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=atom2024-05-23T11:07:21-07:00Justia 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.pdf