Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010/11/12?limit=200&registers=between&mode=atom 2024-05-16T21:27:51-07:00 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/2010/11/12/2010-28547.html Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Revise the Device-Based Professional Subscriber Fees Charged by OPRA for its Basic Service 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28547 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28547.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28545.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add New Rule 7014 To Enable NASDAQ Members To Qualify for a Monthly Fee Credit 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28545 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28545.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28543.html Notice - Proposed Collection; Comment Request 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28543 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28543.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28542.html Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by New York Stock Exchange LLC Changing the NYBX Order Execution Sequence 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28542 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28542.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28541.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Assessed for Use of the Testing Facility 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28541 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28541.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28540.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Assessed for Use of the Testing Facility 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28540 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28540.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28514.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the ETFS Asian Gold Trust 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28514 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28514.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28466.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Assessed for Use of the Testing Facility 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28466 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28466.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28462.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6140 (Other Trading Practices) 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28462 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28462.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28461.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating To Access Service Fees 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28461 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28461.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28454.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Fee Schedule 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28454 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28454.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28453.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NSX Fee and Rebate Schedule 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28453 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28453.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28451.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Disincentive Fee Associated With the Deposit Automation Management System 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28451 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28451.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28444.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filings of Amendments No. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, To Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28444 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28444.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28443.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options Exchange, Incorporated; The Chicago Stock Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, To Enhance the Quotation Standards for Market Makers 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28443 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28443.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28442.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Certificate of Organization To Authorize Additional Shares of Preferred Stock and Designate Shares as Series A Preferred Stock 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28442 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28442.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28419.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Panel Composition Rule, and Related Rules, of the Code of Arbitration Procedure for Customer Disputes 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28419 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28419.pdf https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28418.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees 2010-11-12T00:00:00-08:00 2010-11-12T00:00:00-08:00 2010-28418 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28418.pdf