03-12T00:00:00-08:002010-5299Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-12/pdf/2010-5299.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/12/2010-5298.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Stock Exchange, Inc. To Aggregate Trading Activity of Affiliated Participants To Calculate Average Daily Trading Volume for Billing Purposes2010-03-12T00:00:00-08:002010-03-12T00:00:00-08:002010-5298Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-12/pdf/2010-5298.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/12/2010-5296.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.2010-03-12T00:00:00-08:002010-03-12T00:00:00-08:002010-5296Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-12/pdf/2010-5296.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/11/2010-5235.htmlNotice - The Chile Fund, Inc.; Notice of Application2010-03-11T00:00:00-08:002010-03-11T00:00:00-08:002010-5235Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-11/pdf/2010-5235.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/11/2010-5222.htmlNotice - Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with Request of ICE Trust U.S. LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments2010-03-11T00:00:00-08:002010-03-11T00:00:00-08:002010-5222Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-11/pdf/2010-5222.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/11/2010-5221.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rules 993NY and 9452010-03-11T00:00:00-08:002010-03-11T00:00:00-08:002010-5221Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-11/pdf/2010-5221.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/11/2010-5220.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Minimum Quantity Order Type2010-03-11T00:00:00-08:002010-03-11T00:00:00-08:002010-5220Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-11/pdf/2010-5220.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/11/2010-5217.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees2010-03-11T00:00:00-08:002010-03-11T00:00:00-08:002010-5217Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-11/pdf/2010-5217.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/11/2010-5215.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consisting of Revised Interpretive Questions & Answers on the Application of Rule G-372010-03-11T00:00:00-08:002010-03-11T00:00:00-08:002010-5215Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-11/pdf/2010-5215.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/11/2010-5214.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending the Rule Governing the Issuance of Trading Licenses2010-03-11T00:00:00-08:002010-03-11T00:00:00-08:002010-5214Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-11/pdf/2010-5214.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/11/2010-5213.htmlNotice - Lincoln Variable Insurance Products Trust, et al.; Notice of Application2010-03-11T00:00:00-08:002010-03-11T00:00:00-08:002010-5213Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-11/pdf/2010-5213.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/10/2010-5078.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Permit the Concurrent Listing of $3.50 and $4 Strikes for Classes Participating in the $0.50 Strike Program and the $1 Strike Program2010-03-10T00:00:00-08:002010-03-10T00:00:00-08:002010-5078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-10/pdf/2010-5078.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/10/2010-5075.htmlNotice - Policy Statement on Obtaining and Retaining Beneficial Ownership Information for Anti-Money Laundering Purposes2010-03-10T00:00:00-08:002010-03-10T00:00:00-08:002010-5075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-10/pdf/2010-5075.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/10/2010-5070.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center2010-03-10T00:00:00-08:002010-03-10T00:00:00-08:002010-5070Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-10/pdf/2010-5070.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/10/2010-5069.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Deletion of Rules 6.96 and 14.52010-03-10T00:00:00-08:002010-03-10T00:00:00-08:002010-5069Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-10/pdf/2010-5069.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/10/2010-5068.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing of AdvisorShares WCM/BNY Mellon Focused Growth ADR ETF2010-03-10T00:00:00-08:002010-03-10T00:00:00-08:002010-5068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-10/pdf/2010-5068.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/10/2010-5067.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2010-03-10T00:00:00-08:002010-03-10T00:00:00-08:002010-5067Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-10/pdf/2010-5067.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/10/2010-5066.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing of Wilshire 5000 Total Market ETF and the Wilshire 4500 Completion ETF2010-03-10T00:00:00-08:002010-03-10T00:00:00-08:002010-5066Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-10/pdf/2010-5066.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/10/2010-5046.htmlNotice - Public Company Accounting Oversight Board; Order Approving Proposed Amendment to Board Rules Relating to Inspections2010-03-10T00:00:00-08:002010-03-10T00:00:00-08:002010-5046Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-10/pdf/2010-5046.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/10/2010-4409.htmlRule - Amendments to Regulation SHO2010-03-10T00:00:00-08:002010-03-10T00:00:00-08:002010-4409Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-10/pdf/2010-4409.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/09/2010-5053.htmlNotice - Sunshine Act Meeting2010-03-09T00:00:00-08:002010-03-09T00:00:00-08:002010-5053Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-09/pdf/2010-5053.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/09/2010-4914.htmlNotice - Proposed Collection; Comment Request2010-03-09T00:00:00-08:002010-03-09T00:00:00-08:002010-4914Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-09/pdf/2010-4914.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/09/2010-4913.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Linkage Pilot2010-03-09T00:00:00-08:002010-03-09T00:00:00-08:002010-4913Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-09/pdf/2010-4913.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/09/2010-4912.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 476 To Add a Provision for Violations Relating to Failing To Observe High Standards of Commercial Honor and Just and Equitable Principles of Trade2010-03-09T00:00:00-08:002010-03-09T00:00:00-08:002010-4912Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-09/pdf/2010-4912.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/09/2010-4911.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Rule 476 To Add a Provision for Violations Relating To Failing to Observe High Standards of Commercial Honor and Just and Equitable Principles of Trade2010-03-09T00:00:00-08:002010-03-09T00:00:00-08:002010-4911Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-09/pdf/2010-4911.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/09/2010-4910.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Multi-Class Broad Based Index Option Spread Orders2010-03-09T00:00:00-08:002010-03-09T00:00:00-08:002010-4910Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-09/pdf/2010-4910.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/09/2010-4909.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Relating to the Designation of a “Professional Customer”2010-03-09T00:00:00-08:002010-03-09T00:00:00-08:002010-4909Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-09/pdf/2010-4909.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/09/2010-4908.htmlNotice - The Chile Fund, Inc., et al.; Notice of Application2010-03-09T00:00:00-08:002010-03-09T00:00:00-08:002010-4908Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-09/pdf/2010-4908.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/08/2010-4785.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC as Modified by Amendment No. 1 Thereto Clarifying the Implementation Date of the Amendments to NYSE Amex Equities Rule 123C To Modify the Procedures for Its Closing Process and Make Conforming Changes to NYSE Amex Equities Rules 13 and 152010-03-08T00:00:00-08:002010-03-08T00:00:00-08:002010-4785Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-08/pdf/2010-4785.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/08/2010-4784.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC as Modified by Amendment No. 1 Thereto Clarifying the Implementation Date of the Amendments to NYSE Rule 123C To Modify the Procedures for Its Closing Process and Make Conforming Changes to NYSE Rules 13 and 152010-03-08T00:00:00-08:002010-03-08T00:00:00-08:002010-4784Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-08/pdf/2010-4784.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/08/2010-4765.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Amend Its Price List2010-03-08T00:00:00-08:002010-03-08T00:00:00-08:002010-4765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-08/pdf/2010-4765.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/08/2010-4764.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Amend the Exchange Price List2010-03-08T00:00:00-08:002010-03-08T00:00:00-08:002010-4764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-08/pdf/2010-4764.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/08/2010-4763.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Registered Transfer Agent Notification Methods for Assumption or Termination of Services2010-03-08T00:00:00-08:002010-03-08T00:00:00-08:002010-4763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-08/pdf/2010-4763.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/08/2010-4741.htmlNotice - Proposed Collection; Comment Request2010-03-08T00:00:00-08:002010-03-08T00:00:00-08:002010-4741Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-08/pdf/2010-4741.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/08/2010-4738.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Eliminate Guarantee of Payment in Connection With the Envelope Settlement Service2010-03-08T00:00:00-08:002010-03-08T00:00:00-08:002010-4738Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-08/pdf/2010-4738.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/08/2010-4737.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex, LLC Amending Its Fee Schedule2010-03-08T00:00:00-08:002010-03-08T00:00:00-08:002010-4737Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-08/pdf/2010-4737.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/08/2010-4736.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123C(9)(a)(1) To Extend the Operation of the Pilot Operating Pursuant the Rule Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or June 1, 20102010-03-08T00:00:00-08:002010-03-08T00:00:00-08:002010-4736Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-08/pdf/2010-4736.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/08/2010-4735.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123C(9)(a)(1) To Extend the Operation of the Pilot Operating Pursuant the Rule Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or June 1, 20102010-03-08T00:00:00-08:002010-03-08T00:00:00-08:002010-4735Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-08/pdf/2010-4735.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/08/2010-4734.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Erroneous Citations From Rule 95572010-03-08T00:00:00-08:002010-03-08T00:00:00-08:002010-4734Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-08/pdf/2010-4734.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/05/2010-4803.htmlNotice - In the Matter of Xtreme Motorsports International, Inc.; Order of Suspension of Trading2010-03-05T00:00:00-08:002010-03-05T00:00:00-08:002010-4803Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-05/pdf/2010-4803.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/05/2010-4802.htmlNotice - In the Matter of: Corridor Communications Corp., International Cosmetics Marketing Co., PNV, Inc., Questron Technology, Inc. (n/k/a Quti Corp.), Tapistron International, Inc., Telscape International, Inc. (n/k/a Scapetel Debtor, Inc.), and Universal Beverages Holdings Corp.; Order of Suspension of Trading2010-03-05T00:00:00-08:002010-03-05T00:00:00-08:002010-4802Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-05/pdf/2010-4802.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/05/2010-4801.htmlNotice - In the Matter of: Amalgamated Explorations, Inc., Areawide Cellular, Inc., Genomed, Inc., Global Maintech Corp., Military Resale Group, Inc., Verado Holdings, Inc., and World Transport Authority, Inc.; Order of Suspension of Trading2010-03-05T00:00:00-08:002010-03-05T00:00:00-08:002010-4801Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-05/pdf/2010-4801.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/05/2010-4660.htmlNotice - Proposed Extension of Existing Collection; Comment Request2010-03-05T00:00:00-08:002010-03-05T00:00:00-08:002010-4660Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-05/pdf/2010-4660.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/05/2010-4659.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Extend the Pilot Program in Relation to Certain of Its Continued Listing Standards2010-03-05T00:00:00-08:002010-03-05T00:00:00-08:002010-4659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-05/pdf/2010-4659.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/05/2010-4658.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by BATS Exchange, Inc. to Offer Certain BATS Exchange Data Products2010-03-05T00:00:00-08:002010-03-05T00:00:00-08:002010-4658Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-05/pdf/2010-4658.pdfhttps://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.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/03/2010-4502.htmlNotice - In the Matter of Primegen Energy Corp.; Order of Suspension of Trading2010-03-03T00:00:00-08:002010-03-03T00:00:00-08:002010-4502Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-03/pdf/2010-4502.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/03/2010-4367.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for the NASDAQ Options Market (“NOM”)2010-03-03T00:00:00-08:002010-03-03T00:00:00-08:002010-4367Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-03/pdf/2010-4367.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/03/2010-4366.htmlNotice - Millington Securities, Inc. and Millington Unit Investment Trusts; Notice of Application2010-03-03T00:00:00-08:002010-03-03T00:00:00-08:002010-4366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-03/pdf/2010-4366.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/03/2010-4335.htmlNotice - Proposed Collection; Comment Request2010-03-03T00:00:00-08:002010-03-03T00:00:00-08:002010-4335Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-03/pdf/2010-4335.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/02/2010-4375.htmlNotice - U.S. Biomedical Corp., (f/k/a United Textiles & Toys, Inc.), U.S. Environmental Solutions, Inc. (n/k/a EnviroResolutions, Inc.), USA Bridge Construction of N.Y., Inc., USA Broadband, Inc., USA Uranium Corp., and Utopia Marketing, Inc. (n/k/a Daytonabrands, Inc.); Order of Suspension of Trading2010-03-02T00:00:00-08:002010-03-02T00:00:00-08:002010-4375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-02/pdf/2010-4375.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/02/2010-4333.htmlNotice - Sunshine Act Meeting2010-03-02T00:00:00-08:002010-03-02T00:00:00-08:002010-4333Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-02/pdf/2010-4333.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/02/2010-4239.htmlNotice - Submission for OMB Review; Comment Request2010-03-02T00:00:00-08:002010-03-02T00:00:00-08:002010-4239Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-02/pdf/2010-4239.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/02/2010-4238.htmlNotice - Submission for OMB Review; Comment Request2010-03-02T00:00:00-08:002010-03-02T00:00:00-08:002010-4238Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-02/pdf/2010-4238.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/02/2010-4237.htmlNotice - Submission for OMB Review; Comment Request2010-03-02T00:00:00-08:002010-03-02T00:00:00-08:002010-4237Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-02/pdf/2010-4237.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/02/2010-4236.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing the Exchange's Directed Order Process on the Boston Options Exchange2010-03-02T00:00:00-08:002010-03-02T00:00:00-08:002010-4236Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-02/pdf/2010-4236.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/02/2010-4235.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the By-Laws of NASD Dispute Resolution2010-03-02T00:00:00-08:002010-03-02T00:00:00-08:002010-4235Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-02/pdf/2010-4235.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/02/2010-4234.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Certain Provisions of the Options Listing Procedures Plan Into the Rules of the Boston Options Exchange Facility2010-03-02T00:00:00-08:002010-03-02T00:00:00-08:002010-4234Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-02/pdf/2010-4234.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/02/2010-4231.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Inadvertent Numbering Inconsistency2010-03-02T00:00:00-08:002010-03-02T00:00:00-08:002010-4231Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-02/pdf/2010-4231.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/02/2010-4230.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend BATS Rule 5.5, Entitled “Information Barrier Procedures,” and To Add New BATS Rule 12.13, Entitled “Trading Ahead of Research Reports”2010-03-02T00:00:00-08:002010-03-02T00:00:00-08:002010-4230Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-02/pdf/2010-4230.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/02/2010-4229.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by NYSE Amex LLC Changing Certain NYSE Amex Equities Rules To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-03-02T00:00:00-08:002010-03-02T00:00:00-08:002010-4229Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-02/pdf/2010-4229.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/02/2010-4228.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by New York Stock Exchange LLC Changing Certain NYSE Rules and Rule Interpretations To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-03-02T00:00:00-08:002010-03-02T00:00:00-08:002010-4228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-02/pdf/2010-4228.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/02/2010-4171.htmlNotice - Commission Statement in Support of Convergence and Global Accounting Standards2010-03-02T00:00:00-08:002010-03-02T00:00:00-08:002010-4171Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-02/pdf/2010-4171.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/01/2010-4165.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the Provisions of NYSE Rules 116 and 123C To Repeal the Temporary Provision That Allows the Exchange To Report Multiple Closing Prints to the Consolidated Tape When a Closing Transaction Exceeds 99,999,999 Shares2010-03-01T00:00:00-08:002010-03-01T00:00:00-08:002010-4165Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-01/pdf/2010-4165.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/01/2010-4136.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Its Trust Unit Rules and Proposing the Listing of the Nuveen Diversified Commodity Fund2010-03-01T00:00:00-08:002010-03-01T00:00:00-08:002010-4136Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-01/pdf/2010-4136.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/01/2010-4135.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Routing Fees2010-03-01T00:00:00-08:002010-03-01T00:00:00-08:002010-4135Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-01/pdf/2010-4135.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/01/2010-4067.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, 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 Require the Reporting of Transactions in Asset-Backed Securities to TRACE2010-03-01T00:00:00-08:002010-03-01T00:00:00-08:002010-4067Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-01/pdf/2010-4067.pdfhttps://regulations.justia.com/regulations/fedreg/2010/03/01/2010-4006.htmlRule - Proxy Disclosure Enhancements; Correction2010-03-01T00:00:00-08:002010-03-01T00:00:00-08:002010-4006Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-03-01/pdf/2010-4006.pdf