<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2010/08?registers=between&min-day=1&max-day=31 Thu, 23 May 2024 16:14:52 -0700 Thu, 23 May 2024 16:14:52 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2010/08?registers=between&min-day=1&max-day=31 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21857.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21857.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21857 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21857.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21798.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21798.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21798 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21798.pdf Notice - 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 Insolvency https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21678.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21678.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21678 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21678.pdf Notice - Aston Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21674.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21674.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21674 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21674.pdf Notice - 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 Auctions https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21631.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21631.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21631 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21631.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21630.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21630.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21630 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21630.pdf Notice - The Integrity Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21625.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21625.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21625 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21625.pdf Notice - 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 Persons https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21606.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21606.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21606 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21606.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Trade Reporting https://regulations.justia.com/regulations/fedreg/2010/08/30/2010-21474.html https://regulations.justia.com/regulations/fedreg/2010/08/30/2010-21474.html Mon, 30 Aug 2010 00:00:00 -0700 2010-21474 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-30/pdf/2010-21474.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2010/08/30/2010-21473.html https://regulations.justia.com/regulations/fedreg/2010/08/30/2010-21473.html Mon, 30 Aug 2010 00:00:00 -0700 2010-21473 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-30/pdf/2010-21473.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21342.html https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21342.html Fri, 27 Aug 2010 00:00:00 -0700 2010-21342 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-27/pdf/2010-21342.pdf Notice - 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 Obligations https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21308.html https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21308.html Fri, 27 Aug 2010 00:00:00 -0700 2010-21308 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-27/pdf/2010-21308.pdf Notice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21307.html https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21307.html Fri, 27 Aug 2010 00:00:00 -0700 2010-21307 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-27/pdf/2010-21307.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21335.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21335.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21335 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21335.pdf Notice - 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; Correction https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21228.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21228.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21228 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21228.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Reinstitute Short Exempt Marking for Trade Reporting and OATS https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21201.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21201.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21201 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21201.pdf Notice - 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 Positions https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21200.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21200.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21200 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21200.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21178.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21178.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21178 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21178.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21177.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21177.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21177 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21177.pdf Notice - 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.; Correction https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21176.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21176.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21176 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21176.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21095.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21095.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21095 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21095.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21094.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21094.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21094 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21094.pdf Notice - 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) System https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21082.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21082.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21082 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21082.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21035.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21035.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21035 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21035.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21034.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21034.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21034 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21034.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21033.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21033.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21033 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21033.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21032.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21032.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21032 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21032.pdf Notice - 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 Stocks https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21031.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21031.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21031 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21031.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2010/08/24/2010-21001.html https://regulations.justia.com/regulations/fedreg/2010/08/24/2010-21001.html Tue, 24 Aug 2010 00:00:00 -0700 2010-21001 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-24/pdf/2010-21001.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-21000.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-21000.html Mon, 23 Aug 2010 00:00:00 -0700 2010-21000 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-21000.pdf Notice - Privacy Act of 1974: Systems of Records https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20999.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20999.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20999 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20999.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20927.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20927.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20927 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20927.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Regarding Routing to an Affiliated Exchange https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20820.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20820.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20820 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20820.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to Listing of the Wilshire Micro-Cap ETF https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20819.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20819.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20819 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20819.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20818.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20818.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20818 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20818.pdf Notice - 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”) System https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20817.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20817.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20817 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20817.pdf Notice - 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 Corporation https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20816.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20816.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20816 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20816.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Enhance the Process for Transfers Through the Automated Customer Account Transfer Service https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20815.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20815.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20815 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20815.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20682.html https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20682.html Fri, 20 Aug 2010 00:00:00 -0700 2010-20682 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20682.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Its Price List To Reflect Fees Charged for Co-Location Services https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20681.html https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20681.html Fri, 20 Aug 2010 00:00:00 -0700 2010-20681 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20681.pdf Notice - WisdomTree Asset Management, Inc., and WisdomTree Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20673.html https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20673.html Fri, 20 Aug 2010 00:00:00 -0700 2010-20673 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20673.pdf Notice - 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 Marked https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20658.html https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20658.html Fri, 20 Aug 2010 00:00:00 -0700 2010-20658 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20658.pdf Proposed Rule - Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20567.html https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20567.html Fri, 20 Aug 2010 00:00:00 -0700 2010-20567 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20567.pdf Notice - Joint Public Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps and Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20591.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20591.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20591 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20591.pdf Notice - 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 Receipts https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20554.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20554.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20554 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20554.pdf Notice - 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 Advices https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20553.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20553.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20553 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20553.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20552.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20552.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20552 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20552.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE AMEX LLC Amending Rule 980-Exercise of Options Contracts https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20550.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20550.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20550 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20550.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20537.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20537.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20537 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20537.pdf Notice - In the Matter of the Application of BATS Y-Exchange, Inc. for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20536.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20536.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20536 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20536.pdf