<![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/2010/11/12?registers=between Tue, 15 Jul 2025 19:26:46 -0700 Tue, 15 Jul 2025 19:26:46 -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/2010/11/12?registers=between Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Revise the Device-Based Professional Subscriber Fees Charged by OPRA for its Basic Service https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28547.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28547.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28547 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28547.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add New Rule 7014 To Enable NASDAQ Members To Qualify for a Monthly Fee Credit https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28545.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28545.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28545 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28545.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28543.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28543.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28543 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28543.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by New York Stock Exchange LLC Changing the NYBX Order Execution Sequence https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28542.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28542.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28542 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28542.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Assessed for Use of the Testing Facility https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28541.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28541.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28541 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28541.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Assessed for Use of the Testing Facility https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28540.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28540.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28540 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28540.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the ETFS Asian Gold Trust https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28514.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28514.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28514 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28514.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Assessed for Use of the Testing Facility https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28466.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28466.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28466 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28466.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6140 (Other Trading Practices) https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28462.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28462.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28462 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28462.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating To Access Service Fees https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28461.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28461.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28461 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28461.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Fee Schedule https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28454.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28454.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28454 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28454.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/2010/11/12/2010-28453.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28453.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28453 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28453.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Disincentive Fee Associated With the Deposit Automation Management System https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28451.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28451.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28451 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28451.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filings of Amendments No. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, To Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28444.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28444.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28444 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28444.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options Exchange, Incorporated; The Chicago Stock Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, To Enhance the Quotation Standards for Market Makers https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28443.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28443.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28443 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28443.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Certificate of Organization To Authorize Additional Shares of Preferred Stock and Designate Shares as Series A Preferred Stock https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28442.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28442.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28442 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28442.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Panel Composition Rule, and Related Rules, of the Code of Arbitration Procedure for Customer Disputes https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28419.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28419.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28419 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28419.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28418.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28418.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28418 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28418.pdf