<![CDATA[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?registers=between Wed, 27 Nov 2024 01:58:38 -0800 Wed, 27 Nov 2024 01:58:38 -0800 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/securities-and-exchange-commission/2010/01/19?registers=between Rule - Policy Statement Concerning Cooperation by Individuals in Its Investigations and Related Enforcement Actions https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-843.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-843.html Tue, 19 Jan 2010 00:00:00 -0800 2010-843 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-843.pdf Rule - Delegations of Authority to the Director of Its Division of Enforcement https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-842.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-842.html Tue, 19 Jan 2010 00:00:00 -0800 2010-842 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-842.pdf Notice - Order of Suspension of Trading; East Delta Resources Corp. https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-833.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-833.html Tue, 19 Jan 2010 00:00:00 -0800 2010-833 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-833.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-824.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-824.html Tue, 19 Jan 2010 00:00:00 -0800 2010-824 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-824.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional Fees https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-823.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-823.html Tue, 19 Jan 2010 00:00:00 -0800 2010-823 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-823.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-822.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-822.html Tue, 19 Jan 2010 00:00:00 -0800 2010-822 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-822.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Its Listing Fees for Structured Products https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-821.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-821.html Tue, 19 Jan 2010 00:00:00 -0800 2010-821 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-821.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-820.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-820.html Tue, 19 Jan 2010 00:00:00 -0800 2010-820 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-820.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-819.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-819.html Tue, 19 Jan 2010 00:00:00 -0800 2010-819 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-819.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-818.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-818.html Tue, 19 Jan 2010 00:00:00 -0800 2010-818 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-818.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-801.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-801.html Tue, 19 Jan 2010 00:00:00 -0800 2010-801 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-801.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-800.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-800.html Tue, 19 Jan 2010 00:00:00 -0800 2010-800 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-800.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Tiered Fee Schedule https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-799.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-799.html Tue, 19 Jan 2010 00:00:00 -0800 2010-799 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-799.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-798.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-798.html Tue, 19 Jan 2010 00:00:00 -0800 2010-798 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-798.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-797.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-797.html Tue, 19 Jan 2010 00:00:00 -0800 2010-797 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-797.pdf Rule - Shareholder Approval of Executive Compensation of TARP Recipients https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-756.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-756.html Tue, 19 Jan 2010 00:00:00 -0800 2010-756 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-756.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Market Data Fees https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-704.html https://regulations.justia.com/regulations/fedreg/2010/01/19/2010-704.html Tue, 19 Jan 2010 00:00:00 -0800 2010-704 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-01-19/pdf/2010-704.pdf