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/2010/09?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-02T14:48:44-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2010/09/30/2010-24510.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish a Subscription To the Information Collected by the MSRB's Short-Term Obligation Rate Transparency (“SHORT”) System2010-09-30T00:00:00-07:002010-09-30T00:00:00-07:002010-24510Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-30/pdf/2010-24510.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/30/2010-24509.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Fees Schedule for the CBOE Stock Exchange2010-09-30T00:00:00-07:002010-09-30T00:00:00-07:002010-24509Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-30/pdf/2010-24509.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/29/2010-24452.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Automate the Approval Process in Providing Trustee Access to the Security Position Report Service2010-09-29T00:00:00-07:002010-09-29T00:00:00-07:002010-24452Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-29/pdf/2010-24452.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/29/2010-24449.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 4560 To Correspond With a Rule Change Filed by the Financial Industry Regulatory Authority, Inc.2010-09-29T00:00:00-07:002010-09-29T00:00:00-07:002010-24449Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-29/pdf/2010-24449.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/29/2010-24448.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 4560-NYSE Amex Equities To Correspond With a Rule Change Filed by the Financial Industry Regulatory Authority, Inc.2010-09-29T00:00:00-07:002010-09-29T00:00:00-07:002010-24448Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-29/pdf/2010-24448.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/29/2010-24445.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules2010-09-29T00:00:00-07:002010-09-29T00:00:00-07:002010-24445Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-29/pdf/2010-24445.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/29/2010-24416.htmlNotice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar2010-09-29T00:00:00-07:002010-09-29T00:00:00-07:002010-24416Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-29/pdf/2010-24416.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/28/2010-24343.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change Regarding Registration and Qualification Requirements2010-09-28T00:00:00-07:002010-09-28T00:00:00-07:002010-24343Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-28/pdf/2010-24343.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/28/2010-24261.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Requirement for Floor Official Approval for Certain Halts of Nasdaq Securities Traded via UTP2010-09-28T00:00:00-07:002010-09-28T00:00:00-07:002010-24261Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-28/pdf/2010-24261.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/28/2010-24259.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change To Establish Pricing for 10Gb Direct Circuit Connections and To Codify Pricing for Direct Circuit Connections Capable of Supporting Up to 1Gb for Customers Who Are Not Co-Located in the Exchange's Datacenter2010-09-28T00:00:00-07:002010-09-28T00:00:00-07:002010-24259Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-28/pdf/2010-24259.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/28/2010-24227.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule Change To Amend FINRA Rule 5190 (Notification Requirements for Offering Participants)2010-09-28T00:00:00-07:002010-09-28T00:00:00-07:002010-24227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-28/pdf/2010-24227.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/28/2010-24226.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Fifteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan2010-09-28T00:00:00-07:002010-09-28T00:00:00-07:002010-24226Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-28/pdf/2010-24226.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/28/2010-24225.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 22 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc.2010-09-28T00:00:00-07:002010-09-28T00:00:00-07:002010-24225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-28/pdf/2010-24225.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/28/2010-24199.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Weekly Options And Monthly Options2010-09-28T00:00:00-07:002010-09-28T00:00:00-07:002010-24199Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-28/pdf/2010-24199.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/28/2010-24187.htmlNotice - Submission for OMB Review; Comment Request2010-09-28T00:00:00-07:002010-09-28T00:00:00-07:002010-24187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-28/pdf/2010-24187.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/28/2010-24186.htmlNotice - Submission for OMB Review; Comment Request2010-09-28T00:00:00-07:002010-09-28T00:00:00-07:002010-24186Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-28/pdf/2010-24186.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/28/2010-24178.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 362010-09-28T00:00:00-07:002010-09-28T00:00:00-07:002010-24178Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-28/pdf/2010-24178.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/28/2010-23744.htmlRule - Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis2010-09-28T00:00:00-07:002010-09-28T00:00:00-07:002010-23744Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-28/pdf/2010-23744.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/28/2010-23743.htmlProposed Rule - Short-Term Borrowings Disclosure2010-09-28T00:00:00-07:002010-09-28T00:00:00-07:002010-23743Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-28/pdf/2010-23743.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24228.htmlNotice - Sunshine Act; Notice of Meeting2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24228.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24176.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 362010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24176Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24176.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24174.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change Relating to Sprott Physical Gold Shares2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24174Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24174.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24077.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide an Additional Order Type Which Will Give Options Participants Greater Control Over the Circumstances in Which Their Orders Are Executed2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24077Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24077.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24071.htmlNotice - Submission for OMB Review; Comment Request2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24071Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24071.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24069.htmlNotice - Submission for OMB Review; Comment Request2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24069Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24069.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24063.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending Its Price List To Reflect Fees Charged for Co-Location Services2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24063Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24063.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24061.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Amending Its Price List To Reflect Fees Charged for Co-Location Services2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24061Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24061.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24059.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of a Proposed Rule Change To Enhance Quotation Requirements for Market Makers2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24059Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24059.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24057.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Quotation Requirements on the Alternative Display Facility2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24057Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24057.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24056.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend NSX Rule 11.8 To Enhance Quotation Requirements for Market Makers2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24056Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24056.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24055.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to CBSX Market-Maker Obligations2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24055Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24055.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24054.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Enhance Quotation Requirements for Market Makers2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24054Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24054.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-24053.htmlNotice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Enhance Quotation Requirements for Market Makers2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-24053Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24053.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/27/2010-23456.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Standards Related to the Auditor's Assessment of and Response to Risk and Related Amendments to PCAOB Standards2010-09-27T00:00:00-07:002010-09-27T00:00:00-07:002010-23456Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-23456.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/24/2010-23971.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Amending Rule 104 To Adopt Pricing Obligations for Designated Market Makers2010-09-24T00:00:00-07:002010-09-24T00:00:00-07:002010-23971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-24/pdf/2010-23971.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/24/2010-23970.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of a Proposed Rule Change Amending NYSE Amex Equities Rule 104 To Adopt Pricing Obligations for Designated Market Makers2010-09-24T00:00:00-07:002010-09-24T00:00:00-07:002010-23970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-24/pdf/2010-23970.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/24/2010-23969.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Amending NYSE Arca Equities Rule 7.23 To Adopt Pricing Obligations for ETP Holders Who Are Registered as Market Makers2010-09-24T00:00:00-07:002010-09-24T00:00:00-07:002010-23969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-24/pdf/2010-23969.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/24/2010-23955.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend BATS Rule 11.8, Entitled “Obligations of Market Makers”2010-09-24T00:00:00-07:002010-09-24T00:00:00-07:002010-23955Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-24/pdf/2010-23955.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/24/2010-23924.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Relating to Execution Algorithm of NYBX Orders2010-09-24T00:00:00-07:002010-09-24T00:00:00-07:002010-23924Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-24/pdf/2010-23924.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/24/2010-23911.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Certain Rules to the List of Exchange Rule Violations and Fines Applicable Thereto2010-09-24T00:00:00-07:002010-09-24T00:00:00-07:002010-23911Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-24/pdf/2010-23911.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/24/2010-23908.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Certain Rules to the List of Exchange Rule Violations and Fines Applicable Thereto2010-09-24T00:00:00-07:002010-09-24T00:00:00-07:002010-23908Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-24/pdf/2010-23908.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/23/2010-23776.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Amend the Codes of Arbitration Procedure to Permit Arbitrators to Make Mid-case Referrals2010-09-23T00:00:00-07:002010-09-23T00:00:00-07:002010-23776Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-23/pdf/2010-23776.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/23/2010-23775.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Withdraw Regulatory Circular RG01-612010-09-23T00:00:00-07:002010-09-23T00:00:00-07:002010-23775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-23/pdf/2010-23775.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/23/2010-23773.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Exemptions from the Trading Activity Fee2010-09-23T00:00:00-07:002010-09-23T00:00:00-07:002010-23773Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-23/pdf/2010-23773.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/23/2010-23772.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BATS-Y Exchange, Inc.2010-09-23T00:00:00-07:002010-09-23T00:00:00-07:002010-23772Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-23/pdf/2010-23772.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/23/2010-23765.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan2010-09-23T00:00:00-07:002010-09-23T00:00:00-07:002010-23765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-23/pdf/2010-23765.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/23/2010-23755.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving a Proposed Rule Change Relating to a Revenue Sharing Program With Correlix, Inc.2010-09-23T00:00:00-07:002010-09-23T00:00:00-07:002010-23755Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-23/pdf/2010-23755.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/23/2010-23753.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving a Proposed Rule Change Relating to a Revenue Sharing Program With Correlix, Inc.2010-09-23T00:00:00-07:002010-09-23T00:00:00-07:002010-23753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-23/pdf/2010-23753.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/22/2010-23631.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval to a Proposed Rule Change Relating to the National Quotation Dissemination Service2010-09-22T00:00:00-07:002010-09-22T00:00:00-07:002010-23631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-22/pdf/2010-23631.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/22/2010-23603.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding the CBOE Volatility Index Futures to the Definition of a Futures Reference Asset in Chapter IV, Section 3(k)(i)(5)2010-09-22T00:00:00-07:002010-09-22T00:00:00-07:002010-23603Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-22/pdf/2010-23603.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/22/2010-23595.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Certain Application-Related Fees2010-09-22T00:00:00-07:002010-09-22T00:00:00-07:002010-23595Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-22/pdf/2010-23595.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/21/2010-23492.htmlRule - Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers2010-09-21T00:00:00-07:002010-09-21T00:00:00-07:002010-23492Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-21/pdf/2010-23492.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/21/2010-23489.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC and NYSE Amex LLC; Order Approving Proposed Rule Changes Amending Rule 123C To Allow Exchange Systems To Provide Order Imbalance Information With Respect to Market At-The-Close and Marketable Limit At-The-Close Interest to Floor Brokers Beginning Two Hours and Until Fifteen Minutes Prior to the Scheduled Close of Trading on Every Trading Day2010-09-21T00:00:00-07:002010-09-21T00:00:00-07:002010-23489Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-21/pdf/2010-23489.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/21/2010-23457.htmlRule - Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading2010-09-21T00:00:00-07:002010-09-21T00:00:00-07:002010-23457Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-21/pdf/2010-23457.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/21/2010-23455.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving 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 Indexes2010-09-21T00:00:00-07:002010-09-21T00:00:00-07:002010-23455Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-21/pdf/2010-23455.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/20/2010-23523.htmlNotice - Sunshine Act Meeting2010-09-20T00:00:00-07:002010-09-20T00:00:00-07:002010-23523Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-20/pdf/2010-23523.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/20/2010-23411.htmlNotice - Submission for OMB Review; Comment Request2010-09-20T00:00:00-07:002010-09-20T00:00:00-07:002010-23411Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-20/pdf/2010-23411.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/20/2010-23410.htmlNotice - Submission for OMB Review; Comment Request2010-09-20T00:00:00-07:002010-09-20T00:00:00-07:002010-23410Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-20/pdf/2010-23410.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/20/2010-23409.htmlNotice - Submission for OMB Review; Comment Request2010-09-20T00:00:00-07:002010-09-20T00:00:00-07:002010-23409Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-20/pdf/2010-23409.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/20/2010-23408.htmlNotice - American Capital, Ltd.; Notice of Application2010-09-20T00:00:00-07:002010-09-20T00:00:00-07:002010-23408Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-20/pdf/2010-23408.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/20/2010-23386.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish an Optional Depth Data Enterprise License Fee2010-09-20T00:00:00-07:002010-09-20T00:00:00-07:002010-23386Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-20/pdf/2010-23386.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/20/2010-23385.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 70192010-09-20T00:00:00-07:002010-09-20T00:00:00-07:002010-23385Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-20/pdf/2010-23385.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/20/2010-23384.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Waiver of Transaction Fee for Public Customer Orders in SPDR Options Executed in Open Outcry or in the Automated Improvement Mechanism2010-09-20T00:00:00-07:002010-09-20T00:00:00-07:002010-23384Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-20/pdf/2010-23384.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/20/2010-23372.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Regarding the Creation of a Universal Trade Capture Application and Automated Special Representative Facility2010-09-20T00:00:00-07:002010-09-20T00:00:00-07:002010-23372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-20/pdf/2010-23372.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/20/2010-23360.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Sixteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Twelfth Substantive Amendment to the Restated Consolidated Quotation Plan2010-09-20T00:00:00-07:002010-09-20T00:00:00-07:002010-23360Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-20/pdf/2010-23360.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/20/2010-23359.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Fourteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan2010-09-20T00:00:00-07:002010-09-20T00:00:00-07:002010-23359Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-20/pdf/2010-23359.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/17/2010-23299.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt BATS Rule 2.12, Entitled “BATS Trading, Inc. as Inbound Router” and To Make Related Changes2010-09-17T00:00:00-07:002010-09-17T00:00:00-07:002010-23299Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-17/pdf/2010-23299.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/17/2010-23298.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a New FLEX Options Pilot Program2010-09-17T00:00:00-07:002010-09-17T00:00:00-07:002010-23298Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-17/pdf/2010-23298.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/17/2010-23297.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Complex Order Book2010-09-17T00:00:00-07:002010-09-17T00:00:00-07:002010-23297Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-17/pdf/2010-23297.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/17/2010-23261.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Market Data Feeds2010-09-17T00:00:00-07:002010-09-17T00:00:00-07:002010-23261Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-17/pdf/2010-23261.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/17/2010-23240.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 Center2010-09-17T00:00:00-07:002010-09-17T00:00:00-07:002010-23240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-17/pdf/2010-23240.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/17/2010-23196.htmlNotice - Joint Industry Plan; Notice of Filing and Order Granting Temporary Effectiveness of Amendment To Plan Establishing Procedures Under Rule 605 of Regulation NMS2010-09-17T00:00:00-07:002010-09-17T00:00:00-07:002010-23196Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-17/pdf/2010-23196.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/17/2010-23194.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Limitation of Exchange Liability2010-09-17T00:00:00-07:002010-09-17T00:00:00-07:002010-23194Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-17/pdf/2010-23194.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/16/2010-23169.htmlNotice - Agency Meeting2010-09-16T00:00:00-07:002010-09-16T00:00:00-07:002010-23169Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-16/pdf/2010-23169.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/16/2010-23113.htmlNotice - Tri-Continental Corporation, et al.; Notice of Application2010-09-16T00:00:00-07:002010-09-16T00:00:00-07:002010-23113Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-16/pdf/2010-23113.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/16/2010-23107.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Trade Options on Leveraged Exchange-Traded Notes and To Broaden the Definition of “Futures-Linked Securities”2010-09-16T00:00:00-07:002010-09-16T00:00:00-07:002010-23107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-16/pdf/2010-23107.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/16/2010-23106.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Interpret By-Laws as to Dividend Adjustments2010-09-16T00:00:00-07:002010-09-16T00:00:00-07:002010-23106Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-16/pdf/2010-23106.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/16/2010-23105.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Change the Transaction Fees for 51 Securities on CBSX2010-09-16T00:00:00-07:002010-09-16T00:00:00-07:002010-23105Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-16/pdf/2010-23105.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/16/2010-23104.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Establishment of NASDAQ OMX PSX as a Platform for Trading NMS Stocks2010-09-16T00:00:00-07:002010-09-16T00:00:00-07:002010-23104Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-16/pdf/2010-23104.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/16/2010-23103.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Establish Fees for NASDAQ OMX PSX2010-09-16T00:00:00-07:002010-09-16T00:00:00-07:002010-23103Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-16/pdf/2010-23103.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/16/2010-23076.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.; Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions2010-09-16T00:00:00-07:002010-09-16T00:00:00-07:002010-23076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-16/pdf/2010-23076.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/16/2010-23075.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to Clearly Erroneous Transactions2010-09-16T00:00:00-07:002010-09-16T00:00:00-07:002010-23075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-16/pdf/2010-23075.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/16/2010-23074.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; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; National Stock Exchange, Inc.; Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000® Index and Specified Exchange Traded Products2010-09-16T00:00:00-07:002010-09-16T00:00:00-07:002010-23074Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-16/pdf/2010-23074.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/16/2010-23073.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating To Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000® Index and Specified Exchange Traded Products2010-09-16T00:00:00-07:002010-09-16T00:00:00-07:002010-23073Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-16/pdf/2010-23073.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/16/2010-22218.htmlRule - Facilitating Shareholder Director Nominations2010-09-16T00:00:00-07:002010-09-16T00:00:00-07:002010-22218Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-16/pdf/2010-22218.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/15/2010-22983.htmlRule - Adoption of Updated EDGAR Filer Manual2010-09-15T00:00:00-07:002010-09-15T00:00:00-07:002010-22983Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-15/pdf/2010-22983.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/15/2010-22948.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the ETFS White Metals Basket Trust2010-09-15T00:00:00-07:002010-09-15T00:00:00-07:002010-22948Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-15/pdf/2010-22948.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/15/2010-22947.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Certain FLEX Options To Trade Under the FLEX Trading Procedures for a Limited Time on a Closing Only Basis2010-09-15T00:00:00-07:002010-09-15T00:00:00-07:002010-22947Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-15/pdf/2010-22947.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/15/2010-22946.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Obligations2010-09-15T00:00:00-07:002010-09-15T00:00:00-07:002010-22946Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-15/pdf/2010-22946.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/15/2010-22945.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify What Information Must Be Entered Into the Exchange's Options Floor Broker Management System2010-09-15T00:00:00-07:002010-09-15T00:00:00-07:002010-22945Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-15/pdf/2010-22945.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/15/2010-22934.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend NYSE Rule 452 and Listed Company Manual Section 402.08 To Eliminate Broker Discretionary Voting on Executive Compensation Matters2010-09-15T00:00:00-07:002010-09-15T00:00:00-07:002010-22934Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-15/pdf/2010-22934.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/14/2010-22949.htmlNotice - Sunshine Act Meeting2010-09-14T00:00:00-07:002010-09-14T00:00:00-07:002010-22949Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-14/pdf/2010-22949.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/14/2010-22900.htmlNotice - Sunshine Act; Notice of Meeting2010-09-14T00:00:00-07:002010-09-14T00:00:00-07:002010-22900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-14/pdf/2010-22900.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/14/2010-22859.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program That Allows Nasdaq Stock Market Securities To Be Traded on the Exchange Pursuant to UTP2010-09-14T00:00:00-07:002010-09-14T00:00:00-07:002010-22859Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-14/pdf/2010-22859.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/14/2010-22837.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Chicago Stock Exchange, Inc.2010-09-14T00:00:00-07:002010-09-14T00:00:00-07:002010-22837Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-14/pdf/2010-22837.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/14/2010-22836.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2010-09-14T00:00:00-07:002010-09-14T00:00:00-07:002010-22836Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-14/pdf/2010-22836.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/14/2010-22835.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Listing and Trading of Shares of the PIMCO Build America Bond Strategy Fund2010-09-14T00:00:00-07:002010-09-14T00:00:00-07:002010-22835Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-14/pdf/2010-22835.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/14/2010-22801.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Amend Addendum C of its Rules and Procedures To Implement Risk Enhancements To its Stock Borrow Program2010-09-14T00:00:00-07:002010-09-14T00:00:00-07:002010-22801Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-14/pdf/2010-22801.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/14/2010-22783.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority; Order Granting Approval of a Proposed Rule Change To Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRA Rulebook2010-09-14T00:00:00-07:002010-09-14T00:00:00-07:002010-22783Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-14/pdf/2010-22783.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/13/2010-22742.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Commentary .06 to Rule 935NY Related to the Exposure of Reserve Orders2010-09-13T00:00:00-07:002010-09-13T00:00:00-07:002010-22742Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-13/pdf/2010-22742.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/13/2010-22727.htmlNotice - Joint Public Roundtable To Discuss Data for Swaps and Security-Based Swaps, Swap Data Repositories, Security-Based Swap Data Repositories, and Real-Time Public Reporting2010-09-13T00:00:00-07:002010-09-13T00:00:00-07:002010-22727Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-13/pdf/2010-22727.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/13/2010-22725.htmlNotice - Joint Public Roundtable on Swap Execution Facilities and Security-Based Swap Execution Facilities2010-09-13T00:00:00-07:002010-09-13T00:00:00-07:002010-22725Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-13/pdf/2010-22725.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/13/2010-22703.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Commentary .04 to Rule 6.47A Related to the Exposure of Reserve Orders2010-09-13T00:00:00-07:002010-09-13T00:00:00-07:002010-22703Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-13/pdf/2010-22703.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/13/2010-22702.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule2010-09-13T00:00:00-07:002010-09-13T00:00:00-07:002010-22702Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-13/pdf/2010-22702.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/13/2010-22701.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise Its Rules To Expand the Forms of Collateral Eligible for Incorporation in the System for Theoretical Analysis and Numerical Simulations Risk Management Methodology2010-09-13T00:00:00-07:002010-09-13T00:00:00-07:002010-22701Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-13/pdf/2010-22701.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22751.htmlNotice - Sunshine Act Meetings2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22751Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22751.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22628.htmlNotice - State of the Municipal Securities Market Field Hearings2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22628.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22623.htmlNotice - Transamerica Asset Management, Inc. et al.; Notice of Application2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22623.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22622.htmlNotice - Tudor Employee Investment Fund LLC and Tudor Investment Corporation; Notice of Application2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22622Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22622.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22602.htmlNotice - Submission for OMB Review; Comment Request2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22602Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22602.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22599.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change, as Modified by Amendment No. 1, To List Series With Up to 12 Expiration Months for Broad-Based Security Index Options Upon Which the Exchange Calculates a Volatility Index2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22599Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22599.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22598.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 Schedule2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22598Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22598.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22596.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 Schedule2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22596Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22596.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22574.htmlProposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22574Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22574.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22563.htmlNotice - Submission for OMB Review; Comment Request2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22563Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22563.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22562.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Equities Orders From Archipelago Securities LLC2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22562Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22562.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22557.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Certain Equities Orders From Archipelago Securities LLC2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22557Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22557.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22556.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes From Archipelago Securities LLC2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22556Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22556.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22552.htmlNotice - Joint Industry Plan; Order Approving Amendment To Add EDGA Exchange, Inc. and EDGX Exchange, Inc. as Participants to National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22552.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/10/2010-22551.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.13 Regarding Maximum Permissible Response Time for Users of Order Delivery2010-09-10T00:00:00-07:002010-09-10T00:00:00-07:002010-22551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-10/pdf/2010-22551.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/09/2010-22451.htmlNotice - Proposed Collection; Comment Request2010-09-09T00:00:00-07:002010-09-09T00:00:00-07:002010-22451Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-09/pdf/2010-22451.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/09/2010-22450.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business2010-09-09T00:00:00-07:002010-09-09T00:00:00-07:002010-22450Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-09/pdf/2010-22450.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/09/2010-22449.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Concurrent Listing of $2.50 and $1 Strikes on MNX Options2010-09-09T00:00:00-07:002010-09-09T00:00:00-07:002010-22449Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-09/pdf/2010-22449.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/09/2010-22448.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Amend the Rules of the Government Securities Division and the Mortgage-Backed Securities Division To Change the Classification of U.S. Branches or Agencies of Non-U.S. Banks From Foreign to U.S. Members2010-09-09T00:00:00-07:002010-09-09T00:00:00-07:002010-22448Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-09/pdf/2010-22448.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/09/2010-22447.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Amend the Exchange Price List2010-09-09T00:00:00-07:002010-09-09T00:00:00-07:002010-22447Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-09/pdf/2010-22447.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/09/2010-22446.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Amend the Exchange Price List2010-09-09T00:00:00-07:002010-09-09T00:00:00-07:002010-22446Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-09/pdf/2010-22446.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/09/2010-22445.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilot Permanent or January 31, 20112010-09-09T00:00:00-07:002010-09-09T00:00:00-07:002010-22445Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-09/pdf/2010-22445.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/09/2010-22444.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operation of its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or January 31, 20112010-09-09T00:00:00-07:002010-09-09T00:00:00-07:002010-22444Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-09/pdf/2010-22444.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/09/2010-22443.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 413 and 20062010-09-09T00:00:00-07:002010-09-09T00:00:00-07:002010-22443Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-09/pdf/2010-22443.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22414.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendments to Rule A-3, on Membership on the Board To Comply With the Dodd-Frank Wall Street Reform and Consumer Protection Act2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22414Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22414.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22351.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Authority To Waive Rules, Procedures, and Regulations of the Mortgage-Backed Securities Division2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22351.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22350.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Authority To Suspend or Waive DTC Rules and Procedures2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22350.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22349.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Authority To Suspend or Waive NSCC Rules and Procedures2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22349Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22349.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22296.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Create a Listing Market on the Exchange2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22296Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22296.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22295.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's MRVP2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22295Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22295.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22294.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Name of a BATS Exchange Routing Strategy2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22294Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22294.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22292.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22292Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22292.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22291.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of NYSE's Supplemental Liquidity Providers Pilot2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22291Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22291.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22290.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22290Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22290.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22289.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22289Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22289.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22287.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the $.50 Strike Price Program2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22287Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22287.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22286.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Relating to Listing and Trading of Cambria Global Tactical ETF2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22286Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22286.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22255.htmlRule - Temporary Registration of Municipal Advisors2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22255Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22255.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22241.htmlRule - Delegation of Authority to the Director of Its Division of Enforcement2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22241Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22241.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22227.htmlNotice - Privacy Act of 1974: Systems of Records2010-09-08T00:00:00-07:002010-09-08T00:00:00-07:002010-22227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-08/pdf/2010-22227.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/07/2010-22345.htmlNotice - Sunshine Act Meeting2010-09-07T00:00:00-07:002010-09-07T00:00:00-07:002010-22345Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-07/pdf/2010-22345.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/07/2010-22209.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change To Allow for Adjustments to the Settlement Price of Exchange-Designated Security Futures for All Cash Dividends or Distributions Paid by the Issuer of the Underlying Security2010-09-07T00:00:00-07:002010-09-07T00:00:00-07:002010-22209Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-07/pdf/2010-22209.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/07/2010-22207.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Schedule2010-09-07T00:00:00-07:002010-09-07T00:00:00-07:002010-22207Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-07/pdf/2010-22207.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/07/2010-22206.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107B-NYSE Amex Equities To Revise the Quoting Requirement2010-09-07T00:00:00-07:002010-09-07T00:00:00-07:002010-22206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-07/pdf/2010-22206.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/07/2010-22201.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 107B To Revise the Quoting Requirements and Add a Volume Requirement2010-09-07T00:00:00-07:002010-09-07T00:00:00-07:002010-22201Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-07/pdf/2010-22201.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/03/2010-22111.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Relating to Listing and Trading of Jefferies Commodity Real Return ETF2010-09-03T00:00:00-07:002010-09-03T00:00:00-07:002010-22111Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-03/pdf/2010-22111.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/03/2010-22031.htmlNotice - Submission for OMB Review; Comment Request2010-09-03T00:00:00-07:002010-09-03T00:00:00-07:002010-22031Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-03/pdf/2010-22031.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/03/2010-22030.htmlNotice - Submission for OMB Review; Comment Request2010-09-03T00:00:00-07:002010-09-03T00:00:00-07:002010-22030Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-03/pdf/2010-22030.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/03/2010-22029.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 Transactions2010-09-03T00:00:00-07:002010-09-03T00:00:00-07:002010-22029Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-03/pdf/2010-22029.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/03/2010-22028.htmlNotice - Submission for OMB Review; Comment Request2010-09-03T00:00:00-07:002010-09-03T00:00:00-07:002010-22028Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-03/pdf/2010-22028.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/03/2010-22027.htmlNotice - Submission for OMB Review; Comment Request2010-09-03T00:00:00-07:002010-09-03T00:00:00-07:002010-22027Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-03/pdf/2010-22027.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/03/2010-22025.htmlNotice - Submission for OMB Review; Comment Request2010-09-03T00:00:00-07:002010-09-03T00:00:00-07:002010-22025Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-03/pdf/2010-22025.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/03/2010-22024.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 Transactions2010-09-03T00:00:00-07:002010-09-03T00:00:00-07:002010-22024Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-03/pdf/2010-22024.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/03/2010-22023.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Conversion of NASDAQ OMX PHLX, Inc. to a Limited Liability Company2010-09-03T00:00:00-07:002010-09-03T00:00:00-07:002010-22023Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-03/pdf/2010-22023.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/03/2010-22019.htmlProposed Rule - Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities2010-09-03T00:00:00-07:002010-09-03T00:00:00-07:002010-22019Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-03/pdf/2010-22019.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/03/2010-22001.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402010-09-03T00:00:00-07:002010-09-03T00:00:00-07:002010-22001Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-03/pdf/2010-22001.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/02/2010-21936.htmlNotice - Submission for OMB Review; Comment Request2010-09-02T00:00:00-07:002010-09-02T00:00:00-07:002010-21936Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-02/pdf/2010-21936.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/02/2010-21935.htmlNotice - Submission for OMB Review; Comment Request2010-09-02T00:00:00-07:002010-09-02T00:00:00-07:002010-21935Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-02/pdf/2010-21935.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/02/2010-21934.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Security Futures Risk Disclosure Statement2010-09-02T00:00:00-07:002010-09-02T00:00:00-07:002010-21934Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-02/pdf/2010-21934.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/02/2010-21933.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Assessed to Members Using the NASDAQ Market Center2010-09-02T00:00:00-07:002010-09-02T00:00:00-07:002010-21933Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-02/pdf/2010-21933.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/02/2010-21932.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Eligibility Criteria for the Second Compliance Period for a Bid Price Deficiency on the Nasdaq Capital Market2010-09-02T00:00:00-07:002010-09-02T00:00:00-07:002010-21932Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-02/pdf/2010-21932.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/02/2010-21931.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2260 To Reflect Changes to Corresponding FINRA Rule2010-09-02T00:00:00-07:002010-09-02T00:00:00-07:002010-21931Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-02/pdf/2010-21931.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/02/2010-21930.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Adopt a Pilot Program To List Additional Expiration Months for Each Class of Options Opened for Trading on the Exchange2010-09-02T00:00:00-07:002010-09-02T00:00:00-07:002010-21930Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-02/pdf/2010-21930.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/02/2010-21929.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2260 To Reflect Changes to Corresponding FINRA Rule2010-09-02T00:00:00-07:002010-09-02T00:00:00-07:002010-21929Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-02/pdf/2010-21929.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/02/2010-21887.htmlNotice - Notice Regarding the Requirement To Use eXtensible Business Reporting Language Format To Make Publicly Available the Information Required Pursuant to Rule 17g-2(d) of the Exchange Act2010-09-02T00:00:00-07:002010-09-02T00:00:00-07:002010-21887Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-02/pdf/2010-21887.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/01/2010-21850.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Phlx Rule 604 Relating to Registration and Qualification Requirements for PSX2010-09-01T00:00:00-07:002010-09-01T00:00:00-07:002010-21850Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-01/pdf/2010-21850.pdfhttps://regulations.justia.com/regulations/fedreg/2010/09/01/2010-21849.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Amendment to Rule 862 Relating to, Among Other Things, Eliminate Broker Discretionary Voting for All Elections of Directors, Except for Companies Registered Under the Investment Company Act of 19402010-09-01T00:00:00-07:002010-09-01T00:00:00-07:002010-21849Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-09-01/pdf/2010-21849.pdf