<![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?registers=between&min-day=1&max-day=30 Thu, 23 May 2024 18:17:10 -0700 Thu, 23 May 2024 18:17:10 -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?registers=between&min-day=1&max-day=30 Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Establishing an Automated Service for the Processing of Transfers, Replacements, and Exchanges of Insurance and Retirement Products https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30088.html https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30088.html Tue, 30 Nov 2010 00:00:00 -0800 2010-30088 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-30/pdf/2010-30088.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex LLC Company Guide To Adopt Additional Criteria for Listing Special Purpose Acquisition Companies (SPACs) That Have Indicated That Their Business Plan Is To Engage in a Merger or Acquisition With an Unidentified Company or Companies https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30087.html https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30087.html Tue, 30 Nov 2010 00:00:00 -0800 2010-30087 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-30/pdf/2010-30087.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for Boston Options Exchange To Receive Inbound Routes of Orders From Nasdaq Options Services https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30035.html https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30035.html Tue, 30 Nov 2010 00:00:00 -0800 2010-30035 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-30/pdf/2010-30035.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change To Introduce Cross-Margining of Certain Positions Cleared at the Fixed Income Clearing Corporation and Certain Positions Cleared at New York Portfolio Clearing, LLC https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30034.html https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30034.html Tue, 30 Nov 2010 00:00:00 -0800 2010-30034 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-30/pdf/2010-30034.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-30055.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-30055.html Mon, 29 Nov 2010 00:00:00 -0800 2010-30055 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-30055.pdf Notice - Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29929.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29929.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29929 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29929.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29907.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29907.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29907 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29907.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Jefferies S&P 500® VIX Short-Term Futures ETF https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29906.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29906.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29906 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29906.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Modify the Minor Rule Violation Plan for BATS Options https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29895.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29895.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29895 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29895.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program for Directed Orders https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29894.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29894.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29894 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29894.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Amend Certain Rules Pertaining to Credit Options https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29893.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29893.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29893 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29893.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for the PHOTO Historical Data Product https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29892.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29892.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29892 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29892.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29889.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29889.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29889 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29889.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29727.html https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29727.html Fri, 26 Nov 2010 00:00:00 -0800 2010-29727 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29727.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29725.html https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29725.html Fri, 26 Nov 2010 00:00:00 -0800 2010-29725 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29725.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Two Aspects of the Rules and Operation of The NASDAQ Options Market https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29721.html https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29721.html Fri, 26 Nov 2010 00:00:00 -0800 2010-29721 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29721.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval 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/2010/11/26/2010-29720.html https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29720.html Fri, 26 Nov 2010 00:00:00 -0800 2010-29720 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29720.pdf Rule - Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29702.html https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29702.html Fri, 26 Nov 2010 00:00:00 -0800 2010-29702 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29702.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, to Amend BYX Rule 11.8, Entitled “Obligations of Market Makers” https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29614.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29614.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29614 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29614.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29612.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29612.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29612 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29612.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a $5 Strike Price Program https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29594.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29594.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29594 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29594.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Delta Hedging Exemption Available for Equity Options Position Limits and Adopting a Delta Hedging Exemption From Certain Index Options Position Limits https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29593.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29593.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29593 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29593.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Delta Hedging Exemption Available for Equity Options Position Limits and Adopting a Delta Hedging Exemption From Certain Index Options Position Limits https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29592.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29592.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29592 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29592.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGX Rules 11.9(b)(1)(C) and 11.5(c)(7) Regarding Step-Up Orders https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29591.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29591.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29591 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29591.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGA Rules 11.9(b)(1)(C) and 11.5(c)(7) Regarding Step-Up Orders https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29590.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29590.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29590 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29590.pdf Notice - ETSpreads, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29589.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29589.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29589 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29589.pdf Notice - SSgA Funds Management, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29588.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29588.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29588 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29588.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange-Traded Notes https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29562.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29562.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29562 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29562.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange-Traded Notes https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29561.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29561.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29561 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29561.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the Peritus High Yield ETF https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29560.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29560.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29560 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29560.pdf Notice - Fifth Street Finance Corp., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29559.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29559.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29559 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29559.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29595.html https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29595.html Tue, 23 Nov 2010 00:00:00 -0800 2010-29595 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-23/pdf/2010-29595.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 a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29447.html https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29447.html Tue, 23 Nov 2010 00:00:00 -0800 2010-29447 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-23/pdf/2010-29447.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29402.html https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29402.html Tue, 23 Nov 2010 00:00:00 -0800 2010-29402 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-23/pdf/2010-29402.pdf Notice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Requirement To Maintain a Balance Certificate in the Fast Automated Securities Transfer Program https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29401.html https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29401.html Tue, 23 Nov 2010 00:00:00 -0800 2010-29401 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-23/pdf/2010-29401.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29475.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29475.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29475 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29475.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29395.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29395.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29395 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29395.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Pilot Program to List Series With Additional Expiration Months for Each Class of Options Opened for Trading on BOX https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29352.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29352.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29352 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29352.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the ProShares VIX Short-Term Futures ETF and the ProShares VIX Mid-Term Futures ETF https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29351.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29351.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29351 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29351.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a $0.50 Strike Program https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29344.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29344.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29344 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29344.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Certain Membership Rules https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29343.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29343.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29343 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29343.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and To Amend the FINRA Rule 9520 Series (Eligibility Proceedings) https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29281.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29281.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29281 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29281.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Regarding Registration and Qualification Requirements for Associated Persons https://regulations.justia.com/regulations/fedreg/2010/11/19/2010-29160.html https://regulations.justia.com/regulations/fedreg/2010/11/19/2010-29160.html Fri, 19 Nov 2010 00:00:00 -0800 2010-29160 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-19/pdf/2010-29160.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendments to Rule A-12, on Initial Fee, and Rule A-14, on Annual Fee https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29080.html https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29080.html Thu, 18 Nov 2010 00:00:00 -0800 2010-29080 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-18/pdf/2010-29080.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29079.html https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29079.html Thu, 18 Nov 2010 00:00:00 -0800 2010-29079 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-18/pdf/2010-29079.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Revisions to the Study Outline and Selection Specifications for the Municipal Securities Representative Qualification Examination (Series 52) Program https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29078.html https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29078.html Thu, 18 Nov 2010 00:00:00 -0800 2010-29078 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-18/pdf/2010-29078.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendments to Rule G-5, on Disciplinary Actions by Appropriate Regulatory Agencies, Remedial Notices by Registered Securities Associations; and Rule G-17, on Conduct of Municipal Securities Activities https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29077.html https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29077.html Thu, 18 Nov 2010 00:00:00 -0800 2010-29077 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-18/pdf/2010-29077.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-29075.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-29075.html Wed, 17 Nov 2010 00:00:00 -0800 2010-29075 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-29075.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Rule D-13, on a Definition of “Municipal Advisory Activities”, Rule D-14, on a Definition of “Appropriate Regulatory Agency”, and Amendments to Rule D-11 (“Associated Persons”), Rule G-40 on Electronic Mail Contacts, and Form G-40, on Electronic Mail Contacts https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28986.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28986.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28986 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28986.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28983.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28983.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28983 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28983.pdf