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

Results 1 - 10 of 10
8000, Inc.; Order of Suspension of Trading
Document Number: 2010-28241
Type: Notice
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28241.html
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc. Relating to Regulation NMS Rules
Document Number: 2010-28185
Type: Notice
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28185.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Increase the Maximum Order Size Accepted by Floor Broker Systems From 25,000,000 Shares to 99,000,000 Shares
Document Number: 2010-28184
Type: Notice
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28184.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Increase the Maximum Order Size Accepted by Floor Broker Systems From 25,000,000 Shares to 99,000,000 Shares
Document Number: 2010-28183
Type: Notice
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28183.html
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
Document Number: 2010-28182
Type: Notice
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28182.html
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
Document Number: 2010-28181
Type: Notice
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28181.html
Submission for OMB Review; Comment Request
Document Number: 2010-28180
Type: Notice
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28180.html
President's Working Group Report on Money Market Fund Reform
Document Number: 2010-28177
Type: Notice
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is seeking comment on the options discussed in the report presenting the results of the President's Working Group on Financial Markets' study of possible money market fund reforms. Public comments on the options discussed in this report will help inform consideration of reform proposals addressing money market funds' susceptibility to runs.
https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28177.html
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
Document Number: 2010-28136
Type: Proposed Rule
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is proposing for comment a new rule under the Securities Exchange Act of 1934 (``Exchange Act'') that is intended to prevent fraud, manipulation, and deception in connection with the offer, purchase or sale of any security-based swap, the exercise of any right or performance of any obligation under a security-based swap, or the avoidance of such exercise or performance.
https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28136.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Operational Date of SR-FINRA-2009-065
Document Number: 2010-28066
Type: Notice
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28066.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.