Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010/05?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-22T22:06:00-07:00 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/2010/05/28/2010-13006.html Notice - Sunshine Act Meeting 2010-05-28T00:00:00-07:00 2010-05-28T00:00:00-07:00 2010-13006 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-13006.pdf https://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12936.html Notice - 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, Incorporated 2010-05-28T00:00:00-07:00 2010-05-28T00:00:00-07:00 2010-12936 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12936.pdf https://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12874.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Amending Its Schedule of Fees 2010-05-28T00:00:00-07:00 2010-05-28T00:00:00-07:00 2010-12874 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12874.pdf https://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12873.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Risk Management Interface 2010-05-28T00:00:00-07:00 2010-05-28T00:00:00-07:00 2010-12873 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12873.pdf https://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12872.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional Customer Fees 2010-05-28T00:00:00-07:00 2010-05-28T00:00:00-07:00 2010-12872 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12872.pdf https://regulations.justia.com/regulations/fedreg/2010/05/28/2010-12871.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. to Make Changes to Expand the $1 Strike Program 2010-05-28T00:00:00-07:00 2010-05-28T00:00:00-07:00 2010-12871 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-28/pdf/2010-12871.pdf https://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12876.html Notice - In the Matter of Act Clean Technologies, Inc.; Order of Suspension of Trading 2010-05-27T00:00:00-07:00 2010-05-27T00:00:00-07:00 2010-12876 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12876.pdf https://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12748.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change Relating to Quote Spread Parameters and Batching of Violations 2010-05-27T00:00:00-07:00 2010-05-27T00:00:00-07:00 2010-12748 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12748.pdf https://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12747.html Notice - 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 Rule 2010-05-27T00:00:00-07:00 2010-05-27T00:00:00-07:00 2010-12747 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12747.pdf https://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12746.html Notice - 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. 2010-05-27T00:00:00-07:00 2010-05-27T00:00:00-07:00 2010-12746 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12746.pdf https://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12745.html Notice - 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. 2010-05-27T00:00:00-07:00 2010-05-27T00:00:00-07:00 2010-12745 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12745.pdf https://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12694.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Applicability of Fees 2010-05-27T00:00:00-07:00 2010-05-27T00:00:00-07:00 2010-12694 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12694.pdf https://regulations.justia.com/regulations/fedreg/2010/05/27/2010-12693.html Notice - 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 Receipts 2010-05-27T00:00:00-07:00 2010-05-27T00:00:00-07:00 2010-12693 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-27/pdf/2010-12693.pdf https://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12625.html Notice - 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 System 2010-05-26T00:00:00-07:00 2010-05-26T00:00:00-07:00 2010-12625 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12625.pdf https://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12555.html Notice - Submission for OMB Review; Comment Request 2010-05-26T00:00:00-07:00 2010-05-26T00:00:00-07:00 2010-12555 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12555.pdf https://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12554.html Notice - Submission for OMB Review; Comment Request 2010-05-26T00:00:00-07:00 2010-05-26T00:00:00-07:00 2010-12554 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12554.pdf https://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12553.html Notice - 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 Options 2010-05-26T00:00:00-07:00 2010-05-26T00:00:00-07:00 2010-12553 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12553.pdf https://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12552.html 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 2010-05-26T00:00:00-07:00 2010-05-26T00:00:00-07:00 2010-12552 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12552.pdf https://regulations.justia.com/regulations/fedreg/2010/05/26/2010-12551.html Notice - 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 Requirements 2010-05-26T00:00:00-07:00 2010-05-26T00:00:00-07:00 2010-12551 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-26/pdf/2010-12551.pdf https://regulations.justia.com/regulations/fedreg/2010/05/25/2010-12508.html Notice - 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 Function 2010-05-25T00:00:00-07:00 2010-05-25T00:00:00-07:00 2010-12508 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-25/pdf/2010-12508.pdf https://regulations.justia.com/regulations/fedreg/2010/05/25/2010-12507.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Corporate Structure 2010-05-25T00:00:00-07:00 2010-05-25T00:00:00-07:00 2010-12507 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-25/pdf/2010-12507.pdf https://regulations.justia.com/regulations/fedreg/2010/05/25/2010-12506.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Fees for the ISE Order Feed 2010-05-25T00:00:00-07:00 2010-05-25T00:00:00-07:00 2010-12506 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-25/pdf/2010-12506.pdf https://regulations.justia.com/regulations/fedreg/2010/05/25/2010-12495.html Notice - 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 Fees 2010-05-25T00:00:00-07:00 2010-05-25T00:00:00-07:00 2010-12495 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-25/pdf/2010-12495.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12426.html Notice - 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) 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12426 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12426.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12425.html Notice - 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 Volatility 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12425 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12425.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12424.html Notice - 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 11.20 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12424 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12424.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12423.html Notice - 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 Index 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12423 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12423.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12422.html Notice - 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 Period 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12422 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12422.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12421.html Notice - 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 More 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12421 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12421.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12419.html Notice - 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 More 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12419 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12419.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12418.html Notice - 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 More 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12418 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12418.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12417.html Notice - 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 More 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12417 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12417.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12416.html Notice - 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-4120-3 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12416 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12416.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12414.html Notice - 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” 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12414 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12414.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12413.html Notice - 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” 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12413 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12413.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12412.html Notice - 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” 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12412 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12412.pdf https://regulations.justia.com/regulations/fedreg/2010/05/24/2010-12373.html Notice - 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 Comment 2010-05-24T00:00:00-07:00 2010-05-24T00:00:00-07:00 2010-12373 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-24/pdf/2010-12373.pdf https://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12369.html Notice - Sunshine Act Meeting 2010-05-21T00:00:00-07:00 2010-05-21T00:00:00-07:00 2010-12369 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12369.pdf https://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12366.html Notice - Sunshine Act Meetings 2010-05-21T00:00:00-07:00 2010-05-21T00:00:00-07:00 2010-12366 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12366.pdf https://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12303.html Notice - Market Structure Roundtable 2010-05-21T00:00:00-07:00 2010-05-21T00:00:00-07:00 2010-12303 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12303.pdf https://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12301.html Notice - Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues 2010-05-21T00:00:00-07:00 2010-05-21T00:00:00-07:00 2010-12301 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12301.pdf https://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12261.html Notice - Submission for OMB Review; Comment Request 2010-05-21T00:00:00-07:00 2010-05-21T00:00:00-07:00 2010-12261 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12261.pdf https://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12260.html Notice - Kinetics Mutual Funds, Inc., et al.; Notice of Application 2010-05-21T00:00:00-07:00 2010-05-21T00:00:00-07:00 2010-12260 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12260.pdf https://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12227.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional Routing Fees 2010-05-21T00:00:00-07:00 2010-05-21T00:00:00-07:00 2010-12227 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12227.pdf https://regulations.justia.com/regulations/fedreg/2010/05/21/2010-12226.html Notice - 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” 2010-05-21T00:00:00-07:00 2010-05-21T00:00:00-07:00 2010-12226 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-21/pdf/2010-12226.pdf https://regulations.justia.com/regulations/fedreg/2010/05/20/2010-12228.html Notice - Sunshine Act Meeting 2010-05-20T00:00:00-07:00 2010-05-20T00:00:00-07:00 2010-12228 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-20/pdf/2010-12228.pdf https://regulations.justia.com/regulations/fedreg/2010/05/20/2010-12068.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 502(k) 2010-05-20T00:00:00-07:00 2010-05-20T00:00:00-07:00 2010-12068 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-20/pdf/2010-12068.pdf https://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11944.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Suspension of Seat Market 2010-05-19T00:00:00-07:00 2010-05-19T00:00:00-07:00 2010-11944 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11944.pdf https://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11941.html Notice - 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 Trading 2010-05-19T00:00:00-07:00 2010-05-19T00:00:00-07:00 2010-11941 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11941.pdf https://regulations.justia.com/regulations/fedreg/2010/05/19/2010-11940.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Clearing Options on the CBOE Gold ETF Volatility Index 2010-05-19T00:00:00-07:00 2010-05-19T00:00:00-07:00 2010-11940 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-05-19/pdf/2010-11940.pdf