Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010/01/12?limit=200&registers=between&mode=atom 2024-11-27T01:52:11-08:00 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/2010/01/12/2010-359.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook 2010-01-12T00:00:00-08:00 2010-01-12T00:00:00-08:00 2010-359 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-359.pdf https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-308.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 452-NYSE Amex Equities and Section 723 of the NYSE Amex Company Guide Regarding Broker Discretionary Voting for Election of Directors and on Material Amendments to Investment Advisory Contracts 2010-01-12T00:00:00-08:00 2010-01-12T00:00:00-08:00 2010-308 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-308.pdf https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-304.html Notice - Submission for OMB Review; Comment Request 2010-01-12T00:00:00-08:00 2010-01-12T00:00:00-08:00 2010-304 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-304.pdf https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-303.html Notice - Submission for OMB Review; Comment Request 2010-01-12T00:00:00-08:00 2010-01-12T00:00:00-08:00 2010-303 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-303.pdf https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-302.html Notice - Submission for OMB Review; Comment Request 2010-01-12T00:00:00-08:00 2010-01-12T00:00:00-08:00 2010-302 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-302.pdf https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-301.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 18 To Eliminate the $500 Minimum Net Loss Requirement for a Member Organization To Seek Compensation in the Event of an Exchange System Failure 2010-01-12T00:00:00-08:00 2010-01-12T00:00:00-08:00 2010-301 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-301.pdf https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-300.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2010-01-12T00:00:00-08:00 2010-01-12T00:00:00-08:00 2010-300 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-300.pdf https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-299.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 18 To Eliminate the $500 Minimum Net Loss Requirement for a Member Organization To Seek Compensation in the Event of an Exchange System Failure 2010-01-12T00:00:00-08:00 2010-01-12T00:00:00-08:00 2010-299 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-299.pdf https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-298.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Establish Registered Representative Fees 2010-01-12T00:00:00-08:00 2010-01-12T00:00:00-08:00 2010-298 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-298.pdf https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-297.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Amounts That Direct Edge ECN, in Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members 2010-01-12T00:00:00-08:00 2010-01-12T00:00:00-08:00 2010-297 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-297.pdf https://regulations.justia.com/regulations/fedreg/2010/01/12/2010-296.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amending the Direct Edge ECN Fee Schedule 2010-01-12T00:00:00-08:00 2010-01-12T00:00:00-08:00 2010-296 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-12/pdf/2010-296.pdf