Securities and Exchange Commission September 8, 2010 – Federal Register Recent Federal Regulation Documents

Results 1 - 16 of 16
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendments to Rule A-3, on Membership on the Board To Comply With the Dodd-Frank Wall Street Reform and Consumer Protection Act
Document Number: 2010-22414
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22414.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Authority To Waive Rules, Procedures, and Regulations of the Mortgage-Backed Securities Division
Document Number: 2010-22351
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22351.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Authority To Suspend or Waive DTC Rules and Procedures
Document Number: 2010-22350
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22350.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Authority To Suspend or Waive NSCC Rules and Procedures
Document Number: 2010-22349
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22349.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Create a Listing Market on the Exchange
Document Number: 2010-22296
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22296.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's MRVP
Document Number: 2010-22295
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22295.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Name of a BATS Exchange Routing Strategy
Document Number: 2010-22294
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22294.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot
Document Number: 2010-22292
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22292.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of NYSE's Supplemental Liquidity Providers Pilot
Document Number: 2010-22291
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22291.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity
Document Number: 2010-22290
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22290.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Document Number: 2010-22289
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22289.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the $.50 Strike Price Program
Document Number: 2010-22287
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22287.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Relating to Listing and Trading of Cambria Global Tactical ETF
Document Number: 2010-22286
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22286.html
Temporary Registration of Municipal Advisors
Document Number: 2010-22255
Type: Rule
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is adopting an interim final temporary rule that establishes a means for municipal advisors, as defined in the Dodd-Frank Wall Street Reform and Consumer Protection Act \1\ (``Dodd- Frank Act''), to satisfy temporarily the requirement that they register with the Commission by October 1, 2010.
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22255.html
Delegation of Authority to the Director of Its Division of Enforcement
Document Number: 2010-22241
Type: Rule
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is amending its rules to delegate authority to the Director of the Division of Enforcement, in connection with the collection of delinquent debts arising from actions to enforce the federal securities laws, to terminate collection activity or discharge debts, to accept or reject offers to compromise debts, and to accept or reject offers to enter into payment plans. This action is intended to facilitate the Commission's debt resolution process.
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22241.html
Privacy Act of 1974: Systems of Records
Document Number: 2010-22227
Type: Notice
Date: 2010-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/09/08/2010-22227.html
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