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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-23T12:19:39-07:00 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/2010/12/30/2010-33077.html Rule - Principal Trades with Certain Advisory Clients 2010-12-30T00:00:00-08:00 2010-12-30T00:00:00-08:00 2010-33077 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-33077.pdf https://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32941.html Notice - Proposed Collection; Comment Request 2010-12-30T00:00:00-08:00 2010-12-30T00:00:00-08:00 2010-32941 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32941.pdf https://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32904.html Notice - Self-Regulatory Organizations, The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Amend IM-5101-2 To Provide Special Purpose Acquisition Companies the Option To Hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition and Other Changes to the SPAC Listing Standards 2010-12-30T00:00:00-08:00 2010-12-30T00:00:00-08:00 2010-32904 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32904.pdf https://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32891.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising Floor Qualification Examination 2010-12-30T00:00:00-08:00 2010-12-30T00:00:00-08:00 2010-32891 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32891.pdf https://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32885.html Notice - Public Company Accounting Oversight Board; Order Approving Proposed Rules on Auditing Standards Related to the Auditor's Assessment of and Response to Risk and Related Amendments to PCAOB Standards 2010-12-30T00:00:00-08:00 2010-12-30T00:00:00-08:00 2010-32885 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32885.pdf https://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32085.html Proposed Rule - Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations 2010-12-30T00:00:00-08:00 2010-12-30T00:00:00-08:00 2010-32085 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32085.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32787.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the Insurance and Retirement Processing Services To Incorporate a New Analytics Reporting Service 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32787 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32787.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32734.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operation of the Pilot Program That Allows Nasdaq Stock Market Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32734 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32734.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32733.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Managed Futures Strategy Fund 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32733 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32733.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32732.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval 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 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32732 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32732.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32731.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Create a Listing Market on the Exchange 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32731 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32731.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32730.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change to Enhance the Reconfirmation and Pricing Service, Including the Creation of the Obligation Warehouse 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32730 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32730.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32729.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32729 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32729.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32728.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Trading Rules To Permit Trading Options on Leveraged (Multiple or Inverse) Exchange-Traded Notes and Broaden the Definition of “Futures-Linked Securities” 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32728 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32728.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32715.html Notice - Order Approving Investment Adviser Registration Depository Filing Fees 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32715 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32715.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32727.html Notice - Sunshine Act Meeting 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32727 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32727.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32650.html Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2011 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32650 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32650.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32623.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC To Expand Its Short Term Option Program 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32623 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32623.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32622.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Permanent the Pilot Program That Offers Liquidity Takers a Reduced Transaction Fee Structure for Certain Bond Trades Executed on the NYSE Bonds System 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32622 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32622.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32615.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue the Practice Governing the Directed Order Process on BOX 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32615 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32615.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32614.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.5 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32614 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32614.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32613.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX Rule 11.5 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32613 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32613.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32608.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the SiM Dynamic Allocation Diversified Income ETF and SiM Dynamic Allocation Growth Income ETF 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32608 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32608.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32607.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Various NYSE Arca Equities Rules To Harmonize Them With Financial Industry Regulatory Authority Rules 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32607 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32607.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32553.html Notice - Submission for OMB Review; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32553 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32553.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32522.html Notice - Submission for OMB Review; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32522 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32522.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32521.html Notice - Proposed Collection; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32521 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32521.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32520.html Notice - Proposed Collection; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32520 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32520.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32519.html Notice - Proposed Collection; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32519 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32519.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32518.html Notice - Proposed Collection; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32518 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32518.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32517.html Notice - Proposed Collection; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32517 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32517.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32516.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend FINRA Rule 6140 (Other Trading Practices) 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32516 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32516.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32513.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of the Grail Western Asset Ultra Short Duration ETF Under NYSE Arca Equities Rule 8.600 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32513 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32513.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32512.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Hybrid Opening System 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32512 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32512.pdf https://regulations.justia.com/regulations/fedreg/2010/12/27/2010-32382.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Alpha Index Options 2010-12-27T00:00:00-08:00 2010-12-27T00:00:00-08:00 2010-32382 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-27/pdf/2010-32382.pdf https://regulations.justia.com/regulations/fedreg/2010/12/27/2010-32376.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule 2010-12-27T00:00:00-08:00 2010-12-27T00:00:00-08:00 2010-32376 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-27/pdf/2010-32376.pdf https://regulations.justia.com/regulations/fedreg/2010/12/27/2010-32372.html Notice - Proposed Collection; Comment Request 2010-12-27T00:00:00-08:00 2010-12-27T00:00:00-08:00 2010-32372 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-27/pdf/2010-32372.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32287.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32287 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32287.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32286.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Amend EDGX Rules 11.9 and 11.5 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32286 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32286.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32285.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Amend EDGA Rules 11.9(b)(1)(C) and 11.5(c)(7) Regarding Step-Up Orders 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32285 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32285.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32280.html Notice - Credit Rating Standardization Study 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32280 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32280.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32225.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change To Authorize Additional Shares of Preferred Stock and Designate Shares as Series A Preferred Stock 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32225 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32225.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32224.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify How Odd-Lots Are Handled on CBSX 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32224 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32224.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32223.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Eliminate the Validated Cross Trade Entry Functionality 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32223 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32223.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32222.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Options Overlying QNET 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32222 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32222.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-31943.html Proposed Rule - Disclosure of Payments by Resource Extraction Issuers 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-31943 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-31943.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-31940.html Proposed Rule - Conflict Minerals 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-31940 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-31940.pdf https://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32098.html Rule - Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities 2010-12-22T00:00:00-08:00 2010-12-22T00:00:00-08:00 2010-32098 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32098.pdf https://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32090.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations) 2010-12-22T00:00:00-08:00 2010-12-22T00:00:00-08:00 2010-32090 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32090.pdf https://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32089.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Relating to Complex Orders 2010-12-22T00:00:00-08:00 2010-12-22T00:00:00-08:00 2010-32089 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32089.pdf