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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-04-28T11:15:51-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21857.html Notice - Sunshine Act Meeting 2010-08-31T00:00:00-07:00 2010-08-31T00:00:00-07:00 2010-21857 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21857.pdf https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21798.html Notice - Sunshine Act Meeting 2010-08-31T00:00:00-07:00 2010-08-31T00:00:00-07:00 2010-21798 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21798.pdf https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21678.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Provide Clarity With Respect to the Close Out Netting of the Government Securities Division in the Event of the Fixed Income Clearing Corporation's Default or Insolvency 2010-08-31T00:00:00-07:00 2010-08-31T00:00:00-07:00 2010-21678 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21678.pdf https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21674.html Notice - Aston Funds, et al.; Notice of Application 2010-08-31T00:00:00-07:00 2010-08-31T00:00:00-07:00 2010-21674 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21674.pdf https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21631.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees, the Monthly Cap and Electronic Auctions 2010-08-31T00:00:00-07:00 2010-08-31T00:00:00-07:00 2010-21631 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21631.pdf https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21630.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; NASDAQ OMX BX, Inc.; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility 2010-08-31T00:00:00-07:00 2010-08-31T00:00:00-07:00 2010-21630 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21630.pdf https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21625.html Notice - The Integrity Funds, et al.; Notice of Application 2010-08-31T00:00:00-07:00 2010-08-31T00:00:00-07:00 2010-21625 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21625.pdf https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21606.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Outside Business Activities of Registered Persons 2010-08-31T00:00:00-07:00 2010-08-31T00:00:00-07:00 2010-21606 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21606.pdf https://regulations.justia.com/regulations/fedreg/2010/08/30/2010-21474.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Trade Reporting 2010-08-30T00:00:00-07:00 2010-08-30T00:00:00-07:00 2010-21474 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-30/pdf/2010-21474.pdf https://regulations.justia.com/regulations/fedreg/2010/08/30/2010-21473.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Change to the Automated Opening System 2010-08-30T00:00:00-07:00 2010-08-30T00:00:00-07:00 2010-21473 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-30/pdf/2010-21473.pdf https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21342.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the CBOE Stock Exchange Fee Schedule To Change the Transaction Fees for 24 Securities 2010-08-27T00:00:00-07:00 2010-08-27T00:00:00-07:00 2010-21342 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-27/pdf/2010-21342.pdf https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21308.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, To Enhance the Interest Rate and Descriptive Information Currently Collected and Made Transparent by the MSRB on Municipal Auction Rate Securities and Variable Rate Demand Obligations 2010-08-27T00:00:00-07:00 2010-08-27T00:00:00-07:00 2010-21308 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-27/pdf/2010-21308.pdf https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21307.html Notice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates 2010-08-27T00:00:00-07:00 2010-08-27T00:00:00-07:00 2010-21307 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-27/pdf/2010-21307.pdf https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21335.html Notice - Sunshine Act Meeting 2010-08-26T00:00:00-07:00 2010-08-26T00:00:00-07:00 2010-21335 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21335.pdf https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21228.html 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; Correction 2010-08-26T00:00:00-07:00 2010-08-26T00:00:00-07:00 2010-21228 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21228.pdf https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21201.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Reinstitute Short Exempt Marking for Trade Reporting and OATS 2010-08-26T00:00:00-07:00 2010-08-26T00:00:00-07:00 2010-21201 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21201.pdf https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21200.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of Proposed Rule Change To Modify the Rules of the Government Securities Division Regarding the Calculation of Clearing Fund Deposits Relating to Inter-Dealer Broker Positions 2010-08-26T00:00:00-07:00 2010-08-26T00:00:00-07:00 2010-21200 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21200.pdf https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21178.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee 2010-08-26T00:00:00-07:00 2010-08-26T00:00:00-07:00 2010-21178 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21178.pdf https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21177.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee 2010-08-26T00:00:00-07:00 2010-08-26T00:00:00-07:00 2010-21177 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21177.pdf https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21176.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; NASDAQ OMX BX, Inc.; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; Correction 2010-08-26T00:00:00-07:00 2010-08-26T00:00:00-07:00 2010-21176 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21176.pdf https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21095.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearly Erroneous Transactions 2010-08-25T00:00:00-07:00 2010-08-25T00:00:00-07:00 2010-21095 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21095.pdf https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21094.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Clearly Erroneous Transactions 2010-08-25T00:00:00-07:00 2010-08-25T00:00:00-07:00 2010-21094 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21094.pdf https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21082.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change Relating to the Continuing Disclosure Service of the MSRB Electronic Municipal Market Access (EMMA) System 2010-08-25T00:00:00-07:00 2010-08-25T00:00:00-07:00 2010-21082 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21082.pdf https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21035.html Notice - Proposed Collection; Comment Request 2010-08-25T00:00:00-07:00 2010-08-25T00:00:00-07:00 2010-21035 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21035.pdf https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21034.html Notice - Submission for OMB Review; Comment Request 2010-08-25T00:00:00-07:00 2010-08-25T00:00:00-07:00 2010-21034 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21034.pdf https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21033.html Notice - Proposed Collection; Comment Request 2010-08-25T00:00:00-07:00 2010-08-25T00:00:00-07:00 2010-21033 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21033.pdf https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21032.html Notice - Submission for OMB Review; Comment Request 2010-08-25T00:00:00-07:00 2010-08-25T00:00:00-07:00 2010-21032 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21032.pdf https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21031.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks 2010-08-25T00:00:00-07:00 2010-08-25T00:00:00-07:00 2010-21031 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21031.pdf https://regulations.justia.com/regulations/fedreg/2010/08/24/2010-21001.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities 2010-08-24T00:00:00-07:00 2010-08-24T00:00:00-07:00 2010-21001 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-24/pdf/2010-21001.pdf https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-21000.html Notice - Sunshine Act Meeting 2010-08-23T00:00:00-07:00 2010-08-23T00:00:00-07:00 2010-21000 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-21000.pdf https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20999.html Notice - Privacy Act of 1974: Systems of Records 2010-08-23T00:00:00-07:00 2010-08-23T00:00:00-07:00 2010-20999 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20999.pdf https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20927.html Notice - Sunshine Act Meeting 2010-08-23T00:00:00-07:00 2010-08-23T00:00:00-07:00 2010-20927 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20927.pdf https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20820.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Regarding Routing to an Affiliated Exchange 2010-08-23T00:00:00-07:00 2010-08-23T00:00:00-07:00 2010-20820 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20820.pdf https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20819.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to Listing of the Wilshire Micro-Cap ETF 2010-08-23T00:00:00-07:00 2010-08-23T00:00:00-07:00 2010-20819 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20819.pdf https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20818.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Rule 4770 in Its Entirety and To Eliminate a Related Reference From the Rules 2010-08-23T00:00:00-07:00 2010-08-23T00:00:00-07:00 2010-20818 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20818.pdf https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20817.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change To Establish a Subscription To the Information Collected by the MSRB's Short-term Obligation Rate Transparency (“SHORT”) System 2010-08-23T00:00:00-07:00 2010-08-23T00:00:00-07:00 2010-20817 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20817.pdf https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20816.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving 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 2010-08-23T00:00:00-07:00 2010-08-23T00:00:00-07:00 2010-20816 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20816.pdf https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20815.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Enhance the Process for Transfers Through the Automated Customer Account Transfer Service 2010-08-23T00:00:00-07:00 2010-08-23T00:00:00-07:00 2010-20815 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20815.pdf https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20682.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Its Price List To Reflect Fees Charged for Co-Location Services 2010-08-20T00:00:00-07:00 2010-08-20T00:00:00-07:00 2010-20682 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20682.pdf https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20681.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Its Price List To Reflect Fees Charged for Co-Location Services 2010-08-20T00:00:00-07:00 2010-08-20T00:00:00-07:00 2010-20681 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20681.pdf https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20673.html Notice - WisdomTree Asset Management, Inc., and WisdomTree Trust; Notice of Application 2010-08-20T00:00:00-07:00 2010-08-20T00:00:00-07:00 2010-20673 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20673.pdf https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20658.html Notice - Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by the NASDAQ Stock Market LLC To Adopt a Definition of Professional and Require That All Professional Orders Be Appropriately Marked 2010-08-20T00:00:00-07:00 2010-08-20T00:00:00-07:00 2010-20658 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20658.pdf https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20567.html Proposed Rule - Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act 2010-08-20T00:00:00-07:00 2010-08-20T00:00:00-07:00 2010-20567 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20567.pdf https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20591.html Notice - Joint Public Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps and Security-Based Swaps 2010-08-19T00:00:00-07:00 2010-08-19T00:00:00-07:00 2010-20591 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20591.pdf https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20554.html 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 2010-08-19T00:00:00-07:00 2010-08-19T00:00:00-07:00 2010-20554 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20554.pdf https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20553.html 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 2010-08-19T00:00:00-07:00 2010-08-19T00:00:00-07:00 2010-20553 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20553.pdf https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20552.html 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 2010-08-19T00:00:00-07:00 2010-08-19T00:00:00-07:00 2010-20552 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20552.pdf https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20550.html 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 2010-08-19T00:00:00-07:00 2010-08-19T00:00:00-07:00 2010-20550 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20550.pdf https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20537.html 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 2010-08-19T00:00:00-07:00 2010-08-19T00:00:00-07:00 2010-20537 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20537.pdf https://regulations.justia.com/regulations/fedreg/2010/08/19/2010-20536.html 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 2010-08-19T00:00:00-07:00 2010-08-19T00:00:00-07:00 2010-20536 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-19/pdf/2010-20536.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20548.html Notice - In the Matter of Four Crystal Funding, Inc.; Order of Suspension of Trading 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20548 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20548.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20474.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 3.13 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20474 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20474.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20473.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA Rule 2360 To Extend the Time To Submit a Contrary Exercise Advice and the Time for a Final Exercise Decision in the Event of a Modified Close of Trading 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20473 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20473.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20472.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC To Amend Exchange Rules Related to the Cut-off Time for Contrary Exercise Advice Submissions 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20472 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20472.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20471.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Amend Exchange Rules Related to the Cut-Off Time for Contrary Exercise Advice Submissions 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20471 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20471.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20470.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.24 Exercise of Options Contracts 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20470 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20470.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20468.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 23.1, Entitled “Exercise of Options Contracts” 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20468 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20468.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20467.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Consisting of (i) Amendments to Rule G-8 (Books and Records To Be Made by Brokers, Dealers and Municipal Securities Dealers), Rule G-9 (Preservation of Records), and Rule G-11 (New Issue Syndicate Practices); (ii) a Proposed Interpretation of Rule G-17 (Conduct of Municipal Securities Activities); and (iii) the Deletion of a Previous Rule G-17 Interpretive Notice 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20467 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20467.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20407.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Schedule and Circular Regarding Trading Permit Holder Application and Other Related Fees 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20407 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20407.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20406.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Trading Options on a Reduced Value of the DAX Index, Including Long-Term Options 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20406 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20406.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20374.html Notice - Submission for OMB Review; Comment Request 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20374 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20374.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20373.html Notice - Submission for OMB Review; Comment Request 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20373 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20373.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20371.html Notice - Submission for OMB Review; Comment Request 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20371 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20371.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20370.html Notice - Submission for OMB Review; Comment Request 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20370 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20370.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20369.html Notice - Submission for OMB Review; Comment Request 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20369 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20369.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20368.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 3.13 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20368 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20368.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20366.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; NASDAQ OMX BX, Inc.; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20366 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20366.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20365.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule Change To Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20365 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20365.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20358.html Notice - Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20358 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20358.pdf https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20357.html Notice - Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers 2010-08-18T00:00:00-07:00 2010-08-18T00:00:00-07:00 2010-20357 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20357.pdf https://regulations.justia.com/regulations/fedreg/2010/08/17/C1-2010-19332.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Minor Rule Violation Plan 2010-08-17T00:00:00-07:00 2010-08-17T00:00:00-07:00 C1-2010-19332 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/C1-2010-19332.pdf https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20258.html Notice - Proposed Collection; Comment Request 2010-08-17T00:00:00-07:00 2010-08-17T00:00:00-07:00 2010-20258 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20258.pdf https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20257.html Notice - Proposed Collection; Comment Request 2010-08-17T00:00:00-07:00 2010-08-17T00:00:00-07:00 2010-20257 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20257.pdf https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20256.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the ETFS Precious Metals Basket Trust 2010-08-17T00:00:00-07:00 2010-08-17T00:00:00-07:00 2010-20256 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20256.pdf https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20240.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 15 To Clarify Use of the Last Sale on the Exchange as the Reference Price and To Define the Reference Price of a Security in the Event That There Is No Last Sale in That Security on the Exchange 2010-08-17T00:00:00-07:00 2010-08-17T00:00:00-07:00 2010-20240 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20240.pdf https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20239.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 15-NYSE Amex Equities To Clarify Use of the Last Sale on the Exchange as the Reference Price and To Define the Reference Price of a Security in the Event That There Is No Last Sale in That Security on the Exchange 2010-08-17T00:00:00-07:00 2010-08-17T00:00:00-07:00 2010-20239 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20239.pdf https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20259.html Notice - Atchison Casting Corp. (n/k/a Bradken-Atchison/St. Joseph, Inc.), CityFed Financial Corp., Divine, Inc. (n/k/a Enivid, Inc.), Genesis Worldwide, Inc., Hampton Consulting Corp., and Jake's Pizza International, Inc.; Order of Suspension of Trading 2010-08-16T00:00:00-07:00 2010-08-16T00:00:00-07:00 2010-20259 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20259.pdf https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20197.html Rule - Delegation of Authority to the Director of Its Division of Enforcement 2010-08-16T00:00:00-07:00 2010-08-16T00:00:00-07:00 2010-20197 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20197.pdf https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20182.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Promote Efficiencies Within the Legal Notice System 2010-08-16T00:00:00-07:00 2010-08-16T00:00:00-07:00 2010-20182 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20182.pdf https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20181.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Definition of Government Securities To Exclude Separate Trading of Registered Interest and Principal Securities on Treasury Inflation Protected Securities, Commonly Known as TIP-STRIPS 2010-08-16T00:00:00-07:00 2010-08-16T00:00:00-07:00 2010-20181 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20181.pdf https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20179.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Definition of the Term Representative 2010-08-16T00:00:00-07:00 2010-08-16T00:00:00-07:00 2010-20179 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20179.pdf https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20150.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending its Fee Schedule 2010-08-16T00:00:00-07:00 2010-08-16T00:00:00-07:00 2010-20150 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20150.pdf https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20149.html Notice - Self-Regulatory Organizations; NYSE Amex, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 995NY 2010-08-16T00:00:00-07:00 2010-08-16T00:00:00-07:00 2010-20149 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20149.pdf https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20147.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity 2010-08-16T00:00:00-07:00 2010-08-16T00:00:00-07:00 2010-20147 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20147.pdf https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20105.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to a Revenue Sharing Program With Correlix, Inc. 2010-08-16T00:00:00-07:00 2010-08-16T00:00:00-07:00 2010-20105 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20105.pdf https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20104.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to a Revenue Sharing Program with Correlix, Inc. 2010-08-16T00:00:00-07:00 2010-08-16T00:00:00-07:00 2010-20104 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20104.pdf https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20103.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving Proposed Rule Change to Amend the EDGX Fee Schedule to Impose Fees for Physical Ports Used To Connect To EDGX Exchange 2010-08-16T00:00:00-07:00 2010-08-16T00:00:00-07:00 2010-20103 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20103.pdf https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20102.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving Proposed Rule Change To Amend the EDGA Fee Schedule To Impose Fees for Physical Ports Used To Connect to EDGA Exchange 2010-08-16T00:00:00-07:00 2010-08-16T00:00:00-07:00 2010-20102 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20102.pdf https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20100.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a Proposed Price Improvement System, Price Improvement XL (PIXLSM 2010-08-16T00:00:00-07:00 2010-08-16T00:00:00-07:00 2010-20100 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20100.pdf https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-20003.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Its Fee Schedule 2010-08-13T00:00:00-07:00 2010-08-13T00:00:00-07:00 2010-20003 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-20003.pdf https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19973.html Notice - Proposed Collection; Comment Request 2010-08-13T00:00:00-07:00 2010-08-13T00:00:00-07:00 2010-19973 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-19973.pdf https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19972.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections 2010-08-13T00:00:00-07:00 2010-08-13T00:00:00-07:00 2010-19972 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-19972.pdf https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19971.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Billing Policies 2010-08-13T00:00:00-07:00 2010-08-13T00:00:00-07:00 2010-19971 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-19971.pdf https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19966.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 5190 (Notification Requirements for Offering Participants) 2010-08-13T00:00:00-07:00 2010-08-13T00:00:00-07:00 2010-19966 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-19966.pdf https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-20002.html Notice - In the Matter of Appiant Technologies, Inc., Cobalis Corp., FutureLink Corp., STM Wireless, Inc., Supermail International, Inc. (n/k/a PBHG, Inc.), and Women First Healthcare, Inc.; Order of Suspension of Trading 2010-08-12T00:00:00-07:00 2010-08-12T00:00:00-07:00 2010-20002 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-20002.pdf https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-20001.html Notice - In the Matter of Geotec, Inc., InnoPet Brands Corp., Marbledge Group, Inc. (n/k/a AR Growth Finance Corp.), Phlo Corp., Pliant Systems, Inc., Southeast Banking Corp., TNX Television Holdings, Inc., and WestPoint Stevens, Inc.; Order of Suspension of Trading 2010-08-12T00:00:00-07:00 2010-08-12T00:00:00-07:00 2010-20001 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-20001.pdf https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19854.html Notice - The Blackstone Group, LP; Notice of Application 2010-08-12T00:00:00-07:00 2010-08-12T00:00:00-07:00 2010-19854 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-19854.pdf https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19853.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Establish a Pilot Program to List P.M.-Settled End of Week and End of Month Expirations for Options on Broad-Based Indexes 2010-08-12T00:00:00-07:00 2010-08-12T00:00:00-07:00 2010-19853 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-19853.pdf https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19852.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of an Amended 17d-2 Plan Between the Financial Industry Regulatory Authority, Inc. and the Chicago Stock Exchange, Inc. 2010-08-12T00:00:00-07:00 2010-08-12T00:00:00-07:00 2010-19852 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-19852.pdf https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19617.html Rule - Amendments to Form ADV 2010-08-12T00:00:00-07:00 2010-08-12T00:00:00-07:00 2010-19617 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-19617.pdf https://regulations.justia.com/regulations/fedreg/2010/08/11/2010-19760.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule 2010-08-11T00:00:00-07:00 2010-08-11T00:00:00-07:00 2010-19760 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-11/pdf/2010-19760.pdf https://regulations.justia.com/regulations/fedreg/2010/08/11/2010-19759.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule 2010-08-11T00:00:00-07:00 2010-08-11T00:00:00-07:00 2010-19759 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-11/pdf/2010-19759.pdf https://regulations.justia.com/regulations/fedreg/2010/08/11/2010-19750.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 4160 (Verification of Assets) 2010-08-11T00:00:00-07:00 2010-08-11T00:00:00-07:00 2010-19750 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-11/pdf/2010-19750.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19716.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19716 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19716.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19658.html Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Change to Compliance Rule 2-30 and the Related Interpretive Notice Regarding Customer Information and Risk Disclosure 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19658 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19658.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19657.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Crossing Mechanisms 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19657 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19657.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19656.html Notice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter its Tiered Schedule of Fees and Rebates for Participants for Trade Executions of Single-Sided Orders in Securities Priced Over One Dollar 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19656 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19656.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19655.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Schedule 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19655 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19655.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19654.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rules of the Boston Options Exchange Group, LLC To Enable the Listing and Trading of Options on the Sprott Physical Gold Trust 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19654 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19654.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19652.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Post Regular Trading Hours Trading Session 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19652 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19652.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19651.html Notice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Order Cancellation Fee 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19651 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19651.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19650.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19650 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19650.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19649.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19649 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19649.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19646.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19646 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19646.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19605.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Making Permanent the Sponsored Access Pilot Program 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19605 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19605.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19604.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19604 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19604.pdf https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19603.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding 75 Options Classes to the Penny Pilot Program 2010-08-10T00:00:00-07:00 2010-08-10T00:00:00-07:00 2010-19603 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19603.pdf https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19713.html Notice - Sunshine Act Meeting 2010-08-09T00:00:00-07:00 2010-08-09T00:00:00-07:00 2010-19713 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19713.pdf https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19607.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of the Boston Options Exchange Facility 2010-08-09T00:00:00-07:00 2010-08-09T00:00:00-07:00 2010-19607 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19607.pdf https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19606.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change Relating to the National Quotation Dissemination Service 2010-08-09T00:00:00-07:00 2010-08-09T00:00:00-07:00 2010-19606 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19606.pdf https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19528.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee 2010-08-09T00:00:00-07:00 2010-08-09T00:00:00-07:00 2010-19528 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19528.pdf https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19527.html Notice - Kohlberg Capital Corporation; Notice of Application 2010-08-09T00:00:00-07:00 2010-08-09T00:00:00-07:00 2010-19527 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19527.pdf https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19519.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add 75 Classes to the Penny Pilot Program 2010-08-09T00:00:00-07:00 2010-08-09T00:00:00-07:00 2010-19519 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19519.pdf https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19505.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook 2010-08-09T00:00:00-07:00 2010-08-09T00:00:00-07:00 2010-19505 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19505.pdf https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19526.html Notice - Sunshine Act Meeting 2010-08-06T00:00:00-07:00 2010-08-06T00:00:00-07:00 2010-19526 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19526.pdf https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19434.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Listing and Trading of WisdomTree Dreyfus Commodity Currency Fund under NYSE Arca Equities Rule 8.600 2010-08-06T00:00:00-07:00 2010-08-06T00:00:00-07:00 2010-19434 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19434.pdf https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19373.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the ETFS White Metals Basket Trust 2010-08-06T00:00:00-07:00 2010-08-06T00:00:00-07:00 2010-19373 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19373.pdf https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19372.html Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Changes to Interpretive Notice Entitled “NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts” 2010-08-06T00:00:00-07:00 2010-08-06T00:00:00-07:00 2010-19372 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19372.pdf https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19371.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Seventy-Five Options Classes to the Penny Pilot Program 2010-08-06T00:00:00-07:00 2010-08-06T00:00:00-07:00 2010-19371 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19371.pdf https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19370.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Routing to Away Markets 2010-08-06T00:00:00-07:00 2010-08-06T00:00:00-07:00 2010-19370 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19370.pdf https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19334.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Seventy-Five Options Classes to the Penny Pilot Program 2010-08-06T00:00:00-07:00 2010-08-06T00:00:00-07:00 2010-19334 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19334.pdf https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19333.html Notice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Nasdaq Rule 7017(b) 2010-08-06T00:00:00-07:00 2010-08-06T00:00:00-07:00 2010-19333 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19333.pdf https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19332.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Minor Rule Violation Plan 2010-08-06T00:00:00-07:00 2010-08-06T00:00:00-07:00 2010-19332 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19332.pdf https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19331.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01 2010-08-06T00:00:00-07:00 2010-08-06T00:00:00-07:00 2010-19331 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19331.pdf https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19330.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change to Establish a Revenue Sharing Program With Correlix, Inc. 2010-08-06T00:00:00-07:00 2010-08-06T00:00:00-07:00 2010-19330 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19330.pdf https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-18860.html Rule - Amendments to the Informal and Other Procedures, Rules of Organization and Program Management, and Rules of Practice; Interim Commission Review of Public Company Accounting Oversight Board Inspection Reports and Regulation P 2010-08-06T00:00:00-07:00 2010-08-06T00:00:00-07:00 2010-18860 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-18860.pdf https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19365.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Schedule 2010-08-05T00:00:00-07:00 2010-08-05T00:00:00-07:00 2010-19365 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19365.pdf https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19267.html Notice - Proposed Collection; Comment Request 2010-08-05T00:00:00-07:00 2010-08-05T00:00:00-07:00 2010-19267 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19267.pdf https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19266.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by International Securities Exchange, LLC That Constitutes a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 2128 2010-08-05T00:00:00-07:00 2010-08-05T00:00:00-07:00 2010-19266 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19266.pdf https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19265.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC That Constitutes a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 128(g) 2010-08-05T00:00:00-07:00 2010-08-05T00:00:00-07:00 2010-19265 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19265.pdf https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19263.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC That Constitutes a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 128(g) 2010-08-05T00:00:00-07:00 2010-08-05T00:00:00-07:00 2010-19263 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19263.pdf https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19262.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Amend Certain of Its Rules in Connection With the Decommissioning of the Odd-Lot System 2010-08-05T00:00:00-07:00 2010-08-05T00:00:00-07:00 2010-19262 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19262.pdf https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19248.html Notice - Millington Securities, Inc., et al.; Notice of Application 2010-08-05T00:00:00-07:00 2010-08-05T00:00:00-07:00 2010-19248 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19248.pdf https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19247.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. That Constitutes a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of NYSE Arca Equities Rule 7.10(g) 2010-08-05T00:00:00-07:00 2010-08-05T00:00:00-07:00 2010-19247 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19247.pdf https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19246.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Regarding Listing and Trading of the WisdomTree Emerging Markets Local Debt Fund 2010-08-05T00:00:00-07:00 2010-08-05T00:00:00-07:00 2010-19246 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19246.pdf https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19244.html Notice - GE Asset Management Incorporated and GE Investment Distributors, Inc.; Notice of Application and Temporary Order 2010-08-05T00:00:00-07:00 2010-08-05T00:00:00-07:00 2010-19244 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19244.pdf https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19243.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Short Term Option Program 2010-08-05T00:00:00-07:00 2010-08-05T00:00:00-07:00 2010-19243 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19243.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19227.html Notice - Sunshine Act Meeting 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19227 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19227.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19225.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Enhanced Customer Disclosure Rules Concerning Transactions Outside of Regular Trading Hours 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19225 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19225.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19224.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31(x) 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19224 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19224.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19223.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Relating to the Guaranteed Allocation for Lead Market Makers and Directed Order Market Makers 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19223 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19223.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19222.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19222 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19222.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19221.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Seventy-Five Options Classes to the Penny Pilot Program 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19221 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19221.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19220.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes To the Penny Pilot Program 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19220 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19220.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19219.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Closing Cross Fees for Market-on-Close and Limit-on-Close Orders 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19219 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19219.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19218.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.12 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19218 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19218.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19217.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by OneChicago, Amending Rule 419(a), Regulatory Halts 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19217 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19217.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19215.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.12 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19215 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19215.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19111.html Notice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Fees for Routing to Away Markets 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19111 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19111.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19110.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19110 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19110.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19083.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Regarding Listing and Trading of the PIMCO Build America Bond Strategy Fund 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-19083 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19083.pdf https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-18305.html Proposed Rule - Mutual Fund Distribution Fees; Confirmations 2010-08-04T00:00:00-07:00 2010-08-04T00:00:00-07:00 2010-18305 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-18305.pdf https://regulations.justia.com/regulations/fedreg/2010/08/03/2010-18999.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Amendments to the Discovery Guide and Rules 12506 and 12508 of the Code of Arbitration Procedure for Customer Disputes 2010-08-03T00:00:00-07:00 2010-08-03T00:00:00-07:00 2010-18999 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-03/pdf/2010-18999.pdf https://regulations.justia.com/regulations/fedreg/2010/08/03/2010-18998.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.47 2010-08-03T00:00:00-07:00 2010-08-03T00:00:00-07:00 2010-18998 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-03/pdf/2010-18998.pdf https://regulations.justia.com/regulations/fedreg/2010/08/03/2010-18935.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add EDGA Exchange, Inc. and EDGX Exchange, Inc., Each as a Party Thereto 2010-08-03T00:00:00-07:00 2010-08-03T00:00:00-07:00 2010-18935 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-03/pdf/2010-18935.pdf https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18896.html Notice - Proposed Collection; Comment Request 2010-08-02T00:00:00-07:00 2010-08-02T00:00:00-07:00 2010-18896 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18896.pdf https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18895.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC and NYSE Amex LLC; Order Approving Proposed Rule Changes Amending the Exchanges' Rules To Incorporate the Receipt and Execution of Odd-Lot Interest Into the Round Lot Market and Decommission the Use of the “Odd-Lot System” 2010-08-02T00:00:00-07:00 2010-08-02T00:00:00-07:00 2010-18895 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18895.pdf https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18894.html Notice - Virtus Opportunities Trust, et al.; Notice of Application 2010-08-02T00:00:00-07:00 2010-08-02T00:00:00-07:00 2010-18894 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18894.pdf https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18893.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 123G and Adopting New Rule 5290 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc. 2010-08-02T00:00:00-07:00 2010-08-02T00:00:00-07:00 2010-18893 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18893.pdf https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18891.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rule 123G-NYSE Amex Equities and Adopting New Rule 5290-NYSE Amex Equities to Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc. 2010-08-02T00:00:00-07:00 2010-08-02T00:00:00-07:00 2010-18891 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18891.pdf