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

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.
Northern Funds, et al.; Notice of Application
Document Number: 2010-18675
Type: Notice
Date: 2010-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
Document Number: 2010-18584
Type: Notice
Date: 2010-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions, Commodity Futures Trading Commission
The Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues will hold a public meeting on August 11, 2010, from 9 a.m. to 1 p.m., at the CFTC's Washington, DC headquarters. At the meeting, the committee will continue its examination of the market events of May 6, 2010.
Proposed Collection; Comment Request
Document Number: 2010-18447
Type: Notice
Date: 2010-07-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Request for Public Comment; Comment Request
Document Number: 2010-18446
Type: Notice
Date: 2010-07-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2010-18445
Type: Notice
Date: 2010-07-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2010-18444
Type: Notice
Date: 2010-07-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2010-18443
Type: Notice
Date: 2010-07-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2010-18451
Type: Notice
Date: 2010-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Goldman, Sachs & Co., et al.; Notice of Application and Temporary Order
Document Number: 2010-18313
Type: Notice
Date: 2010-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; EDGX Exchange, Inc; Order Approving a Proposed Rule Change Relating to Direct Edge, Inc.
Document Number: 2010-18158
Type: Notice
Date: 2010-07-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2010-18210
Type: Notice
Date: 2010-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2010-18072
Type: Notice
Date: 2010-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2010-18071
Type: Notice
Date: 2010-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.