<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010/04/22?registers=between Mon, 25 Nov 2024 11:52:09 -0800 Mon, 25 Nov 2024 11:52:09 -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/2010/04/22?registers=between Notice - V-GPO, Inc., Valesc Holdings, Inc., Venture Stores, Inc., Vertigo Theme Parks, Inc. (f/k/a Snap2 Corp.), Videolan Technologies, Inc., VisionGateway, Inc., Vital Health Technologies, Inc. (n/k/a Caribbean American Health Resorts), and VoiceNet, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9455.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9455.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9455 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9455.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9362.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9362.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9362 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9362.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change To Establish the NYSE Amex Trades Service and the NYSE Amex BBO Service and Related Fees https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9361.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9361.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9361 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9361.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Making Permanent the Exchange's Pilot Program With Respect to Its Continued Listing Standards https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9358.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9358.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9358 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9358.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.4 Commentary .04. https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9357.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9357.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9357 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9357.pdf Notice - Northern Lights Fund Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9285.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9285.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9285 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9285.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Rules To Reflect Changes to Corresponding FINRA Rules https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9284.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9284.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9284 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9284.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing the Exchange's Directed Order Process on the Boston Options Exchange https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9283.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9283.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9283 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9283.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9282.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9282.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9282 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9282.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9281.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9281.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9281 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9281.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend From May 30, 2010 Until June 30, 2010 the Final Date by Which the Exchange Must Terminate Its Affiliation With NYFIX Securities Corporation https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9280.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9280.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9280 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9280.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance its Existing Processing Relating to End of Day Liquidity https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9279.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9279.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9279 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9279.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 903 Commentary .06 https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9278.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9278.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9278 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9278.pdf Notice - 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 American Stock Exchange LLC, BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Arca, Inc., NYSE Regulation, Inc., NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9277.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9277.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9277 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9277.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Strategy Fee Cap Program https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9275.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9275.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9275 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9275.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish the NYSE BBO Service https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9274.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9274.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9274 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9274.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing an Equity Transaction Fee Schedule for Shares Executed on the NYSE MatchPointSM https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9273.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9273.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9273 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9273.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 4(c) of Schedule A to the FINRA By-Laws To Add a Reference to the Fees Assessed for the Series 51, 52 and 53 Examinations https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9271.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9271.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9271 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9271.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Certain Incorrect or Inaccurate Cross-References https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9270.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9270.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9270 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9270.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9269.html https://regulations.justia.com/regulations/fedreg/2010/04/22/2010-9269.html Thu, 22 Apr 2010 00:00:00 -0700 2010-9269 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-04-22/pdf/2010-9269.pdf