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/2010/08?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T15:03:35-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21857.htmlNotice - Sunshine Act Meeting2010-08-31T00:00:00-07:002010-08-31T00:00:00-07:002010-21857Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21857.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21798.htmlNotice - Sunshine Act Meeting2010-08-31T00:00:00-07:002010-08-31T00:00:00-07:002010-21798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21798.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21678.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Provide Clarity With Respect to the Close Out Netting of the Government Securities Division in the Event of the Fixed Income Clearing Corporation's Default or Insolvency2010-08-31T00:00:00-07:002010-08-31T00:00:00-07:002010-21678Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21678.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21674.htmlNotice - Aston Funds, et al.; Notice of Application2010-08-31T00:00:00-07:002010-08-31T00:00:00-07:002010-21674Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21674.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21631.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees, the Monthly Cap and Electronic Auctions2010-08-31T00:00:00-07:002010-08-31T00:00:00-07:002010-21631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21631.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21630.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; NASDAQ OMX BX, Inc.; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility2010-08-31T00:00:00-07:002010-08-31T00:00:00-07:002010-21630Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21630.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21625.htmlNotice - The Integrity Funds, et al.; Notice of Application2010-08-31T00:00:00-07:002010-08-31T00:00:00-07:002010-21625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21625.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21606.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, Relating to Outside Business Activities of Registered Persons2010-08-31T00:00:00-07:002010-08-31T00:00:00-07:002010-21606Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21606.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/30/2010-21474.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Trade Reporting2010-08-30T00:00:00-07:002010-08-30T00:00:00-07:002010-21474Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-30/pdf/2010-21474.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/30/2010-21473.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Change to the Automated Opening System2010-08-30T00:00:00-07:002010-08-30T00:00:00-07:002010-21473Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-30/pdf/2010-21473.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21342.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the CBOE Stock Exchange Fee Schedule To Change the Transaction Fees for 24 Securities2010-08-27T00:00:00-07:002010-08-27T00:00:00-07:002010-21342Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-27/pdf/2010-21342.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21308.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, To Enhance the Interest Rate and Descriptive Information Currently Collected and Made Transparent by the MSRB on Municipal Auction Rate Securities and Variable Rate Demand Obligations2010-08-27T00:00:00-07:002010-08-27T00:00:00-07:002010-21308Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-27/pdf/2010-21308.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21307.htmlNotice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates2010-08-27T00:00:00-07:002010-08-27T00:00:00-07:002010-21307Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-27/pdf/2010-21307.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21335.htmlNotice - Sunshine Act Meeting2010-08-26T00:00:00-07:002010-08-26T00:00:00-07:002010-21335Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21335.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21228.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook; Correction2010-08-26T00:00:00-07:002010-08-26T00:00:00-07:002010-21228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21228.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21201.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Reinstitute Short Exempt Marking for Trade Reporting and OATS2010-08-26T00:00:00-07:002010-08-26T00:00:00-07:002010-21201Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21201.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21200.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of Proposed Rule Change To Modify the Rules of the Government Securities Division Regarding the Calculation of Clearing Fund Deposits Relating to Inter-Dealer Broker Positions2010-08-26T00:00:00-07:002010-08-26T00:00:00-07:002010-21200Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21200.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21178.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee2010-08-26T00:00:00-07:002010-08-26T00:00:00-07:002010-21178Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21178.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21177.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee2010-08-26T00:00:00-07:002010-08-26T00:00:00-07:002010-21177Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21177.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21176.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; NASDAQ OMX BX, Inc.; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; Correction2010-08-26T00:00:00-07:002010-08-26T00:00:00-07:002010-21176Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21176.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21095.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearly Erroneous Transactions2010-08-25T00:00:00-07:002010-08-25T00:00:00-07:002010-21095Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21095.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21094.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Clearly Erroneous Transactions2010-08-25T00:00:00-07:002010-08-25T00:00:00-07:002010-21094Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21094.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21082.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change Relating to the Continuing Disclosure Service of the MSRB Electronic Municipal Market Access (EMMA) System2010-08-25T00:00:00-07:002010-08-25T00:00:00-07:002010-21082Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21082.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21035.htmlNotice - Proposed Collection; Comment Request2010-08-25T00:00:00-07:002010-08-25T00:00:00-07:002010-21035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21035.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21034.htmlNotice - Submission for OMB Review; Comment Request2010-08-25T00:00:00-07:002010-08-25T00:00:00-07:002010-21034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21034.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21033.htmlNotice - Proposed Collection; Comment Request2010-08-25T00:00:00-07:002010-08-25T00:00:00-07:002010-21033Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21033.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21032.htmlNotice - Submission for OMB Review; Comment Request2010-08-25T00:00:00-07:002010-08-25T00:00:00-07:002010-21032Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21032.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21031.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks2010-08-25T00:00:00-07:002010-08-25T00:00:00-07:002010-21031Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21031.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/24/2010-21001.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities2010-08-24T00:00:00-07:002010-08-24T00:00:00-07:002010-21001Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-24/pdf/2010-21001.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/23/2010-21000.htmlNotice - Sunshine Act Meeting2010-08-23T00:00:00-07:002010-08-23T00:00:00-07:002010-21000Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-21000.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20999.htmlNotice - Privacy Act of 1974: Systems of Records2010-08-23T00:00:00-07:002010-08-23T00:00:00-07:002010-20999Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20999.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20927.htmlNotice - Sunshine Act Meeting2010-08-23T00:00:00-07:002010-08-23T00:00:00-07:002010-20927Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20927.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20820.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Regarding Routing to an Affiliated Exchange2010-08-23T00:00:00-07:002010-08-23T00:00:00-07:002010-20820Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20820.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20819.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to Listing of the Wilshire Micro-Cap ETF2010-08-23T00:00:00-07:002010-08-23T00:00:00-07:002010-20819Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20819.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20818.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Rule 4770 in Its Entirety and To Eliminate a Related Reference From the Rules2010-08-23T00:00:00-07:002010-08-23T00:00:00-07:002010-20818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20818.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20817.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change To Establish a Subscription To the Information Collected by the MSRB's Short-term Obligation Rate Transparency (“SHORT”) System2010-08-23T00:00:00-07:002010-08-23T00:00:00-07:002010-20817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20817.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20816.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Revise its Procedures Regarding Securities Delivered to or From Participant Accounts Through the Automated Customer Account Transfer Service of National Securities Clearing Corporation2010-08-23T00:00:00-07:002010-08-23T00:00:00-07:002010-20816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20816.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20815.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Enhance the Process for Transfers Through the Automated Customer Account Transfer Service2010-08-23T00:00:00-07:002010-08-23T00:00:00-07:002010-20815Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20815.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20682.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Its Price List To Reflect Fees Charged for Co-Location Services2010-08-20T00:00:00-07:002010-08-20T00:00:00-07:002010-20682Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20682.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20681.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Its Price List To Reflect Fees Charged for Co-Location Services2010-08-20T00:00:00-07:002010-08-20T00:00:00-07:002010-20681Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20681.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20673.htmlNotice - WisdomTree Asset Management, Inc., and WisdomTree Trust; Notice of Application2010-08-20T00:00:00-07:002010-08-20T00:00:00-07:002010-20673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20673.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20658.htmlNotice - Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by the NASDAQ Stock Market LLC To Adopt a Definition of Professional and Require That All Professional Orders Be Appropriately Marked2010-08-20T00:00:00-07:002010-08-20T00:00:00-07:002010-20658Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20658.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20567.htmlProposed Rule - Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act2010-08-20T00:00:00-07:002010-08-20T00:00:00-07:002010-20567Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20567.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20591.htmlNotice - Joint Public Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps and Security-Based Swaps2010-08-19T00:00:00-07:002010-08-19T00:00:00-07:002010-20591Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20591.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20554.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing Strike Price Intervals for Options on Trust Issued Receipts, Including Holding Company Depositary Receipts2010-08-19T00:00:00-07:002010-08-19T00:00:00-07:002010-20554Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20554.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20553.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposal To Extend the Cut-Off Time To Submit Contrary Exercise Advices2010-08-19T00:00:00-07:002010-08-19T00:00:00-07:002010-20553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20553.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20552.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating To Extend the Cut-Off Time To Submit Contrary Exercise Advices and Make Some Clerical and Conforming Changes2010-08-19T00:00:00-07:002010-08-19T00:00:00-07:002010-20552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20552.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20550.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE AMEX LLC Amending Rule 980-Exercise of Options Contracts2010-08-19T00:00:00-07:002010-08-19T00:00:00-07:002010-20550Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20550.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20537.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook2010-08-19T00:00:00-07:002010-08-19T00:00:00-07:002010-20537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20537.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20536.htmlNotice - In the Matter of the Application of BATS Y-Exchange, Inc. for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission2010-08-19T00:00:00-07:002010-08-19T00:00:00-07:002010-20536Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20536.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20548.htmlNotice - In the Matter of Four Crystal Funding, Inc.; Order of Suspension of Trading2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20548.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20474.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 3.132010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20474Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20474.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20473.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA Rule 2360 To Extend the Time To Submit a Contrary Exercise Advice and the Time for a Final Exercise Decision in the Event of a Modified Close of Trading2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20473Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20473.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20472.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC To Amend Exchange Rules Related to the Cut-off Time for Contrary Exercise Advice Submissions2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20472Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20472.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20471.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Amend Exchange Rules Related to the Cut-Off Time for Contrary Exercise Advice Submissions2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20471Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20471.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20470.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.24 Exercise of Options Contracts2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20470Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20470.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20468.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 23.1, Entitled “Exercise of Options Contracts”2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20468Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20468.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20467.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Consisting of (i) Amendments to Rule G-8 (Books and Records To Be Made by Brokers, Dealers and Municipal Securities Dealers), Rule G-9 (Preservation of Records), and Rule G-11 (New Issue Syndicate Practices); (ii) a Proposed Interpretation of Rule G-17 (Conduct of Municipal Securities Activities); and (iii) the Deletion of a Previous Rule G-17 Interpretive Notice2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20467Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20467.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20407.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Schedule and Circular Regarding Trading Permit Holder Application and Other Related Fees2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20407Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20407.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20406.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Trading Options on a Reduced Value of the DAX Index, Including Long-Term Options2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20406Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20406.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20374.htmlNotice - Submission for OMB Review; Comment Request2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20374Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20374.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20373.htmlNotice - Submission for OMB Review; Comment Request2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20373Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20373.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20371.htmlNotice - Submission for OMB Review; Comment Request2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20371Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20371.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20370.htmlNotice - Submission for OMB Review; Comment Request2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20370Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20370.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20369.htmlNotice - Submission for OMB Review; Comment Request2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20369Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20369.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20368.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 3.132010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20368Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20368.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20366.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; NASDAQ OMX BX, Inc.; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20366.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20365.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule Change To Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20365Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20365.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20358.htmlNotice - Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20358Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20358.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20357.htmlNotice - Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers2010-08-18T00:00:00-07:002010-08-18T00:00:00-07:002010-20357Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20357.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/17/C1-2010-19332.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Minor Rule Violation Plan2010-08-17T00:00:00-07:002010-08-17T00:00:00-07:00C1-2010-19332Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/C1-2010-19332.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20258.htmlNotice - Proposed Collection; Comment Request2010-08-17T00:00:00-07:002010-08-17T00:00:00-07:002010-20258Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20258.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20257.htmlNotice - Proposed Collection; Comment Request2010-08-17T00:00:00-07:002010-08-17T00:00:00-07:002010-20257Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20257.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20256.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the ETFS Precious Metals Basket Trust2010-08-17T00:00:00-07:002010-08-17T00:00:00-07:002010-20256Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20256.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20240.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 15 To Clarify Use of the Last Sale on the Exchange as the Reference Price and To Define the Reference Price of a Security in the Event That There Is No Last Sale in That Security on the Exchange2010-08-17T00:00:00-07:002010-08-17T00:00:00-07:002010-20240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20240.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20239.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 15-NYSE Amex Equities To Clarify Use of the Last Sale on the Exchange as the Reference Price and To Define the Reference Price of a Security in the Event That There Is No Last Sale in That Security on the Exchange2010-08-17T00:00:00-07:002010-08-17T00:00:00-07:002010-20239Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20239.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20259.htmlNotice - Atchison Casting Corp. (n/k/a Bradken-Atchison/St. Joseph, Inc.), CityFed Financial Corp., Divine, Inc. (n/k/a Enivid, Inc.), Genesis Worldwide, Inc., Hampton Consulting Corp., and Jake's Pizza International, Inc.; Order of Suspension of Trading2010-08-16T00:00:00-07:002010-08-16T00:00:00-07:002010-20259Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20259.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20197.htmlRule - Delegation of Authority to the Director of Its Division of Enforcement2010-08-16T00:00:00-07:002010-08-16T00:00:00-07:002010-20197Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20197.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20182.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Promote Efficiencies Within the Legal Notice System2010-08-16T00:00:00-07:002010-08-16T00:00:00-07:002010-20182Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20182.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20181.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Definition of Government Securities To Exclude Separate Trading of Registered Interest and Principal Securities on Treasury Inflation Protected Securities, Commonly Known as TIP-STRIPS2010-08-16T00:00:00-07:002010-08-16T00:00:00-07:002010-20181Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20181.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20179.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Definition of the Term Representative2010-08-16T00:00:00-07:002010-08-16T00:00:00-07:002010-20179Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20179.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20150.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending its Fee Schedule2010-08-16T00:00:00-07:002010-08-16T00:00:00-07:002010-20150Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20150.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20149.htmlNotice - Self-Regulatory Organizations; NYSE Amex, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 995NY2010-08-16T00:00:00-07:002010-08-16T00:00:00-07:002010-20149Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20149.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20147.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity2010-08-16T00:00:00-07:002010-08-16T00:00:00-07:002010-20147Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20147.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20105.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to a Revenue Sharing Program With Correlix, Inc.2010-08-16T00:00:00-07:002010-08-16T00:00:00-07:002010-20105Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20105.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20104.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to a Revenue Sharing Program with Correlix, Inc.2010-08-16T00:00:00-07:002010-08-16T00:00:00-07:002010-20104Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20104.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20103.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving Proposed Rule Change to Amend the EDGX Fee Schedule to Impose Fees for Physical Ports Used To Connect To EDGX Exchange2010-08-16T00:00:00-07:002010-08-16T00:00:00-07:002010-20103Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20103.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20102.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving Proposed Rule Change To Amend the EDGA Fee Schedule To Impose Fees for Physical Ports Used To Connect to EDGA Exchange2010-08-16T00:00:00-07:002010-08-16T00:00:00-07:002010-20102Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20102.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20100.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a Proposed Price Improvement System, Price Improvement XL (PIXLSM2010-08-16T00:00:00-07:002010-08-16T00:00:00-07:002010-20100Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20100.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/13/2010-20003.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Its Fee Schedule2010-08-13T00:00:00-07:002010-08-13T00:00:00-07:002010-20003Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-20003.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19973.htmlNotice - Proposed Collection; Comment Request2010-08-13T00:00:00-07:002010-08-13T00:00:00-07:002010-19973Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-19973.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19972.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections2010-08-13T00:00:00-07:002010-08-13T00:00:00-07:002010-19972Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-19972.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19971.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Billing Policies2010-08-13T00:00:00-07:002010-08-13T00:00:00-07:002010-19971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-19971.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19966.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 5190 (Notification Requirements for Offering Participants)2010-08-13T00:00:00-07:002010-08-13T00:00:00-07:002010-19966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-19966.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/12/2010-20002.htmlNotice - In the Matter of Appiant Technologies, Inc., Cobalis Corp., FutureLink Corp., STM Wireless, Inc., Supermail International, Inc. (n/k/a PBHG, Inc.), and Women First Healthcare, Inc.; Order of Suspension of Trading2010-08-12T00:00:00-07:002010-08-12T00:00:00-07:002010-20002Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-20002.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/12/2010-20001.htmlNotice - In the Matter of Geotec, Inc., InnoPet Brands Corp., Marbledge Group, Inc. (n/k/a AR Growth Finance Corp.), Phlo Corp., Pliant Systems, Inc., Southeast Banking Corp., TNX Television Holdings, Inc., and WestPoint Stevens, Inc.; Order of Suspension of Trading2010-08-12T00:00:00-07:002010-08-12T00:00:00-07:002010-20001Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-20001.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19854.htmlNotice - The Blackstone Group, LP; Notice of Application2010-08-12T00:00:00-07:002010-08-12T00:00:00-07:002010-19854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-19854.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19853.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Establish a Pilot Program to List P.M.-Settled End of Week and End of Month Expirations for Options on Broad-Based Indexes2010-08-12T00:00:00-07:002010-08-12T00:00:00-07:002010-19853Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-19853.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19852.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of an Amended 17d-2 Plan Between the Financial Industry Regulatory Authority, Inc. and the Chicago Stock Exchange, Inc.2010-08-12T00:00:00-07:002010-08-12T00:00:00-07:002010-19852Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-19852.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19617.htmlRule - Amendments to Form ADV2010-08-12T00:00:00-07:002010-08-12T00:00:00-07:002010-19617Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-19617.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/11/2010-19760.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2010-08-11T00:00:00-07:002010-08-11T00:00:00-07:002010-19760Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-11/pdf/2010-19760.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/11/2010-19759.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2010-08-11T00:00:00-07:002010-08-11T00:00:00-07:002010-19759Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-11/pdf/2010-19759.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/11/2010-19750.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 4160 (Verification of Assets)2010-08-11T00:00:00-07:002010-08-11T00:00:00-07:002010-19750Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-11/pdf/2010-19750.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19716.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19716Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19716.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19658.htmlNotice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Change to Compliance Rule 2-30 and the Related Interpretive Notice Regarding Customer Information and Risk Disclosure2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19658Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19658.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19657.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Crossing Mechanisms2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19657Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19657.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19656.htmlNotice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter its Tiered Schedule of Fees and Rebates for Participants for Trade Executions of Single-Sided Orders in Securities Priced Over One Dollar2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19656.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19655.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Schedule2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19655.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19654.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rules of the Boston Options Exchange Group, LLC To Enable the Listing and Trading of Options on the Sprott Physical Gold Trust2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19654Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19654.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19652.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Post Regular Trading Hours Trading Session2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19652Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19652.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19651.htmlNotice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Order Cancellation Fee2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19651Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19651.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19650.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19650Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19650.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19649.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19649Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19649.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19646.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19646Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19646.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19605.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Making Permanent the Sponsored Access Pilot Program2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19605Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19605.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19604.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19604Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19604.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19603.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program2010-08-10T00:00:00-07:002010-08-10T00:00:00-07:002010-19603Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19603.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19713.htmlNotice - Sunshine Act Meeting2010-08-09T00:00:00-07:002010-08-09T00:00:00-07:002010-19713Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19713.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19607.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of the Boston Options Exchange Facility2010-08-09T00:00:00-07:002010-08-09T00:00:00-07:002010-19607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19607.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19606.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change Relating to the National Quotation Dissemination Service2010-08-09T00:00:00-07:002010-08-09T00:00:00-07:002010-19606Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19606.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19528.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2010-08-09T00:00:00-07:002010-08-09T00:00:00-07:002010-19528Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19528.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19527.htmlNotice - Kohlberg Capital Corporation; Notice of Application2010-08-09T00:00:00-07:002010-08-09T00:00:00-07:002010-19527Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19527.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19519.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add 75 Classes to the Penny Pilot Program2010-08-09T00:00:00-07:002010-08-09T00:00:00-07:002010-19519Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19519.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19505.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook2010-08-09T00:00:00-07:002010-08-09T00:00:00-07:002010-19505Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19505.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19526.htmlNotice - Sunshine Act Meeting2010-08-06T00:00:00-07:002010-08-06T00:00:00-07:002010-19526Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19526.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19434.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Listing and Trading of WisdomTree Dreyfus Commodity Currency Fund under NYSE Arca Equities Rule 8.6002010-08-06T00:00:00-07:002010-08-06T00:00:00-07:002010-19434Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19434.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19373.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the ETFS White Metals Basket Trust2010-08-06T00:00:00-07:002010-08-06T00:00:00-07:002010-19373Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19373.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19372.htmlNotice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Changes to Interpretive Notice Entitled “NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts”2010-08-06T00:00:00-07:002010-08-06T00:00:00-07:002010-19372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19372.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19371.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Seventy-Five Options Classes to the Penny Pilot Program2010-08-06T00:00:00-07:002010-08-06T00:00:00-07:002010-19371Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19371.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19370.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Routing to Away Markets2010-08-06T00:00:00-07:002010-08-06T00:00:00-07:002010-19370Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19370.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19334.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Seventy-Five Options Classes to the Penny Pilot Program2010-08-06T00:00:00-07:002010-08-06T00:00:00-07:002010-19334Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19334.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19333.htmlNotice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Nasdaq Rule 7017(b)2010-08-06T00:00:00-07:002010-08-06T00:00:00-07:002010-19333Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19333.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19332.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Minor Rule Violation Plan2010-08-06T00:00:00-07:002010-08-06T00:00:00-07:002010-19332Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19332.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19331.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .012010-08-06T00:00:00-07:002010-08-06T00:00:00-07:002010-19331Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19331.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19330.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change to Establish a Revenue Sharing Program With Correlix, Inc.2010-08-06T00:00:00-07:002010-08-06T00:00:00-07:002010-19330Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19330.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/06/2010-18860.htmlRule - Amendments to the Informal and Other Procedures, Rules of Organization and Program Management, and Rules of Practice; Interim Commission Review of Public Company Accounting Oversight Board Inspection Reports and Regulation P2010-08-06T00:00:00-07:002010-08-06T00:00:00-07:002010-18860Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-18860.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19365.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Schedule2010-08-05T00:00:00-07:002010-08-05T00:00:00-07:002010-19365Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19365.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19267.htmlNotice - Proposed Collection; Comment Request2010-08-05T00:00:00-07:002010-08-05T00:00:00-07:002010-19267Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19267.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19266.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by International Securities Exchange, LLC That Constitutes a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 21282010-08-05T00:00:00-07:002010-08-05T00:00:00-07:002010-19266Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19266.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19265.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC That Constitutes a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 128(g)2010-08-05T00:00:00-07:002010-08-05T00:00:00-07:002010-19265Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19265.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19263.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC That Constitutes a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 128(g)2010-08-05T00:00:00-07:002010-08-05T00:00:00-07:002010-19263Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19263.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19262.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Amend Certain of Its Rules in Connection With the Decommissioning of the Odd-Lot System2010-08-05T00:00:00-07:002010-08-05T00:00:00-07:002010-19262Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19262.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19248.htmlNotice - Millington Securities, Inc., et al.; Notice of Application2010-08-05T00:00:00-07:002010-08-05T00:00:00-07:002010-19248Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19248.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19247.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. That Constitutes a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of NYSE Arca Equities Rule 7.10(g)2010-08-05T00:00:00-07:002010-08-05T00:00:00-07:002010-19247Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19247.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19246.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Regarding Listing and Trading of the WisdomTree Emerging Markets Local Debt Fund2010-08-05T00:00:00-07:002010-08-05T00:00:00-07:002010-19246Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19246.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19244.htmlNotice - GE Asset Management Incorporated and GE Investment Distributors, Inc.; Notice of Application and Temporary Order2010-08-05T00:00:00-07:002010-08-05T00:00:00-07:002010-19244Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19244.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19243.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Short Term Option Program2010-08-05T00:00:00-07:002010-08-05T00:00:00-07:002010-19243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19243.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19227.htmlNotice - Sunshine Act Meeting2010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19227.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19225.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Enhanced Customer Disclosure Rules Concerning Transactions Outside of Regular Trading Hours2010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19225.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19224.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31(x)2010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19224.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19223.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Relating to the Guaranteed Allocation for Lead Market Makers and Directed Order Market Makers2010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19223.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19222.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program2010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19222Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19222.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19221.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Seventy-Five Options Classes to the Penny Pilot Program2010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19221Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19221.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19220.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes To the Penny Pilot Program2010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19220Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19220.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19219.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Closing Cross Fees for Market-on-Close and Limit-on-Close Orders2010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19219Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19219.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19218.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.122010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19218Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19218.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19217.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by OneChicago, Amending Rule 419(a), Regulatory Halts2010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19217Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19217.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19215.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.122010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19215Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19215.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19111.htmlNotice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Fees for Routing to Away Markets2010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19111Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19111.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19110.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19110Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19110.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19083.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Regarding Listing and Trading of the PIMCO Build America Bond Strategy Fund2010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-19083Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19083.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/04/2010-18305.htmlProposed Rule - Mutual Fund Distribution Fees; Confirmations2010-08-04T00:00:00-07:002010-08-04T00:00:00-07:002010-18305Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-18305.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/03/2010-18999.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Amendments to the Discovery Guide and Rules 12506 and 12508 of the Code of Arbitration Procedure for Customer Disputes2010-08-03T00:00:00-07:002010-08-03T00:00:00-07:002010-18999Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-03/pdf/2010-18999.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/03/2010-18998.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.472010-08-03T00:00:00-07:002010-08-03T00:00:00-07:002010-18998Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-03/pdf/2010-18998.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/03/2010-18935.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add EDGA Exchange, Inc. and EDGX Exchange, Inc., Each as a Party Thereto2010-08-03T00:00:00-07:002010-08-03T00:00:00-07:002010-18935Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-03/pdf/2010-18935.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18896.htmlNotice - Proposed Collection; Comment Request2010-08-02T00:00:00-07:002010-08-02T00:00:00-07:002010-18896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18896.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18895.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC and NYSE Amex LLC; Order Approving Proposed Rule Changes Amending the Exchanges' Rules To Incorporate the Receipt and Execution of Odd-Lot Interest Into the Round Lot Market and Decommission the Use of the “Odd-Lot System”2010-08-02T00:00:00-07:002010-08-02T00:00:00-07:002010-18895Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18895.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18894.htmlNotice - Virtus Opportunities Trust, et al.; Notice of Application2010-08-02T00:00:00-07:002010-08-02T00:00:00-07:002010-18894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18894.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18893.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 123G and Adopting New Rule 5290 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-08-02T00:00:00-07:002010-08-02T00:00:00-07:002010-18893Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18893.pdfhttps://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18891.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rule 123G-NYSE Amex Equities and Adopting New Rule 5290-NYSE Amex Equities to Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-08-02T00:00:00-07:002010-08-02T00:00:00-07:002010-18891Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18891.pdf