Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010/01/19?limit=200&registers=between&mode=atom 2024-11-30T04:19:33-08:00 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/2010/01/19/2010-843.html Rule - Policy Statement Concerning Cooperation by Individuals in Its Investigations and Related Enforcement Actions 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-843 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-843.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-842.html Rule - Delegations of Authority to the Director of Its Division of Enforcement 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-842 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-842.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-833.html Notice - Order of Suspension of Trading; East Delta Resources Corp. 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-833 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-833.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-824.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Fee Schedule 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-824 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-824.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-823.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional Fees 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-823 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-823.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-822.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend Rule 8.91-Limitations on Dealings of DPMs and Affiliated Persons of DPMs 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-822 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-822.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-821.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Its Listing Fees for Structured Products 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-821 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-821.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-820.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Concurrent Listing of $3.50 and $4 Strikes for Classes in the $0.50 Strike and $1 Strike Programs 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-820 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-820.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-819.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-819 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-819.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-818.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-818 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-818.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-801.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to the Listing Fee and Annual Fee Applicable to Derivative Securities Products 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-801 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-801.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-800.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Index Option Position Limits 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-800 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-800.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-799.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Tiered Fee Schedule 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-799 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-799.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-798.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Repeal NASD Rule 2450 (Installment or Partial Sales), NASD Interpretive Material 2830-2 (“IM-2830-2”) (Maintaining the Public Offering Price) and Incorporated NYSE Rule 413 (Uniform Forms) as Part of the Process of Developing a Consolidated FINRA Rulebook 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-798 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-798.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-797.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 1140 and 3080 to Reflect Changes to a Corresponding FINRA Rule 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-797 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-797.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-756.html Rule - Shareholder Approval of Executive Compensation of TARP Recipients 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-756 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-756.pdf https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-704.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Market Data Fees 2010-01-19T00:00:00-08:00 2010-01-19T00:00:00-08:00 2010-704 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-704.pdf