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

Results 151 - 187 of 187
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending NYSE Arca Equities Rule 7.11 To Add Additional Securities to the Pilot Rule
Document Number: 2010-16407
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16407.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 80C To Add Additional Securities to the Pilot Rule
Document Number: 2010-16406
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16406.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 80C To Add Additional Securities to the Pilot Rule
Document Number: 2010-16405
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16405.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Include Additional Securities in the Trading Halt Pilot Program Under Exchange Rule 11.20B
Document Number: 2010-16404
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16404.html
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
Document Number: 2010-16403
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16403.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the List of Securities Subject to an Individual Circuit Breaker
Document Number: 2010-16402
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16402.html
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.”
Document Number: 2010-16401
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16401.html
Self[dash]Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 0 To Provide That Certain References in Exchange Rules Should Be Understood To Also Include FINRA, as Applicable
Document Number: C1-2010-15649
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/C1-2010-15649.html
Sunshine Act Meeting
Document Number: 2010-16452
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16452.html
Proposed Collection; Comment Request
Document Number: 2010-16310
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16310.html
Proposed Collection; Comment Request
Document Number: 2010-16309
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16309.html
Proposed Collection; Comment Request
Document Number: 2010-16308
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16308.html
Proposed Collection; Comment Request
Document Number: 2010-16307
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16307.html
Proposed Collection; Comment Request
Document Number: 2010-16306
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16306.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services
Document Number: 2010-16291
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16291.html
Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Free Trial Period for the Use of Correlix, Inc. Data Latency Products in the NASDAQ Market Center
Document Number: 2010-16290
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16290.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to Pricing for Direct Circuit Connections
Document Number: 2010-16289
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16289.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rule 405(4)-NYSE Amex Equities to Correspond with Rule Changes of the Financial Industry Regulatory Authority, Inc.
Document Number: C1-2010-14360
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/C1-2010-14360.html
Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Options on Conventional Index-Linked Securities and Amendment to the Options Disclosure Document Inside Front Cover
Document Number: C1-2010-12986
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/C1-2010-12986.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Relating to Fees for the ISE Order Feed
Document Number: 2010-16147
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16147.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services
Document Number: 2010-16146
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16146.html
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services
Document Number: 2010-16145
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16145.html
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change Relating to Pricing for Direct Circuit Connections
Document Number: 2010-16144
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16144.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to Pricing for Direct Circuit Connections
Document Number: 2010-16143
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16143.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List Options on Trust Issued Receipts in $1 Strike Intervals
Document Number: 2010-16142
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16142.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Establishment of the Initial Fees for Post-Demutualization Trading Permits, Tier Appointment and Bandwidth Packets
Document Number: 2010-16141
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16141.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain Rule Text Which Has Been Made Unnecessary Due to the Decommissioning of the OCC Hub
Document Number: 2010-16124
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16124.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance the Process for Transfers Through the Automated Customer Account Transfer Service
Document Number: 2010-16108
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16108.html
Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of Proposed Rule Change To Revise Its Procedures Regarding Securities Delivered To or From Participant Accounts Through the Automated Customer Account Transfer Service of National Securities Clearing Corporation
Document Number: 2010-16107
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16107.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: 2010-16106
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16106.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Amend the Bylaws of NYSE Euronext To Adopt a Majority Voting Standard in Uncontested Elections of Directors
Document Number: 2010-16105
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16105.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2010-16038
Type: Notice
Date: 2010-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Each applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicants have never made a public offering of their securities and do not propose to make a public offering or engage in business of any kind.
https://regulations.justia.com/regulations/fedreg/2010/07/01/2010-16038.html
Korea Finance Corporation; Notice of Application
Document Number: 2010-15999
Type: Notice
Date: 2010-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicant, a policy finance institution established by the government of the Republic of Korea (the ``Korean Government'') requests an order exempting it from all provisions of the Act in connection with the offer and sale of its debt securities in the United States (``Debt Securities'').
https://regulations.justia.com/regulations/fedreg/2010/07/01/2010-15999.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Conforming Changes in Connection With Demutualization
Document Number: 2010-15998
Type: Notice
Date: 2010-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/01/2010-15998.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Establish the Nasdaq Short Sale Volume and Monthly Short Sale Transaction Service and Related Fees
Document Number: 2010-15997
Type: Notice
Date: 2010-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/01/2010-15997.html
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for FLEX Equity Options
Document Number: 2010-15996
Type: Notice
Date: 2010-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/01/2010-15996.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Deletion of Obsolete CBOE Rule 2.50
Document Number: 2010-15995
Type: Notice
Date: 2010-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/01/2010-15995.html
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