Securities and Exchange Commission July 30, 2010 – Federal Register Recent Federal Regulation Documents

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Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Payments that CBOE Makes to CBOE Trading Permit Holders that Participate in a Program Under Which CBOE Subsidizes the Costs of Providing and/or Using Certain Order Routing Functionalities

Document Number: C1-2010-16686

Type: Notice

Date: 2010-07-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2010/07/30/C1-2010-16686.html

Study Regarding Obligations of Brokers, Dealers, and Investment Advisers

Document Number: 2010-18753

Type: Notice

Date: 2010-07-30

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission is requesting public comment for a study to evaluate: The effectiveness of existing legal or regulatory standards of care for brokers, dealers, investment advisers, and persons associated with them when providing personalized investment advice and recommendations about securities to retail investors; and whether there are gaps, shortcomings, or overlaps in legal or regulatory standards in the protection of retail customers relating to the standards of care for these intermediaries.

https://regulations.justia.com/regulations/fedreg/2010/07/30/2010-18753.html

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Foreign Currency Options Orders Fee Discount for Market Makers and Non-ISE Market Makers

Document Number: 2010-18724

Type: Notice

Date: 2010-07-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2010/07/30/2010-18724.html