Securities and Exchange Commission March 4, 2010 – Federal Register Recent Federal Regulation Documents

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Order Making Fiscal Year 2010 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934
Document Number: 2010-4530
Type: Notice
Date: 2010-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4530.html
Privacy Act of 1974: Systems of Records
Document Number: 2010-4529
Type: Notice
Date: 2010-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission (``Commission'' or ``SEC'') proposes to revise a Privacy Act system of records: ``Mailing, Contact and Other Lists (SEC-56)'', originally published in the Federal Register Volume 74, Number 139 on Wednesday, July 22, 2009.
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4529.html
Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to ETFS Physical Swiss Gold Shares and ETFS Physical Silver Shares
Document Number: 2010-4517
Type: Notice
Date: 2010-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4517.html
First Trust/Aberdeen Global Opportunity Income Fund, et al.; Notice of Application
Document Number: 2010-4516
Type: Notice
Date: 2010-03-04
Agency: Investment Company Act Release No. 29163; 812-13161-01], Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4516.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2010-4499
Type: Notice
Date: 2010-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On August 8, 2009, applicant transferred its assets to Oppenheimer International Growth Fund, based on net asset value. Expenses of $33,608 incurred in connection with the reorganization were paid by applicant.
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4499.html
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Approval of Proposed Rule Change Relating to Index Option Position Limits
Document Number: 2010-4458
Type: Notice
Date: 2010-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4458.html
Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Allow The Depository Trust Company To Provide Settlement Services to European Central Counterparty Limited for U.S. Securities Traded on European Trading Venues
Document Number: 2010-4457
Type: Notice
Date: 2010-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4457.html
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the BATS Exchange, Inc., the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Amex LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Concerning Options-Related Sales Practice Matters
Document Number: 2010-4456
Type: Notice
Date: 2010-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4456.html
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the NYSE Amex LLC, BATS Exchange, Inc., C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Concerning Options-Related Market Surveillance
Document Number: 2010-4455
Type: Notice
Date: 2010-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4455.html
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Intermarket Linkage Rules
Document Number: 2010-4454
Type: Notice
Date: 2010-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4454.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the By-Laws of The NASDAQ OMX Group, Inc.
Document Number: 2010-4453
Type: Notice
Date: 2010-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4453.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC. Inc. Relating To Amending NASDAQ Options Market (“NOM”) Chapter V, Section 6, Obvious Errors
Document Number: 2010-4452
Type: Notice
Date: 2010-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4452.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Round Lot Holder Initial Listing Requirement for Listing of Warrants on the Nasdaq Global and Capital Markets Except for Initial Firm Commitment Underwritten Public Offering
Document Number: 2010-4411
Type: Notice
Date: 2010-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4411.html
Money Market Fund Reform
Document Number: 2010-4059
Type: Rule
Date: 2010-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is adopting amendments to certain rules that govern money market funds under the Investment Company Act of 1940. The amendments will tighten the risk-limiting conditions of rule 2a-7 by, among other things, requiring funds to maintain a portion of their portfolios in instruments that can be readily converted to cash, reducing the maximum weighted average maturity of portfolio holdings, and improving the quality of portfolio securities; require money market funds to report their portfolio holdings monthly to the Commission; and permit a money market fund that has ``broken the buck'' (i.e., re-priced its securities below $1.00 per share), or is at imminent risk of breaking the buck, to suspend redemptions to allow for the orderly liquidation of fund assets. The amendments are designed to make money market funds more resilient to certain short-term market risks, and to provide greater protections for investors in a money market fund that is unable to maintain a stable net asset value per share.
https://regulations.justia.com/regulations/fedreg/2010/03/04/2010-4059.html
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