<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010/08/19?registers=between Sun, 12 May 2024 03:33:13 -0700 Sun, 12 May 2024 03:33:13 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010/08/19?registers=between Notice - Joint Public Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps and Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20591.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20591.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20591 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20591.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing Strike Price Intervals for Options on Trust Issued Receipts, Including Holding Company Depositary Receipts https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20554.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20554.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20554 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20554.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposal To Extend the Cut-Off Time To Submit Contrary Exercise Advices https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20553.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20553.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20553 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20553.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating To Extend the Cut-Off Time To Submit Contrary Exercise Advices and Make Some Clerical and Conforming Changes https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20552.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20552.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20552 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20552.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE AMEX LLC Amending Rule 980-Exercise of Options Contracts https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20550.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20550.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20550 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20550.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20537.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20537.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20537 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20537.pdf Notice - In the Matter of the Application of BATS Y-Exchange, Inc. for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20536.html https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20536.html Thu, 19 Aug 2010 00:00:00 -0700 2010-20536 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20536.pdf