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/2010/10?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-03T06:40:33-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27493.htmlNotice - Sunshine Act Meeting2010-10-29T00:00:00-07:002010-10-29T00:00:00-07:002010-27493Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27493.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27368.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing of the iShares® Taxable Municipal Bond Fund2010-10-29T00:00:00-07:002010-10-29T00:00:00-07:002010-27368Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27368.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27367.htmlNotice - Nationwide Life Insurance Company, et al.,2010-10-29T00:00:00-07:002010-10-29T00:00:00-07:002010-27367Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27367.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27366.htmlNotice - Proposed Collection; Comment Request2010-10-29T00:00:00-07:002010-10-29T00:00:00-07:002010-27366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27366.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27360.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the C2 Fees Schedule2010-10-29T00:00:00-07:002010-10-29T00:00:00-07:002010-27360Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27360.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27359.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Fee Schedule for the CBOE Stock Exchange2010-10-29T00:00:00-07:002010-10-29T00:00:00-07:002010-27359Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27359.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27357.htmlNotice - Study on Extraterritorial Private Rights of Action2010-10-29T00:00:00-07:002010-10-29T00:00:00-07:002010-27357Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27357.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27339.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rules 2270 and 2910 To Reflect Changes to Corresponding FINRA Rule 22612010-10-29T00:00:00-07:002010-10-29T00:00:00-07:002010-27339Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27339.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27337.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Establish a Pilot Program to List Series With Additional Expiration Months for Each Class of Options Opened for Trading on the Exchange2010-10-29T00:00:00-07:002010-10-29T00:00:00-07:002010-27337Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27337.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27336.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC To Clarify the Implementation Date of the NASDAQ Options Market Professional Filing2010-10-29T00:00:00-07:002010-10-29T00:00:00-07:002010-27336Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27336.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27315.htmlNotice - Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues2010-10-28T00:00:00-07:002010-10-28T00:00:00-07:002010-27315Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27315.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27266.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 6.47 To Describe New Procedures for Executing a Cross Transaction2010-10-28T00:00:00-07:002010-10-28T00:00:00-07:002010-27266Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27266.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27245.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Sales Value Fee2010-10-28T00:00:00-07:002010-10-28T00:00:00-07:002010-27245Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27245.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27244.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.52010-10-28T00:00:00-07:002010-10-28T00:00:00-07:002010-27244Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27244.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27243.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.52010-10-28T00:00:00-07:002010-10-28T00:00:00-07:002010-27243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27243.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27242.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 6.122010-10-28T00:00:00-07:002010-10-28T00:00:00-07:002010-27242Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27242.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27241.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures To Facilitate the Listing and Trading of Standardized Options To Add C2 Options Exchange, Incorporated as a Sponsor2010-10-28T00:00:00-07:002010-10-28T00:00:00-07:002010-27241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27241.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27232.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Range of Strike Price Intervals for VIX Options2010-10-28T00:00:00-07:002010-10-28T00:00:00-07:002010-27232Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27232.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/28/2010-26536.htmlProposed Rule - Reporting of Proxy Votes on Executive Compensation and Other Matters2010-10-28T00:00:00-07:002010-10-28T00:00:00-07:002010-26536Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-26536.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/28/2010-26535.htmlProposed Rule - Shareholder Approval of Executive Compensation and Golden Parachute Compensation2010-10-28T00:00:00-07:002010-10-28T00:00:00-07:002010-26535Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-26535.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27198.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Prices for Co-Location Services2010-10-27T00:00:00-07:002010-10-27T00:00:00-07:002010-27198Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27198.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27197.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Pricing for Co-Location Services2010-10-27T00:00:00-07:002010-10-27T00:00:00-07:002010-27197Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27197.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27194.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Prices for Co-Location Services2010-10-27T00:00:00-07:002010-10-27T00:00:00-07:002010-27194Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27194.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27145.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook and To Delete NASD Rule 2230, NASD IM-2110-6 and Incorporated NYSE Rule 409(f)2010-10-27T00:00:00-07:002010-10-27T00:00:00-07:002010-27145Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27145.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27144.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.2010-10-27T00:00:00-07:002010-10-27T00:00:00-07:002010-27144Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27144.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27143.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.13, entitled “Order Execution”2010-10-27T00:00:00-07:002010-10-27T00:00:00-07:002010-27143Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27143.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27142.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. To Amend BATS Rule 11.13, Entitled “Order Execution”2010-10-27T00:00:00-07:002010-10-27T00:00:00-07:002010-27142Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27142.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27141.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.2010-10-27T00:00:00-07:002010-10-27T00:00:00-07:002010-27141Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27141.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27140.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Active SQF Port Fee2010-10-27T00:00:00-07:002010-10-27T00:00:00-07:002010-27140Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27140.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27218.htmlNotice - Sunshine Act Meeting2010-10-26T00:00:00-07:002010-10-26T00:00:00-07:002010-27218Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27218.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27066.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; 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 Basis2010-10-26T00:00:00-07:002010-10-26T00:00:00-07:002010-27066Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27066.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27009.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the $.50 Strike Price Program2010-10-26T00:00:00-07:002010-10-26T00:00:00-07:002010-27009Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27009.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27007.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Expand the $0.50 Strike Price Program2010-10-26T00:00:00-07:002010-10-26T00:00:00-07:002010-27007Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27007.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27006.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Expand the $0.50 Strike Price Program2010-10-26T00:00:00-07:002010-10-26T00:00:00-07:002010-27006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27006.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27005.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ Stock Market, LLC To Expand the $0.50 Strike Price Program2010-10-26T00:00:00-07:002010-10-26T00:00:00-07:002010-27005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27005.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27003.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the $0.50 Strike Price Program2010-10-26T00:00:00-07:002010-10-26T00:00:00-07:002010-27003Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27003.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/26/2010-26993.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Adopt ISE Rule 421 Relating to Proxy Voting2010-10-26T00:00:00-07:002010-10-26T00:00:00-07:002010-26993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-26993.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/26/2010-26315.htmlProposed Rule - Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC2010-10-26T00:00:00-07:002010-10-26T00:00:00-07:002010-26315Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-26315.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26926.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Establish a Pilot Program To List Series With Additional Expiration Months for Each Class of Options Opened for Trading on the Exchange2010-10-25T00:00:00-07:002010-10-25T00:00:00-07:002010-26926Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26926.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26870.htmlNotice - Citigroup Global Markets Inc., et al.; Notice of Application and Temporary Order2010-10-25T00:00:00-07:002010-10-25T00:00:00-07:002010-26870Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26870.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26827.htmlNotice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Expand the $.50 Strike Price Program2010-10-25T00:00:00-07:002010-10-25T00:00:00-07:002010-26827Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26827.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26826.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 of Rule 903G To Permit Certain FLEX Options To Trade Under the FLEX Trading Procedures for a Limited Time2010-10-25T00:00:00-07:002010-10-25T00:00:00-07:002010-26826Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26826.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26810.htmlProposed Rule - Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act2010-10-25T00:00:00-07:002010-10-25T00:00:00-07:002010-26810Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26810.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26806.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment to NYSE Arca Equities Rule 8.500 To Accommodate Trading of Trust Units2010-10-25T00:00:00-07:002010-10-25T00:00:00-07:002010-26806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26806.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26805.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance the Reconfirmation and Pricing Service, Including the Creation of the Obligation Warehouse2010-10-25T00:00:00-07:002010-10-25T00:00:00-07:002010-26805Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26805.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26803.htmlNotice - Canadian Derivatives Clearing Corporation; Order Approving Accelerated Distribution of an Amended Options Disclosure Document2010-10-25T00:00:00-07:002010-10-25T00:00:00-07:002010-26803Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26803.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26802.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearing Member Trade Assignment Arrangements2010-10-25T00:00:00-07:002010-10-25T00:00:00-07:002010-26802Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26802.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26801.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add the C2 Options Exchange, Incorporated as a Participant2010-10-25T00:00:00-07:002010-10-25T00:00:00-07:002010-26801Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26801.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/22/2010-26679.htmlNotice - Proposed Collection; Comment Request2010-10-22T00:00:00-07:002010-10-22T00:00:00-07:002010-26679Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-22/pdf/2010-26679.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/22/2010-26678.htmlNotice - Submission for OMB Review; Comment Request2010-10-22T00:00:00-07:002010-10-22T00:00:00-07:002010-26678Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-22/pdf/2010-26678.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/22/2010-26677.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposal To Make Clean Up Changes by Amending Certain Rules2010-10-22T00:00:00-07:002010-10-22T00:00:00-07:002010-26677Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-22/pdf/2010-26677.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/22/2010-26676.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change To Amend Exchange Rule 652 (“Limitation of Exchange Liability and Reimbursement of Certain Expenses”) To Require Member Organizations on the Exchange's Trading Floor To Procure and Maintain Liability Insurance2010-10-22T00:00:00-07:002010-10-22T00:00:00-07:002010-26676Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-22/pdf/2010-26676.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/21/2010-26698.htmlNotice - In the Matter of Cape Systems Group, Inc., Caribbean Cigar Company, Casual Male Corp., Cell Power Technologies, Inc., Cellmetrix, Inc. (f/k/a BCAM International, Inc.), Cellular Products, Inc. (n/k/a 872 Main Street Corp.), Ceptor Corp., CGS Scientific Corp., and Ciprico, Inc., File No. 500-1; Order of Suspension of Trading2010-10-21T00:00:00-07:002010-10-21T00:00:00-07:002010-26698Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-21/pdf/2010-26698.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/21/2010-26509.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Enhancements to the Exchange's Electronic Trading Platform2010-10-21T00:00:00-07:002010-10-21T00:00:00-07:002010-26509Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-21/pdf/2010-26509.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/21/2010-26508.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.37, Order Execution, To Clarify Users' Ability To Instruct NYSE Arca To Bypass Non-Regulation NMS Protected Market Centers When Routing Away2010-10-21T00:00:00-07:002010-10-21T00:00:00-07:002010-26508Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-21/pdf/2010-26508.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/21/2010-26474.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval to a Proposed Rule Change To Modify the Eligibility Criteria for the Second Compliance Period for a Bid Price Deficiency on the Nasdaq Capital Market2010-10-21T00:00:00-07:002010-10-21T00:00:00-07:002010-26474Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-21/pdf/2010-26474.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26430.htmlNotice - Joint Public Roundtable on Issues Related to the Clearing of Credit Default Swaps2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26430Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26430.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26359.htmlNotice - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for BATS Y-Exchange, Inc.2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26359Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26359.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26358.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Create a Listing Market on the Exchange2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26358Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26358.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26349.htmlNotice - Study Required by Section 989G(b) of the Dodd-Frank Act Regarding Compliance With Section 404(b) of the Sarbanes-Oxley Act2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26349Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26349.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26348.htmlRule - Facilitating Shareholder Director Nominations2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26348Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26348.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26347.htmlRule - Indexed Annuities2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26347Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26347.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26344.htmlNotice - Proposed Collection; Comment Request2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26344Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26344.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26343.htmlNotice - Submission for OMB Review; Comment Request2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26343Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26343.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26342.htmlNotice - Submission for OMB Review; Comment Request2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26342Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26342.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26340.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Identify the Securities Industry Automation Corporation as OPRA's Independent System Capacity Advisor2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26340Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26340.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26339.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change To Adopt a Pilot Program To List Additional Expiration Months for Each Class of Options Opened for Trading on the Exchange2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26339Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26339.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26338.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among American Stock Exchange LLC, BATS Exchange, Inc., BATS Y-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, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Arca, Inc., NYSE Regulation, Inc., NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26338Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26338.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26337.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 BATS-Y Exchange, Inc.2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26337Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26337.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26336.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for the Clearly Erroneous Module2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26336Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26336.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26335.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Y-Exchange Rules To Conform to the Current Rules of BATS Exchange2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26335Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26335.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26217.htmlRule - Reporting of Security-Based Swap Transaction Data2010-10-20T00:00:00-07:002010-10-20T00:00:00-07:002010-26217Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26217.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26279.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To List Series With Up to 12 Expiration Months for Broad-Based Security Index Options Upon Which the Exchange Calculates a Volatility Index2010-10-19T00:00:00-07:002010-10-19T00:00:00-07:002010-26279Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26279.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26278.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of Amendments to Rule A-13 To Increase Transaction Assessments for Certain Municipal Securities Transactions Reported to the Board and To Institute a New Technology Fee on Reported Sales Transactions2010-10-19T00:00:00-07:002010-10-19T00:00:00-07:002010-26278Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26278.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26246.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale2010-10-19T00:00:00-07:002010-10-19T00:00:00-07:002010-26246Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26246.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26245.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Order Routing Rule2010-10-19T00:00:00-07:002010-10-19T00:00:00-07:002010-26245Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26245.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26215.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities2010-10-19T00:00:00-07:002010-10-19T00:00:00-07:002010-26215Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26215.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26209.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. To Amend BATS Rule 21.9, Entitled “Order Routing”2010-10-19T00:00:00-07:002010-10-19T00:00:00-07:002010-26209Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26209.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26208.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise an Optional Depth Data Enterprise License Fee for Broker-Dealer Distribution of Depth-of-Book Data2010-10-19T00:00:00-07:002010-10-19T00:00:00-07:002010-26208Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26208.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26206.htmlRule - Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 20102010-10-19T00:00:00-07:002010-10-19T00:00:00-07:002010-26206Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26206.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26172.htmlProposed Rule - Issuer Review of Assets in Offerings of Asset-Backed Securities2010-10-19T00:00:00-07:002010-10-19T00:00:00-07:002010-26172Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26172.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26109.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending the Exchange Price List2010-10-19T00:00:00-07:002010-10-19T00:00:00-07:002010-26109Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26109.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26280.htmlNotice - Sunshine Act Meeting2010-10-18T00:00:00-07:002010-10-18T00:00:00-07:002010-26280Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26280.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26182.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of Fee Changes to Its Real-Time Transaction Price Service and Comprehensive Transaction Price Service, and Termination of Its T+1 Transaction Price Service2010-10-18T00:00:00-07:002010-10-18T00:00:00-07:002010-26182Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26182.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26178.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board2010-10-18T00:00:00-07:002010-10-18T00:00:00-07:002010-26178Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26178.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26177.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change Relating to Amendments to the Continuing Disclosure Service of the MSRB's Electronic Municipal Market Access System (EMMA®)2010-10-18T00:00:00-07:002010-10-18T00:00:00-07:002010-26177Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26177.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26176.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Related to Fees for Use of BATS Exchange, Inc.2010-10-18T00:00:00-07:002010-10-18T00:00:00-07:002010-26176Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26176.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26175.htmlNotice - Self-Regulatory Organizations; Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to PIXL Fees2010-10-18T00:00:00-07:002010-10-18T00:00:00-07:002010-26175Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26175.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26166.htmlNotice - Notice: Existing Collection; Comment Requested2010-10-18T00:00:00-07:002010-10-18T00:00:00-07:002010-26166Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26166.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26132.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade Shares of Cambria Global Tactical ETF2010-10-18T00:00:00-07:002010-10-18T00:00:00-07:002010-26132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26132.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26131.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Relating to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business2010-10-18T00:00:00-07:002010-10-18T00:00:00-07:002010-26131Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26131.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26130.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Floor Broker Responsibilities2010-10-18T00:00:00-07:002010-10-18T00:00:00-07:002010-26130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26130.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26108.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Delta Hedge Exemptions2010-10-18T00:00:00-07:002010-10-18T00:00:00-07:002010-26108Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26108.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26086.htmlProposed Rule - Family Offices2010-10-18T00:00:00-07:002010-10-18T00:00:00-07:002010-26086Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26086.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/15/2010-26123.htmlNotice - In the Matter of: Camera Platforms International, Inc., Castleguard Energy, Inc., CD Warehouse, Inc., Ceatech USA, Inc., Cedyco Corp., Cell Robotics International, Inc., Cell Wireless Corp., Cellcom Corporation (n/k/a Cellcom I Corp.), and Central Utilities Production Corp.; Order of Suspension of Trading2010-10-15T00:00:00-07:002010-10-15T00:00:00-07:002010-26123Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-15/pdf/2010-26123.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/15/2010-25984.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity2010-10-15T00:00:00-07:002010-10-15T00:00:00-07:002010-25984Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-15/pdf/2010-25984.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/15/2010-25952.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend BYX Rule 11.8, Entitled “Obligations of Market Makers”2010-10-15T00:00:00-07:002010-10-15T00:00:00-07:002010-25952Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-15/pdf/2010-25952.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/15/2010-25949.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading Shares of Jefferies Commodity Real Return ETF2010-10-15T00:00:00-07:002010-10-15T00:00:00-07:002010-25949Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-15/pdf/2010-25949.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25866.htmlNotice - Van Eck Associates Corporation, et al.; Notice of Application2010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25866Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25866.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25865.htmlNotice - Proposed Collection; Comment Request2010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25865Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25865.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25864.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving 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 Security2010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25864Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25864.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25863.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Conforming Change to NASDAQ Rules2010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25863Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25863.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25820.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 10152010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25820Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25820.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25819.htmlNotice - Claymore Exchange-Traded Fund Trust, et al.;2010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25819Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25819.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25809.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Collars for Unpriced Orders2010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25809Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25809.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25808.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Anti-Internalization Functionality for NASDAQ OMX PSX2010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25808.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25747.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 List2010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25747Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25747.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25746.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule2010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25746Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25746.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25745.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ Stock Market LLC Relating to Fees During Opening Cross2010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25745Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25745.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25744.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 Schedule2010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25744Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25744.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25743.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 Schedule2010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25743Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25743.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25741.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Requirements To Qualify for Credits as a Designated Liquidity Provider Under Rule 7018(i)2010-10-14T00:00:00-07:002010-10-14T00:00:00-07:002010-25741Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25741.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25742.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rule 4751 To Include Order Collar Functionality2010-10-13T00:00:00-07:002010-10-13T00:00:00-07:002010-25742Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25742.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25740.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reconcile Certain Amendments Approved Pursuant to SR-FINRA-2009-061 and SR-FINRA-2010-0032010-10-13T00:00:00-07:002010-10-13T00:00:00-07:002010-25740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25740.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25738.htmlNotice - Submission for OMB Review; Comment Request2010-10-13T00:00:00-07:002010-10-13T00:00:00-07:002010-25738Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25738.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25737.htmlNotice - Submission for OMB Review; Comment Request2010-10-13T00:00:00-07:002010-10-13T00:00:00-07:002010-25737Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25737.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25625.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Online Filing of Arbitration Claims2010-10-13T00:00:00-07:002010-10-13T00:00:00-07:002010-25625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25625.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25624.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options2010-10-13T00:00:00-07:002010-10-13T00:00:00-07:002010-25624Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25624.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25623.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 FINRA Rule 4160 (Verification of Assets)2010-10-13T00:00:00-07:002010-10-13T00:00:00-07:002010-25623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25623.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25622.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NSX Fee and Rebate Schedule2010-10-13T00:00:00-07:002010-10-13T00:00:00-07:002010-25622Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25622.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25621.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Relating to Listing of the Peritus High Yield ETF2010-10-13T00:00:00-07:002010-10-13T00:00:00-07:002010-25621Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25621.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25620.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving 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 Insolvency2010-10-13T00:00:00-07:002010-10-13T00:00:00-07:002010-25620Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25620.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25361.htmlProposed Rule - Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act2010-10-13T00:00:00-07:002010-10-13T00:00:00-07:002010-25361Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25361.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25677.htmlNotice - Sunshine Act Meeting2010-10-12T00:00:00-07:002010-10-12T00:00:00-07:002010-25677Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25677.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25642.htmlRule - Delegation of Authority to the Director of the Division of Trading and Markets2010-10-12T00:00:00-07:002010-10-12T00:00:00-07:002010-25642Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25642.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25501.htmlNotice - Proposed Collection; Comment Request2010-10-12T00:00:00-07:002010-10-12T00:00:00-07:002010-25501Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25501.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25499.htmlNotice - Proposed Collection; Comment Request2010-10-12T00:00:00-07:002010-10-12T00:00:00-07:002010-25499Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25499.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25496.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To List and Trade Shares of the Sprott Physical Silver Trust2010-10-12T00:00:00-07:002010-10-12T00:00:00-07:002010-25496Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25496.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25495.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule 10142010-10-12T00:00:00-07:002010-10-12T00:00:00-07:002010-25495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25495.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25453.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Trading Hours for CBSX2010-10-12T00:00:00-07:002010-10-12T00:00:00-07:002010-25453Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25453.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/08/2010-25594.htmlNotice - Sunshine Act Meetings2010-10-08T00:00:00-07:002010-10-08T00:00:00-07:002010-25594Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-08/pdf/2010-25594.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/08/2010-25420.htmlNotice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Adopt a Definition of Professional and Require That All Professional Orders Be Appropriately Marked2010-10-08T00:00:00-07:002010-10-08T00:00:00-07:002010-25420Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-08/pdf/2010-25420.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/08/2010-25395.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Send Certain Information Over the Specialized Quote Feed2010-10-08T00:00:00-07:002010-10-08T00:00:00-07:002010-25395Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-08/pdf/2010-25395.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/08/2010-25331.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Reinstitute Short Exempt Marking for Trade Reporting and OATS2010-10-08T00:00:00-07:002010-10-08T00:00:00-07:002010-25331Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-08/pdf/2010-25331.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25294.htmlNotice - Van Eck Associates Corporation, et al.; Notice of Application2010-10-07T00:00:00-07:002010-10-07T00:00:00-07:002010-25294Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-07/pdf/2010-25294.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25292.htmlNotice - Dolby Laboratories, Inc.; Notice of Application2010-10-07T00:00:00-07:002010-10-07T00:00:00-07:002010-25292Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-07/pdf/2010-25292.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25252.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval to a Proposed Rule Change Relating to a Proposed Price Improvement System, Price Improvement XL2010-10-07T00:00:00-07:002010-10-07T00:00:00-07:002010-25252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-07/pdf/2010-25252.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25251.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Certain Rules Pertaining to Credit Options2010-10-07T00:00:00-07:002010-10-07T00:00:00-07:002010-25251Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-07/pdf/2010-25251.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25247.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Certain Rule Language Contained in CBOE Rules2010-10-07T00:00:00-07:002010-10-07T00:00:00-07:002010-25247Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-07/pdf/2010-25247.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25138.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, LLC Relating to Exchange Disseminated Quotations2010-10-06T00:00:00-07:002010-10-06T00:00:00-07:002010-25138Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25138.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25137.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clearly Erroneous Transactions2010-10-06T00:00:00-07:002010-10-06T00:00:00-07:002010-25137Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25137.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25108.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 to and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule A-3, on Membership on the Board, To Comply With the Dodd-Frank Wall Street Reform and Consumer Protection Act2010-10-06T00:00:00-07:002010-10-06T00:00:00-07:002010-25108Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25108.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25107.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Nasdaq's Order Routing Rule2010-10-06T00:00:00-07:002010-10-06T00:00:00-07:002010-25107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25107.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25073.htmlNotice - Triangle Capital Corporation, et al.; Notice of Application2010-10-06T00:00:00-07:002010-10-06T00:00:00-07:002010-25073Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25073.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25072.htmlNotice - Northern Lights Fund Trust, et al.; Notice of Application2010-10-06T00:00:00-07:002010-10-06T00:00:00-07:002010-25072Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25072.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25069.htmlNotice - Capital Southwest Corporation; Notice of Application2010-10-06T00:00:00-07:002010-10-06T00:00:00-07:002010-25069Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25069.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25068.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7172010-10-06T00:00:00-07:002010-10-06T00:00:00-07:002010-25068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25068.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25067.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change to Amend FINRA Rule 8210 to Require Information Provided via Portable Media Device be Encrypted2010-10-06T00:00:00-07:002010-10-06T00:00:00-07:002010-25067Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25067.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24899.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 Through 4, Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings (“IPOs”)2010-10-05T00:00:00-07:002010-10-05T00:00:00-07:002010-24899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24899.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24897.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 Center2010-10-05T00:00:00-07:002010-10-05T00:00:00-07:002010-24897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24897.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24896.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Individual Stock Trading Pauses2010-10-05T00:00:00-07:002010-10-05T00:00:00-07:002010-24896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24896.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24895.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Class Quoting Limit in One Option Classes2010-10-05T00:00:00-07:002010-10-05T00:00:00-07:002010-24895Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24895.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24894.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Fee Schedule for the CBOE Stock Exchange2010-10-05T00:00:00-07:002010-10-05T00:00:00-07:002010-24894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24894.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24884.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To clarify Its Rules & Procedures Regarding Its Alternative Investment Product Service2010-10-05T00:00:00-07:002010-10-05T00:00:00-07:002010-24884Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24884.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24882.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change Relating to Trading Options on a Reduced Value of the DAX Index, Including Long-Term Options2010-10-05T00:00:00-07:002010-10-05T00:00:00-07:002010-24882Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24882.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24982.htmlNotice - Sunshine Act Meeting2010-10-04T00:00:00-07:002010-10-04T00:00:00-07:002010-24982Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-04/pdf/2010-24982.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24885.htmlNotice - Sunshine Act Meeting2010-10-04T00:00:00-07:002010-10-04T00:00:00-07:002010-24885Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-04/pdf/2010-24885.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24824.htmlNotice - Elfun Trusts, et al.; Notice of Application2010-10-04T00:00:00-07:002010-10-04T00:00:00-07:002010-24824Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-04/pdf/2010-24824.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24802.htmlRule - Removal From Regulation FD of the Exemption for Credit Rating Agencies2010-10-04T00:00:00-07:002010-10-04T00:00:00-07:002010-24802Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-04/pdf/2010-24802.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24787.htmlNotice - RIEF RMP LLC and Renaissance Technologies LLC; Notice of Application2010-10-04T00:00:00-07:002010-10-04T00:00:00-07:002010-24787Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-04/pdf/2010-24787.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24770.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Dates for Pilot Programs2010-10-04T00:00:00-07:002010-10-04T00:00:00-07:002010-24770Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-04/pdf/2010-24770.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24722.htmlNotice - Highland Capital Management, L.P. and Highland Funds I; Notice of Application2010-10-01T00:00:00-07:002010-10-01T00:00:00-07:002010-24722Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24722.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24675.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol2010-10-01T00:00:00-07:002010-10-01T00:00:00-07:002010-24675Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24675.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24657.htmlRule - Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related To Brokers and Dealers2010-10-01T00:00:00-07:002010-10-01T00:00:00-07:002010-24657Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24657.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24655.htmlNotice - American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company; Notice of Application2010-10-01T00:00:00-07:002010-10-01T00:00:00-07:002010-24655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24655.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24654.htmlNotice - Jackson National Life Insurance Company, et al.;2010-10-01T00:00:00-07:002010-10-01T00:00:00-07:002010-24654Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24654.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24651.htmlNotice - Submission for OMB Review; Comment Request2010-10-01T00:00:00-07:002010-10-01T00:00:00-07:002010-24651Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24651.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24650.htmlNotice - Submission for OMB Review; Comment Request2010-10-01T00:00:00-07:002010-10-01T00:00:00-07:002010-24650Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24650.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24606.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Prohibit Members From Voting Uninstructed Shares on Certain Matters2010-10-01T00:00:00-07:002010-10-01T00:00:00-07:002010-24606Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24606.pdfhttps://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24605.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402010-10-01T00:00:00-07:002010-10-01T00:00:00-07:002010-24605Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24605.pdf