<![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?registers=between&min-day=1&max-day=31 Sat, 27 Apr 2024 08:08:02 -0700 Sat, 27 Apr 2024 08:08:02 -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?registers=between&min-day=1&max-day=31 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21857.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21857.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21857 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21857.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21798.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21798.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21798 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21798.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21678.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21678.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21678 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21678.pdf Notice - Aston Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21674.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21674.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21674 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21674.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21631.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21631.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21631 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21631.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21630.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21630.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21630 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21630.pdf Notice - The Integrity Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21625.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21625.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21625 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21625.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21606.html https://regulations.justia.com/regulations/fedreg/2010/08/31/2010-21606.html Tue, 31 Aug 2010 00:00:00 -0700 2010-21606 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-31/pdf/2010-21606.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Trade Reporting https://regulations.justia.com/regulations/fedreg/2010/08/30/2010-21474.html https://regulations.justia.com/regulations/fedreg/2010/08/30/2010-21474.html Mon, 30 Aug 2010 00:00:00 -0700 2010-21474 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-30/pdf/2010-21474.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/30/2010-21473.html https://regulations.justia.com/regulations/fedreg/2010/08/30/2010-21473.html Mon, 30 Aug 2010 00:00:00 -0700 2010-21473 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-30/pdf/2010-21473.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21342.html https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21342.html Fri, 27 Aug 2010 00:00:00 -0700 2010-21342 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-27/pdf/2010-21342.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21308.html https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21308.html Fri, 27 Aug 2010 00:00:00 -0700 2010-21308 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-27/pdf/2010-21308.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21307.html https://regulations.justia.com/regulations/fedreg/2010/08/27/2010-21307.html Fri, 27 Aug 2010 00:00:00 -0700 2010-21307 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-27/pdf/2010-21307.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21335.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21335.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21335 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21335.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; Correction https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21228.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21228.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21228 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21228.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21201.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21201.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21201 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21201.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21200.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21200.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21200 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21200.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21178.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21178.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21178 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21178.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21177.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21177.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21177 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21177.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21176.html https://regulations.justia.com/regulations/fedreg/2010/08/26/2010-21176.html Thu, 26 Aug 2010 00:00:00 -0700 2010-21176 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-26/pdf/2010-21176.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21095.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21095.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21095 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21095.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21094.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21094.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21094 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21094.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21082.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21082.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21082 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21082.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21035.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21035.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21035 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21035.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21034.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21034.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21034 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21034.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21033.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21033.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21033 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21033.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21032.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21032.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21032 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21032.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21031.html https://regulations.justia.com/regulations/fedreg/2010/08/25/2010-21031.html Wed, 25 Aug 2010 00:00:00 -0700 2010-21031 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-25/pdf/2010-21031.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/24/2010-21001.html https://regulations.justia.com/regulations/fedreg/2010/08/24/2010-21001.html Tue, 24 Aug 2010 00:00:00 -0700 2010-21001 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-24/pdf/2010-21001.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-21000.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-21000.html Mon, 23 Aug 2010 00:00:00 -0700 2010-21000 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-21000.pdf Notice - Privacy Act of 1974: Systems of Records https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20999.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20999.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20999 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20999.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20927.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20927.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20927 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20927.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Regarding Routing to an Affiliated Exchange https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20820.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20820.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20820 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20820.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to Listing of the Wilshire Micro-Cap ETF https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20819.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20819.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20819 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20819.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20818.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20818.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20818 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20818.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20817.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20817.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20817 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20817.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20816.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20816.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20816 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20816.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20815.html https://regulations.justia.com/regulations/fedreg/2010/08/23/2010-20815.html Mon, 23 Aug 2010 00:00:00 -0700 2010-20815 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-23/pdf/2010-20815.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20682.html https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20682.html Fri, 20 Aug 2010 00:00:00 -0700 2010-20682 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20682.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20681.html https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20681.html Fri, 20 Aug 2010 00:00:00 -0700 2010-20681 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20681.pdf Notice - WisdomTree Asset Management, Inc., and WisdomTree Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20673.html https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20673.html Fri, 20 Aug 2010 00:00:00 -0700 2010-20673 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20673.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20658.html https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20658.html Fri, 20 Aug 2010 00:00:00 -0700 2010-20658 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20658.pdf Proposed Rule - Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20567.html https://regulations.justia.com/regulations/fedreg/2010/08/20/2010-20567.html Fri, 20 Aug 2010 00:00:00 -0700 2010-20567 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-08-20/pdf/2010-20567.pdf 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 Notice - In the Matter of Four Crystal Funding, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20548.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20548.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20548 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20548.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 3.13 https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20474.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20474.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20474 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20474.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20473.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20473.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20473 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20473.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20472.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20472.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20472 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20472.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20471.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20471.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20471 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20471.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20470.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20470.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20470 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20470.pdf 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” https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20468.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20468.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20468 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20468.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20467.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20467.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20467 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20467.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20407.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20407.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20407 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20407.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20406.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20406.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20406 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20406.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20374.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20374.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20374 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20374.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20373.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20373.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20373 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20373.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20371.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20371.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20371 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20371.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20370.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20370.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20370 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20370.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20369.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20369.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20369 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20369.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 3.13 https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20368.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20368.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20368 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20368.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20366.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20366.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20366 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20366.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20365.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20365.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20365 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20365.pdf Notice - Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20358.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20358.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20358 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20358.pdf Notice - Notice of Solicitation of Public Comment on Consideration of Incorporating IFRS Into the Financial Reporting System for U.S. Issuers https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20357.html https://regulations.justia.com/regulations/fedreg/2010/08/18/2010-20357.html Wed, 18 Aug 2010 00:00:00 -0700 2010-20357 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-18/pdf/2010-20357.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/17/C1-2010-19332.html https://regulations.justia.com/regulations/fedreg/2010/08/17/C1-2010-19332.html Tue, 17 Aug 2010 00:00:00 -0700 C1-2010-19332 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/C1-2010-19332.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20258.html https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20258.html Tue, 17 Aug 2010 00:00:00 -0700 2010-20258 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20258.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20257.html https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20257.html Tue, 17 Aug 2010 00:00:00 -0700 2010-20257 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20257.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20256.html https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20256.html Tue, 17 Aug 2010 00:00:00 -0700 2010-20256 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20256.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20240.html https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20240.html Tue, 17 Aug 2010 00:00:00 -0700 2010-20240 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20240.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20239.html https://regulations.justia.com/regulations/fedreg/2010/08/17/2010-20239.html Tue, 17 Aug 2010 00:00:00 -0700 2010-20239 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-17/pdf/2010-20239.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20259.html https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20259.html Mon, 16 Aug 2010 00:00:00 -0700 2010-20259 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20259.pdf Rule - Delegation of Authority to the Director of Its Division of Enforcement https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20197.html https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20197.html Mon, 16 Aug 2010 00:00:00 -0700 2010-20197 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20197.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20182.html https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20182.html Mon, 16 Aug 2010 00:00:00 -0700 2010-20182 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20182.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20181.html https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20181.html Mon, 16 Aug 2010 00:00:00 -0700 2010-20181 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20181.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20179.html https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20179.html Mon, 16 Aug 2010 00:00:00 -0700 2010-20179 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20179.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending its Fee Schedule https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20150.html https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20150.html Mon, 16 Aug 2010 00:00:00 -0700 2010-20150 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20150.pdf Notice - Self-Regulatory Organizations; NYSE Amex, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 995NY https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20149.html https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20149.html Mon, 16 Aug 2010 00:00:00 -0700 2010-20149 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20149.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20147.html https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20147.html Mon, 16 Aug 2010 00:00:00 -0700 2010-20147 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20147.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to a Revenue Sharing Program With Correlix, Inc. https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20105.html https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20105.html Mon, 16 Aug 2010 00:00:00 -0700 2010-20105 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20105.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to a Revenue Sharing Program with Correlix, Inc. https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20104.html https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20104.html Mon, 16 Aug 2010 00:00:00 -0700 2010-20104 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20104.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20103.html https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20103.html Mon, 16 Aug 2010 00:00:00 -0700 2010-20103 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20103.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20102.html https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20102.html Mon, 16 Aug 2010 00:00:00 -0700 2010-20102 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20102.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20100.html https://regulations.justia.com/regulations/fedreg/2010/08/16/2010-20100.html Mon, 16 Aug 2010 00:00:00 -0700 2010-20100 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-16/pdf/2010-20100.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-20003.html https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-20003.html Fri, 13 Aug 2010 00:00:00 -0700 2010-20003 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-20003.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19973.html https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19973.html Fri, 13 Aug 2010 00:00:00 -0700 2010-19973 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-19973.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19972.html https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19972.html Fri, 13 Aug 2010 00:00:00 -0700 2010-19972 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-19972.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Billing Policies https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19971.html https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19971.html Fri, 13 Aug 2010 00:00:00 -0700 2010-19971 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-19971.pdf 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) https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19966.html https://regulations.justia.com/regulations/fedreg/2010/08/13/2010-19966.html Fri, 13 Aug 2010 00:00:00 -0700 2010-19966 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-13/pdf/2010-19966.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-20002.html https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-20002.html Thu, 12 Aug 2010 00:00:00 -0700 2010-20002 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-20002.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-20001.html https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-20001.html Thu, 12 Aug 2010 00:00:00 -0700 2010-20001 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-20001.pdf Notice - The Blackstone Group, LP; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19854.html https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19854.html Thu, 12 Aug 2010 00:00:00 -0700 2010-19854 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-19854.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19853.html https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19853.html Thu, 12 Aug 2010 00:00:00 -0700 2010-19853 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-19853.pdf 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. https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19852.html https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19852.html Thu, 12 Aug 2010 00:00:00 -0700 2010-19852 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-19852.pdf Rule - Amendments to Form ADV https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19617.html https://regulations.justia.com/regulations/fedreg/2010/08/12/2010-19617.html Thu, 12 Aug 2010 00:00:00 -0700 2010-19617 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-08-12/pdf/2010-19617.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/11/2010-19760.html https://regulations.justia.com/regulations/fedreg/2010/08/11/2010-19760.html Wed, 11 Aug 2010 00:00:00 -0700 2010-19760 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-11/pdf/2010-19760.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/11/2010-19759.html https://regulations.justia.com/regulations/fedreg/2010/08/11/2010-19759.html Wed, 11 Aug 2010 00:00:00 -0700 2010-19759 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-11/pdf/2010-19759.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 4160 (Verification of Assets) https://regulations.justia.com/regulations/fedreg/2010/08/11/2010-19750.html https://regulations.justia.com/regulations/fedreg/2010/08/11/2010-19750.html Wed, 11 Aug 2010 00:00:00 -0700 2010-19750 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-11/pdf/2010-19750.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19716.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19716.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19716 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19716.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19658.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19658.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19658 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19658.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Crossing Mechanisms https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19657.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19657.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19657 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19657.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19656.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19656.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19656 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19656.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Schedule https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19655.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19655.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19655 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19655.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19654.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19654.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19654 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19654.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19652.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19652.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19652 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19652.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19651.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19651.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19651 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19651.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19650.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19650.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19650 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19650.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19649.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19649.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19649 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19649.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19646.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19646.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19646 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19646.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19605.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19605.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19605 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19605.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19604.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19604.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19604 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19604.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19603.html https://regulations.justia.com/regulations/fedreg/2010/08/10/2010-19603.html Tue, 10 Aug 2010 00:00:00 -0700 2010-19603 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-10/pdf/2010-19603.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19713.html https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19713.html Mon, 09 Aug 2010 00:00:00 -0700 2010-19713 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19713.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19607.html https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19607.html Mon, 09 Aug 2010 00:00:00 -0700 2010-19607 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19607.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change Relating to the National Quotation Dissemination Service https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19606.html https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19606.html Mon, 09 Aug 2010 00:00:00 -0700 2010-19606 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19606.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19528.html https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19528.html Mon, 09 Aug 2010 00:00:00 -0700 2010-19528 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19528.pdf Notice - Kohlberg Capital Corporation; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19527.html https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19527.html Mon, 09 Aug 2010 00:00:00 -0700 2010-19527 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19527.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19519.html https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19519.html Mon, 09 Aug 2010 00:00:00 -0700 2010-19519 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19519.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19505.html https://regulations.justia.com/regulations/fedreg/2010/08/09/2010-19505.html Mon, 09 Aug 2010 00:00:00 -0700 2010-19505 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-09/pdf/2010-19505.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19526.html https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19526.html Fri, 06 Aug 2010 00:00:00 -0700 2010-19526 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19526.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19434.html https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19434.html Fri, 06 Aug 2010 00:00:00 -0700 2010-19434 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19434.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19373.html https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19373.html Fri, 06 Aug 2010 00:00:00 -0700 2010-19373 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19373.pdf 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” https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19372.html https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19372.html Fri, 06 Aug 2010 00:00:00 -0700 2010-19372 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19372.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19371.html https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19371.html Fri, 06 Aug 2010 00:00:00 -0700 2010-19371 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19371.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19370.html https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19370.html Fri, 06 Aug 2010 00:00:00 -0700 2010-19370 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19370.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19334.html https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19334.html Fri, 06 Aug 2010 00:00:00 -0700 2010-19334 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19334.pdf Notice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Nasdaq Rule 7017(b) https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19333.html https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19333.html Fri, 06 Aug 2010 00:00:00 -0700 2010-19333 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19333.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19332.html https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19332.html Fri, 06 Aug 2010 00:00:00 -0700 2010-19332 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19332.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19331.html https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19331.html Fri, 06 Aug 2010 00:00:00 -0700 2010-19331 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19331.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change to Establish a Revenue Sharing Program With Correlix, Inc. https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19330.html https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-19330.html Fri, 06 Aug 2010 00:00:00 -0700 2010-19330 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-19330.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-18860.html https://regulations.justia.com/regulations/fedreg/2010/08/06/2010-18860.html Fri, 06 Aug 2010 00:00:00 -0700 2010-18860 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-08-06/pdf/2010-18860.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Schedule https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19365.html https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19365.html Thu, 05 Aug 2010 00:00:00 -0700 2010-19365 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19365.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19267.html https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19267.html Thu, 05 Aug 2010 00:00:00 -0700 2010-19267 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19267.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19266.html https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19266.html Thu, 05 Aug 2010 00:00:00 -0700 2010-19266 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19266.pdf 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) https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19265.html https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19265.html Thu, 05 Aug 2010 00:00:00 -0700 2010-19265 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19265.pdf 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) https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19263.html https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19263.html Thu, 05 Aug 2010 00:00:00 -0700 2010-19263 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19263.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19262.html https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19262.html Thu, 05 Aug 2010 00:00:00 -0700 2010-19262 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19262.pdf Notice - Millington Securities, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19248.html https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19248.html Thu, 05 Aug 2010 00:00:00 -0700 2010-19248 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19248.pdf 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) https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19247.html https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19247.html Thu, 05 Aug 2010 00:00:00 -0700 2010-19247 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19247.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19246.html https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19246.html Thu, 05 Aug 2010 00:00:00 -0700 2010-19246 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19246.pdf Notice - GE Asset Management Incorporated and GE Investment Distributors, Inc.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19244.html https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19244.html Thu, 05 Aug 2010 00:00:00 -0700 2010-19244 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19244.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Short Term Option Program https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19243.html https://regulations.justia.com/regulations/fedreg/2010/08/05/2010-19243.html Thu, 05 Aug 2010 00:00:00 -0700 2010-19243 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-05/pdf/2010-19243.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19227.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19227.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19227 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19227.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19225.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19225.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19225 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19225.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31(x) https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19224.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19224.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19224 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19224.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19223.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19223.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19223 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19223.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19222.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19222.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19222 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19222.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19221.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19221.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19221 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19221.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19220.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19220.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19220 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19220.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19219.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19219.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19219 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19219.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.12 https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19218.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19218.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19218 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19218.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by OneChicago, Amending Rule 419(a), Regulatory Halts https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19217.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19217.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19217 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19217.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.12 https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19215.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19215.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19215 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19215.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19111.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19111.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19111 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19111.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19110.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19110.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19110 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19110.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19083.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-19083.html Wed, 04 Aug 2010 00:00:00 -0700 2010-19083 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-19083.pdf Proposed Rule - Mutual Fund Distribution Fees; Confirmations https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-18305.html https://regulations.justia.com/regulations/fedreg/2010/08/04/2010-18305.html Wed, 04 Aug 2010 00:00:00 -0700 2010-18305 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-08-04/pdf/2010-18305.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/03/2010-18999.html https://regulations.justia.com/regulations/fedreg/2010/08/03/2010-18999.html Tue, 03 Aug 2010 00:00:00 -0700 2010-18999 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-03/pdf/2010-18999.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.47 https://regulations.justia.com/regulations/fedreg/2010/08/03/2010-18998.html https://regulations.justia.com/regulations/fedreg/2010/08/03/2010-18998.html Tue, 03 Aug 2010 00:00:00 -0700 2010-18998 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-03/pdf/2010-18998.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/08/03/2010-18935.html https://regulations.justia.com/regulations/fedreg/2010/08/03/2010-18935.html Tue, 03 Aug 2010 00:00:00 -0700 2010-18935 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-03/pdf/2010-18935.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18896.html https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18896.html Mon, 02 Aug 2010 00:00:00 -0700 2010-18896 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18896.pdf 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” https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18895.html https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18895.html Mon, 02 Aug 2010 00:00:00 -0700 2010-18895 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18895.pdf Notice - Virtus Opportunities Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18894.html https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18894.html Mon, 02 Aug 2010 00:00:00 -0700 2010-18894 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18894.pdf 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. https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18893.html https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18893.html Mon, 02 Aug 2010 00:00:00 -0700 2010-18893 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18893.pdf 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. https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18891.html https://regulations.justia.com/regulations/fedreg/2010/08/02/2010-18891.html Mon, 02 Aug 2010 00:00:00 -0700 2010-18891 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-08-02/pdf/2010-18891.pdf