Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-04T04:33:24-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2010/05/28/2010-13006.htmlNotice - Sunshine Act Meeting2010-05-28T00:00:00-07:002010-05-28T00:00:00-07:002010-13006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-13006.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12936.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating to the Demutualization of Chicago Board Options Exchange, Incorporated2010-05-28T00:00:00-07:002010-05-28T00:00:00-07:002010-12936Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12936.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12874.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Amending Its Schedule of Fees2010-05-28T00:00:00-07:002010-05-28T00:00:00-07:002010-12874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12874.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12873.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Risk Management Interface2010-05-28T00:00:00-07:002010-05-28T00:00:00-07:002010-12873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12873.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12872.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional Customer Fees2010-05-28T00:00:00-07:002010-05-28T00:00:00-07:002010-12872Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12872.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12871.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. to Make Changes to Expand the $1 Strike Program2010-05-28T00:00:00-07:002010-05-28T00:00:00-07:002010-12871Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12871.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12876.htmlNotice - In the Matter of Act Clean Technologies, Inc.; Order of Suspension of Trading2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12876.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12748.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change Relating to Quote Spread Parameters and Batching of Violations2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12748Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12748.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12747.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12747Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12747.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12746.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Deleting Rule 413-NYSE Amex Equities To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12746Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12746.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12745.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 413 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12745Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12745.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12694.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Applicability of Fees2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12694Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12694.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12693.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Accelerated Approval of Proposed Rule Change To Permit $1 Strikes for Options on Trust Issued Receipts2010-05-27T00:00:00-07:002010-05-27T00:00:00-07:002010-12693Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12693.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12625.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of Arbitrators on Lists Generated by the Neutral List Selection System2010-05-26T00:00:00-07:002010-05-26T00:00:00-07:002010-12625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12625.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12555.htmlNotice - Submission for OMB Review; Comment Request2010-05-26T00:00:00-07:002010-05-26T00:00:00-07:002010-12555Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12555.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12554.htmlNotice - Submission for OMB Review; Comment Request2010-05-26T00:00:00-07:002010-05-26T00:00:00-07:002010-12554Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12554.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12553.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade CBOE Gold ETF Volatility Index Options2010-05-26T00:00:00-07:002010-05-26T00:00:00-07:002010-12553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12553.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12552.htmlNotice - 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 Center2010-05-26T00:00:00-07:002010-05-26T00:00:00-07:002010-12552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12552.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12551.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require Companies To Provide Notification to Nasdaq of Any Noncompliance With the Corporate Governance Requirements2010-05-26T00:00:00-07:002010-05-26T00:00:00-07:002010-12551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12551.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/25/2010-12508.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Procedures Regarding the Participant Tender Offer Program Function2010-05-25T00:00:00-07:002010-05-25T00:00:00-07:002010-12508Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-25/pdf/2010-12508.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/25/2010-12507.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Corporate Structure2010-05-25T00:00:00-07:002010-05-25T00:00:00-07:002010-12507Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-25/pdf/2010-12507.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/25/2010-12506.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Fees for the ISE Order Feed2010-05-25T00:00:00-07:002010-05-25T00:00:00-07:002010-12506Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-25/pdf/2010-12506.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/25/2010-12495.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto To Establish a New Service and Related Fees2010-05-25T00:00:00-07:002010-05-25T00:00:00-07:002010-12495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-25/pdf/2010-12495.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12426.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12426.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12425.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Individual Stock Trading Pauses Due to Extraordinary Market Volatility2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12425.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12424.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Establish a Trading Halt for Individual Stocks Contained in the Standard & Poor's 500 Index That Experience a 10 Percent Price Change of 10% or More During a Five-Minute Period Pursuant to Exchange Rule 11.202010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12424.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12423.htmlNotice - Self-Regulatory Organizations; Proposed Rule Change by Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish a Trading Halt for Individual Stocks Contained in the Standard & Poor's 500 Index2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12423Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12423.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12422.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Establish a Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index That Experience a Price Change of 10% or More During a Five-Minute Period2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12422.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12421.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Adding NYSE Arca Equities Rule 7.11 To Provide for a Trading Pause for Individual Securities When the Price Moves 10 Percent or More2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12421Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12421.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12419.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of a Proposed Rule Change Adding NYSE Amex Equities Rule 80C To Provide for a Trading Pause for Individual Securities When the Price Moves 10 Percent or More2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12419Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12419.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12418.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Adding Rule 80C To Provide for a Trading Pause for Individual Securities When the Price Moves 10 Percent or More2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12418Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12418.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12417.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by International Securities Exchange LLC To Amend ISE Rule 2102 To Provide for a Trading Pause for Individual Securities When the Price Moves Ten Percent or More2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12417Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12417.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12416.htmlNotice - Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by NASDAQ OMX BX, Inc. To Adopt Rule 4120(a)(11) Concerning Individual Stock Trading Pauses and To Adopt Related IM-4120-32010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12416Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12416.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12414.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGX Rule 11.14, Entitled “Trading Halts Due to Extraordinary Market Volatility”2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12414Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12414.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12413.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGA Rule 11.14, Entitled “Trading Halts Due to Extraordinary Market Volatility”2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12413Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12413.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12412.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 11.18, Entitled “Trading Halts Due to Extraordinary Market Volatility”2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12412Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12412.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12373.htmlNotice - Order Granting Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment2010-05-24T00:00:00-07:002010-05-24T00:00:00-07:002010-12373Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12373.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12369.htmlNotice - Sunshine Act Meeting2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12369Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12369.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12366.htmlNotice - Sunshine Act Meetings2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12366.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12303.htmlNotice - Market Structure Roundtable2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12303Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12303.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12301.htmlNotice - Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12301Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12301.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12261.htmlNotice - Submission for OMB Review; Comment Request2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12261Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12261.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12260.htmlNotice - Kinetics Mutual Funds, Inc., et al.; Notice of Application2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12260Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12260.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12227.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional Routing Fees2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12227.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12226.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.9, Entitled “Orders and Modifiers”2010-05-21T00:00:00-07:002010-05-21T00:00:00-07:002010-12226Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12226.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/20/2010-12228.htmlNotice - Sunshine Act Meeting2010-05-20T00:00:00-07:002010-05-20T00:00:00-07:002010-12228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-20/pdf/2010-12228.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/20/2010-12068.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 502(k)2010-05-20T00:00:00-07:002010-05-20T00:00:00-07:002010-12068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-20/pdf/2010-12068.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11944.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Suspension of Seat Market2010-05-19T00:00:00-07:002010-05-19T00:00:00-07:002010-11944Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11944.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11941.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the Required Number of Market Makers Appointed in a Particular Class for the Opening of Trading2010-05-19T00:00:00-07:002010-05-19T00:00:00-07:002010-11941Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11941.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11940.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Clearing Options on the CBOE Gold ETF Volatility Index2010-05-19T00:00:00-07:002010-05-19T00:00:00-07:002010-11940Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11940.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11939.htmlNotice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Decrease the Provide Credit for Transactions Involving Issues Priced Less Than One Dollar2010-05-19T00:00:00-07:002010-05-19T00:00:00-07:002010-11939Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11939.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11938.htmlNotice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fixed Provide Credit for CHX-Registered Institutional Brokers2010-05-19T00:00:00-07:002010-05-19T00:00:00-07:002010-11938Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11938.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11937.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules Extending the Maximum Term of FLEX Index and FLEX Equity Options and To Establish a New Pilot Program2010-05-19T00:00:00-07:002010-05-19T00:00:00-07:002010-11937Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11937.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11936.htmlNotice - 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 Center2010-05-19T00:00:00-07:002010-05-19T00:00:00-07:002010-11936Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11936.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11935.htmlNotice - 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 System2010-05-19T00:00:00-07:002010-05-19T00:00:00-07:002010-11935Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11935.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11934.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and EDGX Exchange, Inc.2010-05-19T00:00:00-07:002010-05-19T00:00:00-07:002010-11934Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11934.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11933.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and EDGA Exchange, Inc.2010-05-19T00:00:00-07:002010-05-19T00:00:00-07:002010-11933Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11933.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/18/2010-11953.htmlNotice - Broadengate Systems, Inc., (n/k/a Otter Lake Resources, Inc.); Order of Suspension of Trading2010-05-18T00:00:00-07:002010-05-18T00:00:00-07:002010-11953Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-18/pdf/2010-11953.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/18/2010-11952.htmlNotice - China Technology Global Corp.; Order of Suspension of Trading2010-05-18T00:00:00-07:002010-05-18T00:00:00-07:002010-11952Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-18/pdf/2010-11952.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/18/2010-11811.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Related to the Hybrid Matching Algorithms2010-05-18T00:00:00-07:002010-05-18T00:00:00-07:002010-11811Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-18/pdf/2010-11811.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/18/2010-11809.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Price List2010-05-18T00:00:00-07:002010-05-18T00:00:00-07:002010-11809Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-18/pdf/2010-11809.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/18/2010-11807.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2010-05-18T00:00:00-07:002010-05-18T00:00:00-07:002010-11807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-18/pdf/2010-11807.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/17/2010-11806.htmlNotice - In the Matter of BVR Technologies Ltd. (n/k/a Technoprises Ltd.), Crystal Graphite Corp., Devine Entertainment Corp., GEE TEN Ventures, Inc., National Construction, Inc. (n/k/a E.G. Capital, Inc.), SHEP Technologies, Inc., and WHEREVER.Net Holding Corp.; Order of Suspension of Trading2010-05-17T00:00:00-07:002010-05-17T00:00:00-07:002010-11806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-17/pdf/2010-11806.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/17/2010-11660.htmlNotice - Proposed Collection; Comment Request2010-05-17T00:00:00-07:002010-05-17T00:00:00-07:002010-11660Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-17/pdf/2010-11660.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/17/2010-11659.htmlNotice - Proposed Collection; Comment Request2010-05-17T00:00:00-07:002010-05-17T00:00:00-07:002010-11659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-17/pdf/2010-11659.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/17/2010-11658.htmlNotice - Proposed Collection; Comment Request2010-05-17T00:00:00-07:002010-05-17T00:00:00-07:002010-11658Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-17/pdf/2010-11658.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/17/2010-11657.htmlNotice - Proposed Collection; Comment Request2010-05-17T00:00:00-07:002010-05-17T00:00:00-07:002010-11657Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-17/pdf/2010-11657.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/17/2010-11656.htmlNotice - Proposed Collection; Comment Request2010-05-17T00:00:00-07:002010-05-17T00:00:00-07:002010-11656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-17/pdf/2010-11656.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/17/2010-11653.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to One Cent Strike Price Intervals of Foreign Currency Options2010-05-17T00:00:00-07:002010-05-17T00:00:00-07:002010-11653Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-17/pdf/2010-11653.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/17/2010-11652.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements2010-05-17T00:00:00-07:002010-05-17T00:00:00-07:002010-11652Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-17/pdf/2010-11652.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/17/2010-11651.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index Linked Securities2010-05-17T00:00:00-07:002010-05-17T00:00:00-07:002010-11651Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-17/pdf/2010-11651.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/17/2010-11650.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index Linked Securities2010-05-17T00:00:00-07:002010-05-17T00:00:00-07:002010-11650Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-17/pdf/2010-11650.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/17/2010-11649.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Option Fees2010-05-17T00:00:00-07:002010-05-17T00:00:00-07:002010-11649Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-17/pdf/2010-11649.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/17/2010-11648.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Rule Change Amending Its Fee Schedule2010-05-17T00:00:00-07:002010-05-17T00:00:00-07:002010-11648Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-17/pdf/2010-11648.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/14/2010-11543.htmlNotice - Jackson National Life Insurance Company of New York, et al.2010-05-14T00:00:00-07:002010-05-14T00:00:00-07:002010-11543Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-14/pdf/2010-11543.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/14/2010-11542.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Commentary .02 to Rule 5.32, Terms of FLEX Options, to Establish a Pilot Program To Permit FLEX Options to Trade With no Minimum Size Requirement2010-05-14T00:00:00-07:002010-05-14T00:00:00-07:002010-11542Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-14/pdf/2010-11542.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/13/2010-11507.htmlNotice - Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues2010-05-13T00:00:00-07:002010-05-13T00:00:00-07:002010-11507Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-13/pdf/2010-11507.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/13/2010-11435.htmlNotice - Joint Industry Plan; Notice of Filing of Amendment No. 21 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc2010-05-13T00:00:00-07:002010-05-13T00:00:00-07:002010-11435Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-13/pdf/2010-11435.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/13/2010-11400.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets and Execution Pricing for Certain Options2010-05-13T00:00:00-07:002010-05-13T00:00:00-07:002010-11400Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-13/pdf/2010-11400.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/13/2010-11399.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Waiver for Its PrecISE Terminals2010-05-13T00:00:00-07:002010-05-13T00:00:00-07:002010-11399Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-13/pdf/2010-11399.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/13/2010-11398.htmlNotice - 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 Members2010-05-13T00:00:00-07:002010-05-13T00:00:00-07:002010-11398Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-13/pdf/2010-11398.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/13/2010-11397.htmlNotice - 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 Schedule2010-05-13T00:00:00-07:002010-05-13T00:00:00-07:002010-11397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-13/pdf/2010-11397.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/12/2010-11446.htmlNotice - Sunshine Act; Notice of Meeting2010-05-12T00:00:00-07:002010-05-12T00:00:00-07:002010-11446Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-12/pdf/2010-11446.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/12/2010-11401.htmlNotice - In the Matter of: Universal Property Development & Acquisition Corp.; Order of Suspension of Trading2010-05-12T00:00:00-07:002010-05-12T00:00:00-07:002010-11401Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-12/pdf/2010-11401.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/12/2010-11260.htmlNotice - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for EDGA Exchange, Inc.2010-05-12T00:00:00-07:002010-05-12T00:00:00-07:002010-11260Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-12/pdf/2010-11260.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/12/2010-11259.htmlNotice - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for EDGX Exchange, Inc.2010-05-12T00:00:00-07:002010-05-12T00:00:00-07:002010-11259Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-12/pdf/2010-11259.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/12/2010-11258.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Order Approving Proposed Rule Change To Make Permanent a Unit-of-Count Metric Alternative for NYSE OpenBook Products2010-05-12T00:00:00-07:002010-05-12T00:00:00-07:002010-11258Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-12/pdf/2010-11258.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/12/2010-11257.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program2010-05-12T00:00:00-07:002010-05-12T00:00:00-07:002010-11257Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-12/pdf/2010-11257.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/12/2010-11255.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 9552, 9554 and 9559 To Conform NASDAQ's Rules to Recent Changes to the Rules of FINRA2010-05-12T00:00:00-07:002010-05-12T00:00:00-07:002010-11255Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-12/pdf/2010-11255.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/12/2010-11254.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity2010-05-12T00:00:00-07:002010-05-12T00:00:00-07:002010-11254Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-12/pdf/2010-11254.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/12/2010-11253.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. to Clarify, Eliminate, Revise, or Delete Certain Out-Dated or Obsolete Rules2010-05-12T00:00:00-07:002010-05-12T00:00:00-07:002010-11253Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-12/pdf/2010-11253.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/12/2010-11252.htmlNotice - AdvisorShares Investments, LLC and AdvisorShares Trust; Notice of Application2010-05-12T00:00:00-07:002010-05-12T00:00:00-07:002010-11252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-12/pdf/2010-11252.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/11/2010-11136.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2010-05-11T00:00:00-07:002010-05-11T00:00:00-07:002010-11136Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-11/pdf/2010-11136.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/11/2010-11135.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes to the Penny Pilot Program2010-05-11T00:00:00-07:002010-05-11T00:00:00-07:002010-11135Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-11/pdf/2010-11135.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/11/2010-11134.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program2010-05-11T00:00:00-07:002010-05-11T00:00:00-07:002010-11134Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-11/pdf/2010-11134.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/11/2010-11133.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add 75 Classes to the Penny Pilot Program2010-05-11T00:00:00-07:002010-05-11T00:00:00-07:002010-11133Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-11/pdf/2010-11133.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/11/2010-11099.htmlNotice - Submission for OMB Review; Comment Request2010-05-11T00:00:00-07:002010-05-11T00:00:00-07:002010-11099Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-11/pdf/2010-11099.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/11/2010-11098.htmlNotice - Submission for OMB Review; Comment Request2010-05-11T00:00:00-07:002010-05-11T00:00:00-07:002010-11098Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-11/pdf/2010-11098.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/11/2010-11097.htmlNotice - Submission for OMB Review; Comment Request2010-05-11T00:00:00-07:002010-05-11T00:00:00-07:002010-11097Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-11/pdf/2010-11097.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/11/2010-11096.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CBOE Rules 9.11, 9.18 and 9.21 To Correspond and Harmonize With Rules of the Financial Industry Regulatory Authority, Inc.2010-05-11T00:00:00-07:002010-05-11T00:00:00-07:002010-11096Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-11/pdf/2010-11096.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/11/2010-11095.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Seventy-Five Options Classes to the Penny Pilot Program2010-05-11T00:00:00-07:002010-05-11T00:00:00-07:002010-11095Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-11/pdf/2010-11095.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/11/2010-11094.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending NYSE Arca Rule 3.3(a) and Section 401(a) of the Exchange's Bylaws to Eliminate the Exchange's Audit Committee, Compensation Committee, and Regulatory Oversight Committee2010-05-11T00:00:00-07:002010-05-11T00:00:00-07:002010-11094Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-11/pdf/2010-11094.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/11/2010-11093.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Adding 75 Options Classes to the Penny Pilot Program2010-05-11T00:00:00-07:002010-05-11T00:00:00-07:002010-11093Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-11/pdf/2010-11093.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/10/2010-11219.htmlNotice - Sunshine Act Meeting2010-05-10T00:00:00-07:002010-05-10T00:00:00-07:002010-11219Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-10/pdf/2010-11219.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/10/2010-11111.htmlNotice - Order of Suspension of Trading; In the Matter of Alyn Corp., American HealthChoice, Inc., American Holding Investments, Inc., American Midland Corp., American Millennium Corp., American Pallet Leasing, Inc., American Patriot Funding, Inc. (f/k/a Referral Holdings Corp.), American Quantum Cycles, Inc., American Stellar Energy, Inc. (n/k/a Tara Gold Resources Corp.), Americare Health Scan, Inc. (f/k/a United Products International, Inc.), Amnex, Inc., and Amwest Environmental Group, Inc.2010-05-10T00:00:00-07:002010-05-10T00:00:00-07:002010-11111Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-10/pdf/2010-11111.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/10/2010-10967.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Market Maker Requirements for Certain Covered Products2010-05-10T00:00:00-07:002010-05-10T00:00:00-07:002010-10967Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-10/pdf/2010-10967.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/10/2010-10965.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the NASDAQ Stock Market LLC to Add Seventy-Five Options Classes to the Penny Pilot Program2010-05-10T00:00:00-07:002010-05-10T00:00:00-07:002010-10965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-10/pdf/2010-10965.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/10/2010-10964.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Add Seventy-Five Options Classes to the Penny Pilot Program2010-05-10T00:00:00-07:002010-05-10T00:00:00-07:002010-10964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-10/pdf/2010-10964.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/10/2010-10963.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Stopped Orders2010-05-10T00:00:00-07:002010-05-10T00:00:00-07:002010-10963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-10/pdf/2010-10963.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/10/2010-10962.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Amending Rule 6.37A and Rule 6.642010-05-10T00:00:00-07:002010-05-10T00:00:00-07:002010-10962Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-10/pdf/2010-10962.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/10/2010-10961.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rebates for Adding and Fees for Removing Liquidity2010-05-10T00:00:00-07:002010-05-10T00:00:00-07:002010-10961Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-10/pdf/2010-10961.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/10/2010-10957.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, by NYSE Arca, Inc. Amending Rule 4, Capital Requirements, Financial Reports, Margins2010-05-10T00:00:00-07:002010-05-10T00:00:00-07:002010-10957Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-10/pdf/2010-10957.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/10/2010-10956.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Trade Options on S&P 500 Annual Dividend Index With an Applied Scaling Factor of 12010-05-10T00:00:00-07:002010-05-10T00:00:00-07:002010-10956Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-10/pdf/2010-10956.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/10/2010-10953.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Deleting NYSE Rule 446 and Adopting New Rule 4370 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-05-10T00:00:00-07:002010-05-10T00:00:00-07:002010-10953Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-10/pdf/2010-10953.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/10/2010-10952.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Deleting Rule 446-NYSE Amex Equities and Adopting New Rule 4370-NYSE Amex Equities To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2010-05-10T00:00:00-07:002010-05-10T00:00:00-07:002010-10952Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-10/pdf/2010-10952.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/07/2010-10830.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2010-05-07T00:00:00-07:002010-05-07T00:00:00-07:002010-10830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-07/pdf/2010-10830.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/06/2010-10651.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402010-05-06T00:00:00-07:002010-05-06T00:00:00-07:002010-10651Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-06/pdf/2010-10651.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/06/2010-10646.htmlNotice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Amendments to the By-Laws of The NASDAQ OMX Group, Inc.2010-05-06T00:00:00-07:002010-05-06T00:00:00-07:002010-10646Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-06/pdf/2010-10646.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/06/2010-10645.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Amendments to the By-Laws of The NASDAQ OMX Group, Inc.2010-05-06T00:00:00-07:002010-05-06T00:00:00-07:002010-10645Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-06/pdf/2010-10645.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/06/2010-10600.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Make a Technical Adjustment to Its Rules To Allow Sub-Penny Quoting of Certain Securities2010-05-06T00:00:00-07:002010-05-06T00:00:00-07:002010-10600Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-06/pdf/2010-10600.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/06/2010-10599.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Mid-Point Passive Liquidity Order2010-05-06T00:00:00-07:002010-05-06T00:00:00-07:002010-10599Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-06/pdf/2010-10599.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/06/2010-10598.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Rule Change Amending Its Fee Schedule2010-05-06T00:00:00-07:002010-05-06T00:00:00-07:002010-10598Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-06/pdf/2010-10598.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/06/2010-10597.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Establish New Fee for TotalView Service Available to Non-Professionals and To Establish an Optional Non-Display Usage Cap for Internal Distributors of TotalView2010-05-06T00:00:00-07:002010-05-06T00:00:00-07:002010-10597Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-06/pdf/2010-10597.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/06/2010-10596.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the Financial Industry Regulatory Authority, Inc. Concerning Ballista Securities LLC2010-05-06T00:00:00-07:002010-05-06T00:00:00-07:002010-10596Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-06/pdf/2010-10596.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/06/2010-10595.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services2010-05-06T00:00:00-07:002010-05-06T00:00:00-07:002010-10595Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-06/pdf/2010-10595.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/06/2010-10594.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow FINRA Members To Use the OTC Reporting Facility To Transfer Transaction Fees Charged by One Member to Another Member2010-05-06T00:00:00-07:002010-05-06T00:00:00-07:002010-10594Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-06/pdf/2010-10594.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/06/2010-10593.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Amend the By-Laws of The NASDAQ OMX Group, Inc.2010-05-06T00:00:00-07:002010-05-06T00:00:00-07:002010-10593Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-06/pdf/2010-10593.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/06/2010-10592.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending the Listing and Trading of ETFS Palladium Trust and ETFS Platinum Trust2010-05-06T00:00:00-07:002010-05-06T00:00:00-07:002010-10592Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-06/pdf/2010-10592.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/05/2010-10491.htmlNotice - Order Making Fiscal Year 2011 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b), and 31(c) of the Securities Exchange Act of 19342010-05-05T00:00:00-07:002010-05-05T00:00:00-07:002010-10491Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-05/pdf/2010-10491.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/05/2010-10459.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Certain Order Routing and Market-Maker Rules2010-05-05T00:00:00-07:002010-05-05T00:00:00-07:002010-10459Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-05/pdf/2010-10459.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/05/2010-10458.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Commentary to Rule 915 and Rule 9162010-05-05T00:00:00-07:002010-05-05T00:00:00-07:002010-10458Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-05/pdf/2010-10458.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/04/2010-10490.htmlNotice - Sunshine Act Meeting2010-05-04T00:00:00-07:002010-05-04T00:00:00-07:002010-10490Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-04/pdf/2010-10490.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/04/2010-10363.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule Issued Pursuant to Exchange Rule 16.1(c) With Respect to the Liquidity Adding Rebate for Securities Priced Under One Dollar2010-05-04T00:00:00-07:002010-05-04T00:00:00-07:002010-10363Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-04/pdf/2010-10363.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/04/2010-10309.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend the By-Laws of The NASDAQ OMX Group, Inc.2010-05-04T00:00:00-07:002010-05-04T00:00:00-07:002010-10309Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-04/pdf/2010-10309.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/04/2010-10301.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market, LLC To Amend the By-Laws of The NASDAQ OMX Group, Inc.2010-05-04T00:00:00-07:002010-05-04T00:00:00-07:002010-10301Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-04/pdf/2010-10301.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/04/2010-10300.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities2010-05-04T00:00:00-07:002010-05-04T00:00:00-07:002010-10300Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-04/pdf/2010-10300.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/04/2010-10275.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ Stock Market LLC Relating to the Opening of Trading in the NASDAQ Options Market2010-05-04T00:00:00-07:002010-05-04T00:00:00-07:002010-10275Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-04/pdf/2010-10275.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/03/2010-8282.htmlProposed Rule - Asset-Backed Securities2010-05-03T00:00:00-07:002010-05-03T00:00:00-07:002010-8282Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-03/pdf/2010-8282.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/03/2010-10252.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities2010-05-03T00:00:00-07:002010-05-03T00:00:00-07:002010-10252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-03/pdf/2010-10252.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/03/2010-10215.htmlNotice - Proposed Collection; Comment Request2010-05-03T00:00:00-07:002010-05-03T00:00:00-07:002010-10215Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-03/pdf/2010-10215.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/03/2010-10214.htmlNotice - Proposed Collection; Comment Request2010-05-03T00:00:00-07:002010-05-03T00:00:00-07:002010-10214Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-03/pdf/2010-10214.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/03/2010-10213.htmlNotice - Proposed Collection; Comment Request2010-05-03T00:00:00-07:002010-05-03T00:00:00-07:002010-10213Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-03/pdf/2010-10213.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/03/2010-10212.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change To List and Trade Options on the ETFS Palladium Trust and the ETFS Platinum Trust2010-05-03T00:00:00-07:002010-05-03T00:00:00-07:002010-10212Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-03/pdf/2010-10212.pdfhttps://regulations.justia.com/regulations/fedreg/2010/05/03/2010-10211.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to QNET Sector Index Option Fees2010-05-03T00:00:00-07:002010-05-03T00:00:00-07:002010-10211Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-05-03/pdf/2010-10211.pdf