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/2010/12/01?limit=200&registers=between&mode=atom 2025-06-26T01:49:40-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2010/12/01/2010-30229.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook 2010-12-01T00:00:00-08:00 2010-12-01T00:00:00-08:00 2010-30229 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-01/pdf/2010-30229.pdf https://regulations.justia.com/regulations/fedreg/2010/12/01/2010-30228.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit a One-Time Waiver of Late Fees Assessable Pursuant to FINRA Rule 6490 2010-12-01T00:00:00-08:00 2010-12-01T00:00:00-08:00 2010-30228 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-01/pdf/2010-30228.pdf https://regulations.justia.com/regulations/fedreg/2010/12/01/2010-30227.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Price Improvement (PIXL) Fees 2010-12-01T00:00:00-08:00 2010-12-01T00:00:00-08:00 2010-30227 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-01/pdf/2010-30227.pdf https://regulations.justia.com/regulations/fedreg/2010/12/01/2010-30225.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Obvious Errors Respecting Complex Trades 2010-12-01T00:00:00-08:00 2010-12-01T00:00:00-08:00 2010-30225 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-01/pdf/2010-30225.pdf