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

Results 101 - 150 of 187
Sunshine Act Meeting
Document Number: 2010-17057
Type: Notice
Date: 2010-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/12/2010-17057.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRA Rulebook
Document Number: 2010-16866
Type: Notice
Date: 2010-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/12/2010-16866.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Arca, Inc. Amending Its Fee Schedule
Document Number: 2010-16852
Type: Notice
Date: 2010-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/12/2010-16852.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To List Options on Trust Issued Receipts in $1 Strike Intervals
Document Number: 2010-16851
Type: Notice
Date: 2010-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/12/2010-16851.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Expand Its $1 Strike Program
Document Number: 2010-16850
Type: Notice
Date: 2010-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/12/2010-16850.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Regarding Membership and Mutual Fund Services
Document Number: 2010-16847
Type: Notice
Date: 2010-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/12/2010-16847.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Routing Fees
Document Number: 2010-16846
Type: Notice
Date: 2010-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/12/2010-16846.html
Proposed Collection; Comment Request
Document Number: 2010-16841
Type: Notice
Date: 2010-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/12/2010-16841.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. To Amend the Bylaws of NYSE Euronext To Adopt a Majority Voting Standard in Uncontested Elections of Directors
Document Number: C1-2010-16106
Type: Notice
Date: 2010-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/09/C1-2010-16106.html
Sunshine Act Meeting
Document Number: 2010-16888
Type: Notice
Date: 2010-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/09/2010-16888.html
Nationwide Life Insurance Company,et al.; Notice of Application
Document Number: 2010-16754
Type: Notice
Date: 2010-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/09/2010-16754.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the International Securities Exchange, LLC To Expand and Permanently Establish Its Short Term Option Series Program
Document Number: 2010-16749
Type: Notice
Date: 2010-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/09/2010-16749.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand Its $1 Strike Program
Document Number: 2010-16748
Type: Notice
Date: 2010-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/09/2010-16748.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGX Fee Schedule To Impose Fees for Physical Ports Used To Connect to EDGX Exchange
Document Number: 2010-16747
Type: Notice
Date: 2010-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/09/2010-16747.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGA Fee Schedule To Impose Fees for Physical Ports Used To Connect to EDGA Exchange
Document Number: 2010-16746
Type: Notice
Date: 2010-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/09/2010-16746.html
Elimination of Flash Order Exception From Rule 602 of Regulation NMS
Document Number: 2010-16698
Type: Proposed Rule
Date: 2010-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is reopening the period for public comment on a proposal to eliminate the flash order exception with respect to listed options from Rule 602 of Regulation NMS under the Securities Exchange Act of 1934 (``Exchange Act''). The proposal originally was published in Securities Exchange Act Release No. 60684 (September 18, 2009), 74 FR 48632 (September 23, 2009).
https://regulations.justia.com/regulations/fedreg/2010/07/09/2010-16698.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand Its $1 Strike Program
Document Number: 2010-16688
Type: Notice
Date: 2010-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/09/2010-16688.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed FINRA Rule 6490 (Processing of Company-Related Actions) To Clarify the Scope of FINRA's Authority When Processing Documents Related to Announcements for Company-Related Actions for Non-Exchange Listed Securities and To Implement Fees for Such Services
Document Number: 2010-16687
Type: Notice
Date: 2010-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/09/2010-16687.html
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: 2010-16686
Type: Notice
Date: 2010-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/09/2010-16686.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Financial Industry Regulatory Authority, Inc. Online Form NMA
Document Number: 2010-16685
Type: Notice
Date: 2010-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/09/2010-16685.html
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Approval of Proposed Rule Change To Expand Its $1 Strike Program to 150 Classes
Document Number: 2010-16682
Type: Notice
Date: 2010-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/09/2010-16682.html
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 Members
Document Number: 2010-16669
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16669.html
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 Schedule
Document Number: 2010-16668
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16668.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Additional Underlying Interests for Commodity Futures and Commodity Options Available to ELX Futures, L.P. for Clearing and Settlement Services
Document Number: 2010-16667
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16667.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change To Extend the Last Sale Data Feeds Pilot Program
Document Number: 2010-16567
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16567.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fees for Use of EDGA Exchange, Inc.
Document Number: 2010-16566
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16566.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fees for Use of EDGX Exchange, Inc.
Document Number: 2010-16563
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16563.html
Submission for OMB Review; Comment Request
Document Number: 2010-16547
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16547.html
Submission for OMB Review; Comment Request
Document Number: 2010-16546
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16546.html
Submission for OMB Review; Comment Request
Document Number: 2010-16545
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16545.html
Submission for OMB Review; Comment Request
Document Number: 2010-16544
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16544.html
Submission for OMB Review; Comment Request
Document Number: 2010-16543
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16543.html
Submission for OMB Review; Comment Request
Document Number: 2010-16542
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16542.html
Submission for OMB Review; Comment Request
Document Number: 2010-16541
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16541.html
Submission for OMB Review; Comment Request
Document Number: 2010-16540
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16540.html
Submission for OMB Review; Comment Request
Document Number: 2010-16539
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16539.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fee Schedule
Document Number: 2010-16538
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16538.html
Submission for OMB Review; Comment Request
Document Number: 2010-16537
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16537.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Market Maker Authorized Traders
Document Number: 2010-16536
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16536.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, Entitled “Order Execution”
Document Number: 2010-16535
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16535.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Options Floor Broker Subsidy
Document Number: 2010-16534
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16534.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX LLC Agreement
Document Number: 2010-16533
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16533.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List and Trade Shares of the ETFS Precious Metals Basket Trust
Document Number: 2010-16532
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16532.html
Self-Regulatory Organization; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by OneChicago Amending Position Limits
Document Number: 2010-16429
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16429.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Rule 2102 To Add Additional Securities to the Pilot Rule
Document Number: 2010-16413
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16413.html
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 Volatility.”
Document Number: 2010-16412
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16412.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Document Number: 2010-16411
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16411.html
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 Volatility”
Document Number: 2010-16410
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16410.html
Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend IM-4120-3
Document Number: 2010-16409
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16409.html
Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by The NASDAQ Stock Market LLC to Amend NASDAQ Rule 4120(a)(11) To Add Securities Included in the Russell 1000® Index (“Russell 1000”) and Specified Exchange Traded Products (“ETP”) to the Pilot Rule
Document Number: 2010-16408
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16408.html
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