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/2010/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T03:45:11-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2010/05/28/2010-13006.htmlNotice - Sunshine Act Meeting2010-05-28T00:00:00-07:002010-05-28T00:00:00-07:002010-13006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-13006.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12936.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating to the Demutualization of Chicago Board Options Exchange, Incorporated2010-05-28T00:00:00-07:002010-05-28T00:00:00-07:002010-12936Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12936.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12874.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Amending Its Schedule of Fees2010-05-28T00:00:00-07:002010-05-28T00:00:00-07:002010-12874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12874.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12873.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Risk Management Interface2010-05-28T00:00:00-07:002010-05-28T00:00:00-07:002010-12873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12873.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12872.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional Customer Fees2010-05-28T00:00:00-07:002010-05-28T00:00:00-07:002010-12872Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12872.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12871.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. to Make Changes to Expand the $1 Strike Program2010-05-28T00:00:00-07:002010-05-28T00:00:00-07:002010-12871Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12871.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12876.htmlNotice - In the Matter of Act Clean Technologies, Inc.; Order of Suspension of Trading2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12876.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12748.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change Relating to Quote Spread Parameters and Batching of Violations2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12748Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12748.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12747.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12747Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12747.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12746.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Deleting Rule 413-NYSE Amex Equities To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12746Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12746.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12745.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 413 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12745Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12745.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12694.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Applicability of Fees2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12694Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12694.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12693.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Accelerated Approval of Proposed Rule Change To Permit $1 Strikes for Options on Trust Issued Receipts2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12693Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12693.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12625.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of Arbitrators on Lists Generated by the Neutral List Selection System2010-05-26T00:00:00-07:002010-05-26T00:00:00-07:002010-12625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12625.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12555.htmlNotice - Submission for OMB Review; Comment Request2010-05-26T00:00:00-07:002010-05-26T00:00:00-07:002010-12555Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12555.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12554.htmlNotice - Submission for OMB Review; Comment Request2010-05-26T00:00:00-07:002010-05-26T00:00:00-07:002010-12554Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12554.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12553.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade CBOE Gold ETF Volatility Index Options2010-05-26T00:00:00-07:002010-05-26T00:00:00-07:002010-12553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12553.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12552.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 Center2010-05-26T00:00:00-07:002010-05-26T00:00:00-07:002010-12552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12552.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12551.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require Companies To Provide Notification to Nasdaq of Any Noncompliance With the Corporate Governance Requirements2010-05-26T00:00:00-07:002010-05-26T00:00:00-07:002010-12551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12551.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/25/2010-12508.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Procedures Regarding the Participant Tender Offer Program Function2010-05-25T00:00:00-07:002010-05-25T00:00:00-07:002010-12508Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-25/pdf/2010-12508.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/25/2010-12507.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Corporate Structure2010-05-25T00:00:00-07:002010-05-25T00:00:00-07:002010-12507Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-25/pdf/2010-12507.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/25/2010-12506.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Fees for the ISE Order Feed2010-05-25T00:00:00-07:002010-05-25T00:00:00-07:002010-12506Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-25/pdf/2010-12506.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/25/2010-12495.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto To Establish a New Service and Related Fees2010-05-25T00:00:00-07:002010-05-25T00:00:00-07:002010-12495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-25/pdf/2010-12495.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12426.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12426.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12425.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Individual Stock Trading Pauses Due to Extraordinary Market Volatility2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12425.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12424.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Establish a Trading Halt for Individual Stocks Contained in the Standard & Poor's 500 Index That Experience a 10 Percent Price Change of 10% or More During a Five-Minute Period Pursuant to Exchange Rule 11.202010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12424.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12423.htmlNotice - Self-Regulatory Organizations; Proposed Rule Change by Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish a Trading Halt for Individual Stocks Contained in the Standard & Poor's 500 Index2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12423Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12423.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12422.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Establish a Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index That Experience a Price Change of 10% or More During a Five-Minute Period2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12422.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12421.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Adding NYSE Arca Equities Rule 7.11 To Provide for a Trading Pause for Individual Securities When the Price Moves 10 Percent or More2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12421Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12421.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12419.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of a Proposed Rule Change Adding NYSE Amex Equities Rule 80C To Provide for a Trading Pause for Individual Securities When the Price Moves 10 Percent or More2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12419Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12419.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12418.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Adding Rule 80C To Provide for a Trading Pause for Individual Securities When the Price Moves 10 Percent or More2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12418Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12418.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12417.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by International Securities Exchange LLC To Amend ISE Rule 2102 To Provide for a Trading Pause for Individual Securities When the Price Moves Ten Percent or More2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12417Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12417.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12416.htmlNotice - Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by NASDAQ OMX BX, Inc. To Adopt Rule 4120(a)(11) Concerning Individual Stock Trading Pauses and To Adopt Related IM-4120-32010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12416Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12416.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12414.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGX Rule 11.14, Entitled “Trading Halts Due to Extraordinary Market Volatility”2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12414Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12414.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12413.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGA Rule 11.14, Entitled “Trading Halts Due to Extraordinary Market Volatility”2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12413Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12413.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12412.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 11.18, Entitled “Trading Halts Due to Extraordinary Market Volatility”2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12412Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12412.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12373.htmlNotice - Order Granting Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12373Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12373.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12369.htmlNotice - Sunshine Act Meeting2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12369Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12369.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12366.htmlNotice - Sunshine Act Meetings2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12366.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12303.htmlNotice - Market Structure Roundtable2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12303Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12303.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12301.htmlNotice - Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12301Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12301.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12261.htmlNotice - Submission for OMB Review; Comment Request2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12261Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12261.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12260.htmlNotice - Kinetics Mutual Funds, Inc., et al.; Notice of Application2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12260Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12260.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12227.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional Routing Fees2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12227.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12226.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.9, Entitled “Orders and Modifiers”2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12226Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12226.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/20/2010-12228.htmlNotice - Sunshine Act Meeting2010-05-20T00:00:00-07:002010-05-20T00:00:00-07:002010-12228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-20/pdf/2010-12228.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/20/2010-12068.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 502(k)2010-05-20T00:00:00-07:002010-05-20T00:00:00-07:002010-12068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-20/pdf/2010-12068.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11944.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Suspension of Seat Market2010-05-19T00:00:00-07:002010-05-19T00:00:00-07:002010-11944Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11944.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11941.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the Required Number of Market Makers Appointed in a Particular Class for the Opening of Trading2010-05-19T00:00:00-07:002010-05-19T00:00:00-07:002010-11941Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11941.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11940.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Clearing Options on the CBOE Gold ETF Volatility Index2010-05-19T00:00:00-07:002010-05-19T00:00:00-07:002010-11940Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11940.pdf