<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2010/10?registers=between&min-day=1&max-day=31 Thu, 02 May 2024 22:32:47 -0700 Thu, 02 May 2024 22:32:47 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2010/10?registers=between&min-day=1&max-day=31 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27493.html https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27493.html Fri, 29 Oct 2010 00:00:00 -0700 2010-27493 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27493.pdf Notice - 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 Fund https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27368.html https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27368.html Fri, 29 Oct 2010 00:00:00 -0700 2010-27368 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27368.pdf Notice - Nationwide Life Insurance Company, et al., https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27367.html https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27367.html Fri, 29 Oct 2010 00:00:00 -0700 2010-27367 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27367.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27366.html https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27366.html Fri, 29 Oct 2010 00:00:00 -0700 2010-27366 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27366.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the C2 Fees Schedule https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27360.html https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27360.html Fri, 29 Oct 2010 00:00:00 -0700 2010-27360 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27360.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27359.html https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27359.html Fri, 29 Oct 2010 00:00:00 -0700 2010-27359 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27359.pdf Notice - Study on Extraterritorial Private Rights of Action https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27357.html https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27357.html Fri, 29 Oct 2010 00:00:00 -0700 2010-27357 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27357.pdf Notice - 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 2261 https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27339.html https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27339.html Fri, 29 Oct 2010 00:00:00 -0700 2010-27339 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27339.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27337.html https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27337.html Fri, 29 Oct 2010 00:00:00 -0700 2010-27337 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27337.pdf Notice - 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 Filing https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27336.html https://regulations.justia.com/regulations/fedreg/2010/10/29/2010-27336.html Fri, 29 Oct 2010 00:00:00 -0700 2010-27336 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-27336.pdf Notice - Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27315.html https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27315.html Thu, 28 Oct 2010 00:00:00 -0700 2010-27315 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27315.pdf Notice - 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 Transaction https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27266.html https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27266.html Thu, 28 Oct 2010 00:00:00 -0700 2010-27266 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27266.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Sales Value Fee https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27245.html https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27245.html Thu, 28 Oct 2010 00:00:00 -0700 2010-27245 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27245.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.5 https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27244.html https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27244.html Thu, 28 Oct 2010 00:00:00 -0700 2010-27244 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27244.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.5 https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27243.html https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27243.html Thu, 28 Oct 2010 00:00:00 -0700 2010-27243 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27243.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 6.12 https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27242.html https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27242.html Thu, 28 Oct 2010 00:00:00 -0700 2010-27242 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27242.pdf Notice - 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 Sponsor https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27241.html https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27241.html Thu, 28 Oct 2010 00:00:00 -0700 2010-27241 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27241.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27232.html https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-27232.html Thu, 28 Oct 2010 00:00:00 -0700 2010-27232 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-27232.pdf Proposed Rule - Reporting of Proxy Votes on Executive Compensation and Other Matters https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-26536.html https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-26536.html Thu, 28 Oct 2010 00:00:00 -0700 2010-26536 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-26536.pdf Proposed Rule - Shareholder Approval of Executive Compensation and Golden Parachute Compensation https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-26535.html https://regulations.justia.com/regulations/fedreg/2010/10/28/2010-26535.html Thu, 28 Oct 2010 00:00:00 -0700 2010-26535 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-28/pdf/2010-26535.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Prices for Co-Location Services https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27198.html https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27198.html Wed, 27 Oct 2010 00:00:00 -0700 2010-27198 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27198.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Pricing for Co-Location Services https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27197.html https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27197.html Wed, 27 Oct 2010 00:00:00 -0700 2010-27197 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27197.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Prices for Co-Location Services https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27194.html https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27194.html Wed, 27 Oct 2010 00:00:00 -0700 2010-27194 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27194.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27145.html https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27145.html Wed, 27 Oct 2010 00:00:00 -0700 2010-27145 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27145.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27144.html https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27144.html Wed, 27 Oct 2010 00:00:00 -0700 2010-27144 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27144.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27143.html https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27143.html Wed, 27 Oct 2010 00:00:00 -0700 2010-27143 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27143.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27142.html https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27142.html Wed, 27 Oct 2010 00:00:00 -0700 2010-27142 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27142.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27141.html https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27141.html Wed, 27 Oct 2010 00:00:00 -0700 2010-27141 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27141.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Active SQF Port Fee https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27140.html https://regulations.justia.com/regulations/fedreg/2010/10/27/2010-27140.html Wed, 27 Oct 2010 00:00:00 -0700 2010-27140 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-27/pdf/2010-27140.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27218.html https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27218.html Tue, 26 Oct 2010 00:00:00 -0700 2010-27218 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27218.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27066.html https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27066.html Tue, 26 Oct 2010 00:00:00 -0700 2010-27066 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27066.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the $.50 Strike Price Program https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27009.html https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27009.html Tue, 26 Oct 2010 00:00:00 -0700 2010-27009 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27009.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Expand the $0.50 Strike Price Program https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27007.html https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27007.html Tue, 26 Oct 2010 00:00:00 -0700 2010-27007 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27007.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Expand the $0.50 Strike Price Program https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27006.html https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27006.html Tue, 26 Oct 2010 00:00:00 -0700 2010-27006 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27006.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27005.html https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27005.html Tue, 26 Oct 2010 00:00:00 -0700 2010-27005 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27005.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27003.html https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-27003.html Tue, 26 Oct 2010 00:00:00 -0700 2010-27003 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-27003.pdf Notice - 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 Voting https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-26993.html https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-26993.html Tue, 26 Oct 2010 00:00:00 -0700 2010-26993 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-26993.pdf Proposed 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 MC https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-26315.html https://regulations.justia.com/regulations/fedreg/2010/10/26/2010-26315.html Tue, 26 Oct 2010 00:00:00 -0700 2010-26315 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-26/pdf/2010-26315.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26926.html https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26926.html Mon, 25 Oct 2010 00:00:00 -0700 2010-26926 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26926.pdf Notice - Citigroup Global Markets Inc., et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26870.html https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26870.html Mon, 25 Oct 2010 00:00:00 -0700 2010-26870 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26870.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Expand the $.50 Strike Price Program https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26827.html https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26827.html Mon, 25 Oct 2010 00:00:00 -0700 2010-26827 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26827.pdf Notice - 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 Time https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26826.html https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26826.html Mon, 25 Oct 2010 00:00:00 -0700 2010-26826 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26826.pdf Proposed Rule - Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26810.html https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26810.html Mon, 25 Oct 2010 00:00:00 -0700 2010-26810 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26810.pdf Notice - 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 Units https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26806.html https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26806.html Mon, 25 Oct 2010 00:00:00 -0700 2010-26806 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26806.pdf Notice - 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 Warehouse https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26805.html https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26805.html Mon, 25 Oct 2010 00:00:00 -0700 2010-26805 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26805.pdf Notice - Canadian Derivatives Clearing Corporation; Order Approving Accelerated Distribution of an Amended Options Disclosure Document https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26803.html https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26803.html Mon, 25 Oct 2010 00:00:00 -0700 2010-26803 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26803.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearing Member Trade Assignment Arrangements https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26802.html https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26802.html Mon, 25 Oct 2010 00:00:00 -0700 2010-26802 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26802.pdf Notice - 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 Participant https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26801.html https://regulations.justia.com/regulations/fedreg/2010/10/25/2010-26801.html Mon, 25 Oct 2010 00:00:00 -0700 2010-26801 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-25/pdf/2010-26801.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/10/22/2010-26679.html https://regulations.justia.com/regulations/fedreg/2010/10/22/2010-26679.html Fri, 22 Oct 2010 00:00:00 -0700 2010-26679 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-22/pdf/2010-26679.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/10/22/2010-26678.html https://regulations.justia.com/regulations/fedreg/2010/10/22/2010-26678.html Fri, 22 Oct 2010 00:00:00 -0700 2010-26678 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-22/pdf/2010-26678.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposal To Make Clean Up Changes by Amending Certain Rules https://regulations.justia.com/regulations/fedreg/2010/10/22/2010-26677.html https://regulations.justia.com/regulations/fedreg/2010/10/22/2010-26677.html Fri, 22 Oct 2010 00:00:00 -0700 2010-26677 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-22/pdf/2010-26677.pdf Notice - 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 Insurance https://regulations.justia.com/regulations/fedreg/2010/10/22/2010-26676.html https://regulations.justia.com/regulations/fedreg/2010/10/22/2010-26676.html Fri, 22 Oct 2010 00:00:00 -0700 2010-26676 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-22/pdf/2010-26676.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2010/10/21/2010-26698.html https://regulations.justia.com/regulations/fedreg/2010/10/21/2010-26698.html Thu, 21 Oct 2010 00:00:00 -0700 2010-26698 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-21/pdf/2010-26698.pdf Notice - 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 Platform https://regulations.justia.com/regulations/fedreg/2010/10/21/2010-26509.html https://regulations.justia.com/regulations/fedreg/2010/10/21/2010-26509.html Thu, 21 Oct 2010 00:00:00 -0700 2010-26509 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-21/pdf/2010-26509.pdf Notice - 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 Away https://regulations.justia.com/regulations/fedreg/2010/10/21/2010-26508.html https://regulations.justia.com/regulations/fedreg/2010/10/21/2010-26508.html Thu, 21 Oct 2010 00:00:00 -0700 2010-26508 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-21/pdf/2010-26508.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2010/10/21/2010-26474.html https://regulations.justia.com/regulations/fedreg/2010/10/21/2010-26474.html Thu, 21 Oct 2010 00:00:00 -0700 2010-26474 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-21/pdf/2010-26474.pdf Notice - Joint Public Roundtable on Issues Related to the Clearing of Credit Default Swaps https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26430.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26430.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26430 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26430.pdf Notice - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26359.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26359.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26359 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26359.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26358.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26358.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26358 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26358.pdf Notice - Study Required by Section 989G(b) of the Dodd-Frank Act Regarding Compliance With Section 404(b) of the Sarbanes-Oxley Act https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26349.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26349.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26349 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26349.pdf Rule - Facilitating Shareholder Director Nominations https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26348.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26348.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26348 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26348.pdf Rule - Indexed Annuities https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26347.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26347.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26347 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26347.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26344.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26344.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26344 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26344.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26343.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26343.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26343 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26343.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26342.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26342.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26342 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26342.pdf Notice - 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 Advisor https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26340.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26340.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26340 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26340.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26339.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26339.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26339 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26339.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26338.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26338.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26338 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26338.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26337.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26337.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26337 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26337.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for the Clearly Erroneous Module https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26336.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26336.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26336 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26336.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26335.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26335.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26335 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26335.pdf Rule - Reporting of Security-Based Swap Transaction Data https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26217.html https://regulations.justia.com/regulations/fedreg/2010/10/20/2010-26217.html Wed, 20 Oct 2010 00:00:00 -0700 2010-26217 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-20/pdf/2010-26217.pdf Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26279.html https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26279.html Tue, 19 Oct 2010 00:00:00 -0700 2010-26279 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26279.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26278.html https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26278.html Tue, 19 Oct 2010 00:00:00 -0700 2010-26278 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26278.pdf Notice - 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 Sale https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26246.html https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26246.html Tue, 19 Oct 2010 00:00:00 -0700 2010-26246 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26246.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Order Routing Rule https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26245.html https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26245.html Tue, 19 Oct 2010 00:00:00 -0700 2010-26245 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26245.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26215.html https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26215.html Tue, 19 Oct 2010 00:00:00 -0700 2010-26215 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26215.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26209.html https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26209.html Tue, 19 Oct 2010 00:00:00 -0700 2010-26209 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26209.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26208.html https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26208.html Tue, 19 Oct 2010 00:00:00 -0700 2010-26208 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26208.pdf Rule - Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26206.html https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26206.html Tue, 19 Oct 2010 00:00:00 -0700 2010-26206 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26206.pdf Proposed Rule - Issuer Review of Assets in Offerings of Asset-Backed Securities https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26172.html https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26172.html Tue, 19 Oct 2010 00:00:00 -0700 2010-26172 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26172.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending the Exchange Price List https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26109.html https://regulations.justia.com/regulations/fedreg/2010/10/19/2010-26109.html Tue, 19 Oct 2010 00:00:00 -0700 2010-26109 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-19/pdf/2010-26109.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26280.html https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26280.html Mon, 18 Oct 2010 00:00:00 -0700 2010-26280 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26280.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26182.html https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26182.html Mon, 18 Oct 2010 00:00:00 -0700 2010-26182 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26182.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26178.html https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26178.html Mon, 18 Oct 2010 00:00:00 -0700 2010-26178 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26178.pdf Notice - 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®) https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26177.html https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26177.html Mon, 18 Oct 2010 00:00:00 -0700 2010-26177 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26177.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26176.html https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26176.html Mon, 18 Oct 2010 00:00:00 -0700 2010-26176 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26176.pdf Notice - Self-Regulatory Organizations; Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to PIXL Fees https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26175.html https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26175.html Mon, 18 Oct 2010 00:00:00 -0700 2010-26175 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26175.pdf Notice - Notice: Existing Collection; Comment Requested https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26166.html https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26166.html Mon, 18 Oct 2010 00:00:00 -0700 2010-26166 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26166.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade Shares of Cambria Global Tactical ETF https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26132.html https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26132.html Mon, 18 Oct 2010 00:00:00 -0700 2010-26132 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26132.pdf Notice - 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 Business https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26131.html https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26131.html Mon, 18 Oct 2010 00:00:00 -0700 2010-26131 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26131.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Floor Broker Responsibilities https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26130.html https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26130.html Mon, 18 Oct 2010 00:00:00 -0700 2010-26130 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26130.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Delta Hedge Exemptions https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26108.html https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26108.html Mon, 18 Oct 2010 00:00:00 -0700 2010-26108 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26108.pdf Proposed Rule - Family Offices https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26086.html https://regulations.justia.com/regulations/fedreg/2010/10/18/2010-26086.html Mon, 18 Oct 2010 00:00:00 -0700 2010-26086 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-18/pdf/2010-26086.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2010/10/15/2010-26123.html https://regulations.justia.com/regulations/fedreg/2010/10/15/2010-26123.html Fri, 15 Oct 2010 00:00:00 -0700 2010-26123 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-15/pdf/2010-26123.pdf Notice - 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 Liquidity https://regulations.justia.com/regulations/fedreg/2010/10/15/2010-25984.html https://regulations.justia.com/regulations/fedreg/2010/10/15/2010-25984.html Fri, 15 Oct 2010 00:00:00 -0700 2010-25984 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-15/pdf/2010-25984.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2010/10/15/2010-25952.html https://regulations.justia.com/regulations/fedreg/2010/10/15/2010-25952.html Fri, 15 Oct 2010 00:00:00 -0700 2010-25952 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-15/pdf/2010-25952.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading Shares of Jefferies Commodity Real Return ETF https://regulations.justia.com/regulations/fedreg/2010/10/15/2010-25949.html https://regulations.justia.com/regulations/fedreg/2010/10/15/2010-25949.html Fri, 15 Oct 2010 00:00:00 -0700 2010-25949 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-15/pdf/2010-25949.pdf Notice - Van Eck Associates Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25866.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25866.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25866 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25866.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25865.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25865.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25865 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25865.pdf Notice - 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 Security https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25864.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25864.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25864 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25864.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25863.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25863.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25863 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25863.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 1015 https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25820.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25820.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25820 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25820.pdf Notice - Claymore Exchange-Traded Fund Trust, et al.; https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25819.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25819.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25819 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25819.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Collars for Unpriced Orders https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25809.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25809.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25809 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25809.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Anti-Internalization Functionality for NASDAQ OMX PSX https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25808.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25808.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25808 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25808.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Amend the Exchange Price List https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25747.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25747.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25747 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25747.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25746.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25746.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25746 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25746.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ Stock Market LLC Relating to Fees During Opening Cross https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25745.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25745.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25745 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25745.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25744.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25744.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25744 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25744.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25743.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25743.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25743 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25743.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25741.html https://regulations.justia.com/regulations/fedreg/2010/10/14/2010-25741.html Thu, 14 Oct 2010 00:00:00 -0700 2010-25741 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-14/pdf/2010-25741.pdf Notice - 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 Functionality https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25742.html https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25742.html Wed, 13 Oct 2010 00:00:00 -0700 2010-25742 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25742.pdf Notice - 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-2010-003 https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25740.html https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25740.html Wed, 13 Oct 2010 00:00:00 -0700 2010-25740 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25740.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25738.html https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25738.html Wed, 13 Oct 2010 00:00:00 -0700 2010-25738 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25738.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25737.html https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25737.html Wed, 13 Oct 2010 00:00:00 -0700 2010-25737 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25737.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Online Filing of Arbitration Claims https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25625.html https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25625.html Wed, 13 Oct 2010 00:00:00 -0700 2010-25625 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25625.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25624.html https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25624.html Wed, 13 Oct 2010 00:00:00 -0700 2010-25624 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25624.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to FINRA Rule 4160 (Verification of Assets) https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25623.html https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25623.html Wed, 13 Oct 2010 00:00:00 -0700 2010-25623 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25623.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NSX Fee and Rebate Schedule https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25622.html https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25622.html Wed, 13 Oct 2010 00:00:00 -0700 2010-25622 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25622.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Relating to Listing of the Peritus High Yield ETF https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25621.html https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25621.html Wed, 13 Oct 2010 00:00:00 -0700 2010-25621 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25621.pdf Notice - 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 Insolvency https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25620.html https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25620.html Wed, 13 Oct 2010 00:00:00 -0700 2010-25620 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25620.pdf Proposed Rule - Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25361.html https://regulations.justia.com/regulations/fedreg/2010/10/13/2010-25361.html Wed, 13 Oct 2010 00:00:00 -0700 2010-25361 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-13/pdf/2010-25361.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25677.html https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25677.html Tue, 12 Oct 2010 00:00:00 -0700 2010-25677 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25677.pdf Rule - Delegation of Authority to the Director of the Division of Trading and Markets https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25642.html https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25642.html Tue, 12 Oct 2010 00:00:00 -0700 2010-25642 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25642.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25501.html https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25501.html Tue, 12 Oct 2010 00:00:00 -0700 2010-25501 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25501.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25499.html https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25499.html Tue, 12 Oct 2010 00:00:00 -0700 2010-25499 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25499.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25496.html https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25496.html Tue, 12 Oct 2010 00:00:00 -0700 2010-25496 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25496.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule 1014 https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25495.html https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25495.html Tue, 12 Oct 2010 00:00:00 -0700 2010-25495 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25495.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Trading Hours for CBSX https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25453.html https://regulations.justia.com/regulations/fedreg/2010/10/12/2010-25453.html Tue, 12 Oct 2010 00:00:00 -0700 2010-25453 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-12/pdf/2010-25453.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2010/10/08/2010-25594.html https://regulations.justia.com/regulations/fedreg/2010/10/08/2010-25594.html Fri, 08 Oct 2010 00:00:00 -0700 2010-25594 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-08/pdf/2010-25594.pdf Notice - 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 Marked https://regulations.justia.com/regulations/fedreg/2010/10/08/2010-25420.html https://regulations.justia.com/regulations/fedreg/2010/10/08/2010-25420.html Fri, 08 Oct 2010 00:00:00 -0700 2010-25420 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-08/pdf/2010-25420.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2010/10/08/2010-25395.html https://regulations.justia.com/regulations/fedreg/2010/10/08/2010-25395.html Fri, 08 Oct 2010 00:00:00 -0700 2010-25395 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-08/pdf/2010-25395.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Reinstitute Short Exempt Marking for Trade Reporting and OATS https://regulations.justia.com/regulations/fedreg/2010/10/08/2010-25331.html https://regulations.justia.com/regulations/fedreg/2010/10/08/2010-25331.html Fri, 08 Oct 2010 00:00:00 -0700 2010-25331 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-08/pdf/2010-25331.pdf Notice - Van Eck Associates Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25294.html https://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25294.html Thu, 07 Oct 2010 00:00:00 -0700 2010-25294 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-07/pdf/2010-25294.pdf Notice - Dolby Laboratories, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25292.html https://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25292.html Thu, 07 Oct 2010 00:00:00 -0700 2010-25292 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-07/pdf/2010-25292.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval to a Proposed Rule Change Relating to a Proposed Price Improvement System, Price Improvement XL https://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25252.html https://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25252.html Thu, 07 Oct 2010 00:00:00 -0700 2010-25252 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-07/pdf/2010-25252.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Certain Rules Pertaining to Credit Options https://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25251.html https://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25251.html Thu, 07 Oct 2010 00:00:00 -0700 2010-25251 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-07/pdf/2010-25251.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25247.html https://regulations.justia.com/regulations/fedreg/2010/10/07/2010-25247.html Thu, 07 Oct 2010 00:00:00 -0700 2010-25247 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-07/pdf/2010-25247.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, LLC Relating to Exchange Disseminated Quotations https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25138.html https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25138.html Wed, 06 Oct 2010 00:00:00 -0700 2010-25138 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25138.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clearly Erroneous Transactions https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25137.html https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25137.html Wed, 06 Oct 2010 00:00:00 -0700 2010-25137 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25137.pdf Notice - 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 Act https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25108.html https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25108.html Wed, 06 Oct 2010 00:00:00 -0700 2010-25108 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25108.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25107.html https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25107.html Wed, 06 Oct 2010 00:00:00 -0700 2010-25107 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25107.pdf Notice - Triangle Capital Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25073.html https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25073.html Wed, 06 Oct 2010 00:00:00 -0700 2010-25073 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25073.pdf Notice - Northern Lights Fund Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25072.html https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25072.html Wed, 06 Oct 2010 00:00:00 -0700 2010-25072 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25072.pdf Notice - Capital Southwest Corporation; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25069.html https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25069.html Wed, 06 Oct 2010 00:00:00 -0700 2010-25069 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25069.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 717 https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25068.html https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25068.html Wed, 06 Oct 2010 00:00:00 -0700 2010-25068 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25068.pdf Notice - 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 Encrypted https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25067.html https://regulations.justia.com/regulations/fedreg/2010/10/06/2010-25067.html Wed, 06 Oct 2010 00:00:00 -0700 2010-25067 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-06/pdf/2010-25067.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24899.html https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24899.html Tue, 05 Oct 2010 00:00:00 -0700 2010-24899 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24899.pdf Notice - 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 Center https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24897.html https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24897.html Tue, 05 Oct 2010 00:00:00 -0700 2010-24897 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24897.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Individual Stock Trading Pauses https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24896.html https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24896.html Tue, 05 Oct 2010 00:00:00 -0700 2010-24896 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24896.pdf Notice - 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 Classes https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24895.html https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24895.html Tue, 05 Oct 2010 00:00:00 -0700 2010-24895 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24895.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24894.html https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24894.html Tue, 05 Oct 2010 00:00:00 -0700 2010-24894 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24894.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24884.html https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24884.html Tue, 05 Oct 2010 00:00:00 -0700 2010-24884 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24884.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24882.html https://regulations.justia.com/regulations/fedreg/2010/10/05/2010-24882.html Tue, 05 Oct 2010 00:00:00 -0700 2010-24882 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-05/pdf/2010-24882.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24982.html https://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24982.html Mon, 04 Oct 2010 00:00:00 -0700 2010-24982 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-04/pdf/2010-24982.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24885.html https://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24885.html Mon, 04 Oct 2010 00:00:00 -0700 2010-24885 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-04/pdf/2010-24885.pdf Notice - Elfun Trusts, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24824.html https://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24824.html Mon, 04 Oct 2010 00:00:00 -0700 2010-24824 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-04/pdf/2010-24824.pdf Rule - Removal From Regulation FD of the Exemption for Credit Rating Agencies https://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24802.html https://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24802.html Mon, 04 Oct 2010 00:00:00 -0700 2010-24802 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-04/pdf/2010-24802.pdf Notice - RIEF RMP LLC and Renaissance Technologies LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24787.html https://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24787.html Mon, 04 Oct 2010 00:00:00 -0700 2010-24787 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-04/pdf/2010-24787.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Dates for Pilot Programs https://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24770.html https://regulations.justia.com/regulations/fedreg/2010/10/04/2010-24770.html Mon, 04 Oct 2010 00:00:00 -0700 2010-24770 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-04/pdf/2010-24770.pdf Notice - Highland Capital Management, L.P. and Highland Funds I; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24722.html https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24722.html Fri, 01 Oct 2010 00:00:00 -0700 2010-24722 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24722.pdf Notice - 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 Protocol https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24675.html https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24675.html Fri, 01 Oct 2010 00:00:00 -0700 2010-24675 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24675.pdf Rule - Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related To Brokers and Dealers https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24657.html https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24657.html Fri, 01 Oct 2010 00:00:00 -0700 2010-24657 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24657.pdf Notice - American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24655.html https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24655.html Fri, 01 Oct 2010 00:00:00 -0700 2010-24655 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24655.pdf Notice - Jackson National Life Insurance Company, et al.; https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24654.html https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24654.html Fri, 01 Oct 2010 00:00:00 -0700 2010-24654 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24654.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24651.html https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24651.html Fri, 01 Oct 2010 00:00:00 -0700 2010-24651 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24651.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24650.html https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24650.html Fri, 01 Oct 2010 00:00:00 -0700 2010-24650 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24650.pdf Notice - 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 Matters https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24606.html https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24606.html Fri, 01 Oct 2010 00:00:00 -0700 2010-24606 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24606.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24605.html https://regulations.justia.com/regulations/fedreg/2010/10/01/2010-24605.html Fri, 01 Oct 2010 00:00:00 -0700 2010-24605 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-10-01/pdf/2010-24605.pdf