Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-01T22:18:26-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30088.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Establishing an Automated Service for the Processing of Transfers, Replacements, and Exchanges of Insurance and Retirement Products2010-11-30T00:00:00-08:002010-11-30T00:00:00-08:002010-30088Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-30/pdf/2010-30088.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30087.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex LLC Company Guide To Adopt Additional Criteria for Listing Special Purpose Acquisition Companies (SPACs) That Have Indicated That Their Business Plan Is To Engage in a Merger or Acquisition With an Unidentified Company or Companies2010-11-30T00:00:00-08:002010-11-30T00:00:00-08:002010-30087Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-30/pdf/2010-30087.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30035.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for Boston Options Exchange To Receive Inbound Routes of Orders From Nasdaq Options Services2010-11-30T00:00:00-08:002010-11-30T00:00:00-08:002010-30035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-30/pdf/2010-30035.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30034.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change To Introduce Cross-Margining of Certain Positions Cleared at the Fixed Income Clearing Corporation and Certain Positions Cleared at New York Portfolio Clearing, LLC2010-11-30T00:00:00-08:002010-11-30T00:00:00-08:002010-30034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-30/pdf/2010-30034.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/29/2010-30055.htmlNotice - Sunshine Act Meeting2010-11-29T00:00:00-08:002010-11-29T00:00:00-08:002010-30055Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-30055.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29929.htmlNotice - Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment2010-11-29T00:00:00-08:002010-11-29T00:00:00-08:002010-29929Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29929.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29907.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Disseminated Quotations2010-11-29T00:00:00-08:002010-11-29T00:00:00-08:002010-29907Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29907.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29906.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Jefferies S&P 500® VIX Short-Term Futures ETF2010-11-29T00:00:00-08:002010-11-29T00:00:00-08:002010-29906Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29906.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29895.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Modify the Minor Rule Violation Plan for BATS Options2010-11-29T00:00:00-08:002010-11-29T00:00:00-08:002010-29895Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29895.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29894.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program for Directed Orders2010-11-29T00:00:00-08:002010-11-29T00:00:00-08:002010-29894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29894.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29893.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Amend Certain Rules Pertaining to Credit Options2010-11-29T00:00:00-08:002010-11-29T00:00:00-08:002010-29893Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29893.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29892.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for the PHOTO Historical Data Product2010-11-29T00:00:00-08:002010-11-29T00:00:00-08:002010-29892Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29892.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29889.htmlNotice - Proposed Collection; Comment Request2010-11-29T00:00:00-08:002010-11-29T00:00:00-08:002010-29889Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29889.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29727.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook2010-11-26T00:00:00-08:002010-11-26T00:00:00-08:002010-29727Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29727.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29725.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402010-11-26T00:00:00-08:002010-11-26T00:00:00-08:002010-29725Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29725.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29721.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Two Aspects of the Rules and Operation of The NASDAQ Options Market2010-11-26T00:00:00-08:002010-11-26T00:00:00-08:002010-29721Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29721.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29720.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Consisting of Fee Changes to Its Real-Time Transaction Price Service and Comprehensive Transaction Price Service, and Termination of its T+1 Transaction Price Service2010-11-26T00:00:00-08:002010-11-26T00:00:00-08:002010-29720Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29720.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29702.htmlRule - Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps2010-11-26T00:00:00-08:002010-11-26T00:00:00-08:002010-29702Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29702.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29614.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, to Amend BYX Rule 11.8, Entitled “Obligations of Market Makers”2010-11-24T00:00:00-08:002010-11-24T00:00:00-08:002010-29614Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29614.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29612.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules2010-11-24T00:00:00-08:002010-11-24T00:00:00-08:002010-29612Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29612.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29594.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a $5 Strike Price Program2010-11-24T00:00:00-08:002010-11-24T00:00:00-08:002010-29594Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29594.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29593.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Delta Hedging Exemption Available for Equity Options Position Limits and Adopting a Delta Hedging Exemption From Certain Index Options Position Limits2010-11-24T00:00:00-08:002010-11-24T00:00:00-08:002010-29593Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29593.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29592.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Delta Hedging Exemption Available for Equity Options Position Limits and Adopting a Delta Hedging Exemption From Certain Index Options Position Limits2010-11-24T00:00:00-08:002010-11-24T00:00:00-08:002010-29592Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29592.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29591.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGX Rules 11.9(b)(1)(C) and 11.5(c)(7) Regarding Step-Up Orders2010-11-24T00:00:00-08:002010-11-24T00:00:00-08:002010-29591Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29591.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29590.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGA Rules 11.9(b)(1)(C) and 11.5(c)(7) Regarding Step-Up Orders2010-11-24T00:00:00-08:002010-11-24T00:00:00-08:002010-29590Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29590.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29589.htmlNotice - ETSpreads, LLC, et al.; Notice of Application2010-11-24T00:00:00-08:002010-11-24T00:00:00-08:002010-29589Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29589.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29588.htmlNotice - SSgA Funds Management, Inc., et al.; Notice of Application2010-11-24T00:00:00-08:002010-11-24T00:00:00-08:002010-29588Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29588.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29562.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange-Traded Notes2010-11-24T00:00:00-08:002010-11-24T00:00:00-08:002010-29562Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29562.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29561.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange-Traded Notes2010-11-24T00:00:00-08:002010-11-24T00:00:00-08:002010-29561Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29561.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29560.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the Peritus High Yield ETF2010-11-24T00:00:00-08:002010-11-24T00:00:00-08:002010-29560Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29560.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29559.htmlNotice - Fifth Street Finance Corp., et al.; Notice of Application2010-11-24T00:00:00-08:002010-11-24T00:00:00-08:002010-29559Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29559.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29595.htmlNotice - Sunshine Act Meeting2010-11-23T00:00:00-08:002010-11-23T00:00:00-08:002010-29595Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-23/pdf/2010-29595.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29447.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook2010-11-23T00:00:00-08:002010-11-23T00:00:00-08:002010-29447Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-23/pdf/2010-29447.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29402.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees2010-11-23T00:00:00-08:002010-11-23T00:00:00-08:002010-29402Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-23/pdf/2010-29402.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29401.htmlNotice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Requirement To Maintain a Balance Certificate in the Fast Automated Securities Transfer Program2010-11-23T00:00:00-08:002010-11-23T00:00:00-08:002010-29401Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-23/pdf/2010-29401.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29475.htmlNotice - Sunshine Act Meeting2010-11-22T00:00:00-08:002010-11-22T00:00:00-08:002010-29475Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29475.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29395.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules2010-11-22T00:00:00-08:002010-11-22T00:00:00-08:002010-29395Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29395.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29352.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Pilot Program to List Series With Additional Expiration Months for Each Class of Options Opened for Trading on BOX2010-11-22T00:00:00-08:002010-11-22T00:00:00-08:002010-29352Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29352.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29351.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the ProShares VIX Short-Term Futures ETF and the ProShares VIX Mid-Term Futures ETF2010-11-22T00:00:00-08:002010-11-22T00:00:00-08:002010-29351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29351.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29344.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a $0.50 Strike Program2010-11-22T00:00:00-08:002010-11-22T00:00:00-08:002010-29344Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29344.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29343.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Certain Membership Rules2010-11-22T00:00:00-08:002010-11-22T00:00:00-08:002010-29343Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29343.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29281.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and To Amend the FINRA Rule 9520 Series (Eligibility Proceedings)2010-11-22T00:00:00-08:002010-11-22T00:00:00-08:002010-29281Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29281.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/19/2010-29160.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Regarding Registration and Qualification Requirements for Associated Persons2010-11-19T00:00:00-08:002010-11-19T00:00:00-08:002010-29160Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-19/pdf/2010-29160.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29080.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendments to Rule A-12, on Initial Fee, and Rule A-14, on Annual Fee2010-11-18T00:00:00-08:002010-11-18T00:00:00-08:002010-29080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-18/pdf/2010-29080.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29079.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks2010-11-18T00:00:00-08:002010-11-18T00:00:00-08:002010-29079Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-18/pdf/2010-29079.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29078.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Revisions to the Study Outline and Selection Specifications for the Municipal Securities Representative Qualification Examination (Series 52) Program2010-11-18T00:00:00-08:002010-11-18T00:00:00-08:002010-29078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-18/pdf/2010-29078.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29077.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendments to Rule G-5, on Disciplinary Actions by Appropriate Regulatory Agencies, Remedial Notices by Registered Securities Associations; and Rule G-17, on Conduct of Municipal Securities Activities2010-11-18T00:00:00-08:002010-11-18T00:00:00-08:002010-29077Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-18/pdf/2010-29077.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-29075.htmlNotice - Sunshine Act Meeting2010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-29075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-29075.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28986.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Rule D-13, on a Definition of “Municipal Advisory Activities”, Rule D-14, on a Definition of “Appropriate Regulatory Agency”, and Amendments to Rule D-11 (“Associated Persons”), Rule G-40 on Electronic Mail Contacts, and Form G-40, on Electronic Mail Contacts2010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-28986Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28986.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28983.htmlNotice - Proposed Collection; Comment Request2010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-28983Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28983.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28982.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendments to Rule A-7, on Assessments, and Rule A-8, on Rulemaking Procedures2010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-28982Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28982.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28900.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Update and Streamline the Process for Specialist Evaluations and Clarify the Time Within Which SQTs and RSQTs Begin To Electronically Quote After Assignment2010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-28900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28900.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28899.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the $0.50 Strike Program2010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-28899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28899.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28897.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Eliminate Certain Cash Adjustments Currently Processed by the MBSD2010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-28897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28897.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28896.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-28896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28896.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28895.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.2010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-28895Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28895.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28894.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the WisdomTree Managed Futures Strategy Fund2010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-28894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28894.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28893.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Relating to Fees for NYSE Arca Depth-of-Book Data2010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-28893Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28893.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28892.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for the NASDAQ OMX BX Equities System2010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-28892Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28892.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28864.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending the Exchange Price List; Correction2010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-28864Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28864.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28186.htmlProposed Rule - Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 19342010-11-17T00:00:00-08:002010-11-17T00:00:00-08:002010-28186Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28186.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28924.htmlNotice - Sunshine Act Meeting2010-11-16T00:00:00-08:002010-11-16T00:00:00-08:002010-28924Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28924.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28865.htmlNotice - Sunshine Act Meeting2010-11-16T00:00:00-08:002010-11-16T00:00:00-08:002010-28865Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28865.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28830.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Weekly Options And Monthly Options2010-11-16T00:00:00-08:002010-11-16T00:00:00-08:002010-28830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28830.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28829.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Making a Technical Amendment to Its Rules To Insert the Specific Date for the Additional Expiration Months Pilot Program2010-11-16T00:00:00-08:002010-11-16T00:00:00-08:002010-28829Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28829.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28778.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Making a Technical Amendment to Its Rules to Insert the Specific Date for the Additional Expiration Months Pilot Program2010-11-16T00:00:00-08:002010-11-16T00:00:00-08:002010-28778Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28778.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28777.htmlNotice - Submission for OMB Review; Comment Request2010-11-16T00:00:00-08:002010-11-16T00:00:00-08:002010-28777Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28777.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28749.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rules 2.5 and 11.4 To Permit Qualification and Registration of Authorized Traders of Members Pursuant to Certain Foreign Examination Modules Equivalent to the Series 7 Examination2010-11-16T00:00:00-08:002010-11-16T00:00:00-08:002010-28749Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28749.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28748.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rules 2.5 and 11.4 To Permit Qualification and Registration of Authorized Traders of Members Pursuant to Certain Foreign Examination Modules Equivalent to the Series 7 Examination2010-11-16T00:00:00-08:002010-11-16T00:00:00-08:002010-28748Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28748.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28747.htmlNotice - 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 Liquidity2010-11-16T00:00:00-08:002010-11-16T00:00:00-08:002010-28747Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28747.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28746.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options With One-Cent Exercise Prices2010-11-16T00:00:00-08:002010-11-16T00:00:00-08:002010-28746Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28746.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28691.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Applicable Sections of Its Schedules of Fees and Charges for Exchange Services for Both Its Equities and Options Platforms (the “Schedules”) To Reflect Fees Charged for Co-location Services2010-11-16T00:00:00-08:002010-11-16T00:00:00-08:002010-28691Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28691.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28775.htmlNotice - In the Matter of: Edentify, Inc., Embryo Development Corp., Enclaves Group, Inc., Energytec, Inc., Enesco Group, Inc., Entertainment Is Us, Inc., Entrada Networks, Inc., Entropin, Inc., Epic Financial Corp., Epicus Communications Group, Inc., Epixtar Corp., Equisure, Inc., Equus Gaming Co., and Evans, Inc. (n/k/a Fur Company A), Order of Suspension of Trading2010-11-15T00:00:00-08:002010-11-15T00:00:00-08:002010-28775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28775.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28690.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Arca Equities Rule 7.31(f) To Modify the Functionality of Tracking Orders2010-11-15T00:00:00-08:002010-11-15T00:00:00-08:002010-28690Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28690.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28686.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Options on Leveraged Exchange-Traded Notes and To Broaden the Definition of “Futures-Linked Securities”2010-11-15T00:00:00-08:002010-11-15T00:00:00-08:002010-28686Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28686.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28663.htmlNotice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Suspension of Certain Provisions Due to Inactivity2010-11-15T00:00:00-08:002010-11-15T00:00:00-08:002010-28663Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28663.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28608.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Effective Date of the Changes to the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-0432010-11-15T00:00:00-08:002010-11-15T00:00:00-08:002010-28608Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28608.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28607.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Options Fee Schedule To Reflect Fees Charged for Co-location Services2010-11-15T00:00:00-08:002010-11-15T00:00:00-08:002010-28607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28607.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28548.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Program for Managed Data Solutions2010-11-15T00:00:00-08:002010-11-15T00:00:00-08:002010-28548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28548.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28303.htmlRule - Risk Management Controls for Brokers or Dealers With Market Access2010-11-15T00:00:00-08:002010-11-15T00:00:00-08:002010-28303Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28303.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28547.htmlNotice - 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 Service2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28547Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28547.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28545.htmlNotice - 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 Credit2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28545Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28545.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28543.htmlNotice - Proposed Collection; Comment Request2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28543Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28543.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28542.htmlNotice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by New York Stock Exchange LLC Changing the NYBX Order Execution Sequence2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28542Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28542.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28541.htmlNotice - 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 Facility2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28541Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28541.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28540.htmlNotice - 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 Facility2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28540Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28540.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28514.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the ETFS Asian Gold Trust2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28514Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28514.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28466.htmlNotice - 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 Facility2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28466Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28466.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28462.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6140 (Other Trading Practices)2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28462Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28462.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28461.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating To Access Service Fees2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28461Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28461.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28454.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Fee Schedule2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28454Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28454.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28453.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NSX Fee and Rebate Schedule2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28453Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28453.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28451.htmlNotice - 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 System2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28451Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28451.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28444.htmlNotice - 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 Rulebook2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28444Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28444.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28443.htmlNotice - 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 Makers2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28443Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28443.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28442.htmlNotice - 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 Stock2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28442Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28442.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28419.htmlNotice - 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 Disputes2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28419Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28419.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28418.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees2010-11-12T00:00:00-08:002010-11-12T00:00:00-08:002010-28418Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28418.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/10/2010-28331.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Automate the Approval Process in Providing Trustee Access to the Security Position Report Service2010-11-10T00:00:00-08:002010-11-10T00:00:00-08:002010-28331Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-10/pdf/2010-28331.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/10/2010-28330.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees2010-11-10T00:00:00-08:002010-11-10T00:00:00-08:002010-28330Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-10/pdf/2010-28330.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/09/2010-28327.htmlRule - Regulation SHO2010-11-09T00:00:00-08:002010-11-09T00:00:00-08:002010-28327Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-09/pdf/2010-28327.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/09/2010-28247.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend IM-5101-2 To Provide Acquisition Companies the Option To Hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition2010-11-09T00:00:00-08:002010-11-09T00:00:00-08:002010-28247Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-09/pdf/2010-28247.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/09/2010-28246.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rules Based on Chicago Board Options Exchange, Inc. Rules and Recent Chicago Board Options Exchange, Inc. Rule Filings2010-11-09T00:00:00-08:002010-11-09T00:00:00-08:002010-28246Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-09/pdf/2010-28246.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/09/2010-28244.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Short Sell Order Handling2010-11-09T00:00:00-08:002010-11-09T00:00:00-08:002010-28244Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-09/pdf/2010-28244.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28241.htmlNotice - 8000, Inc.; Order of Suspension of Trading2010-11-08T00:00:00-08:002010-11-08T00:00:00-08:002010-28241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28241.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28185.htmlNotice - 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 Rules2010-11-08T00:00:00-08:002010-11-08T00:00:00-08:002010-28185Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28185.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28184.htmlNotice - 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 Shares2010-11-08T00:00:00-08:002010-11-08T00:00:00-08:002010-28184Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28184.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28183.htmlNotice - 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 Shares2010-11-08T00:00:00-08:002010-11-08T00:00:00-08:002010-28183Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28183.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28182.htmlNotice - 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 Schedule2010-11-08T00:00:00-08:002010-11-08T00:00:00-08:002010-28182Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28182.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28181.htmlNotice - 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 Schedule2010-11-08T00:00:00-08:002010-11-08T00:00:00-08:002010-28181Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28181.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28180.htmlNotice - Submission for OMB Review; Comment Request2010-11-08T00:00:00-08:002010-11-08T00:00:00-08:002010-28180Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28180.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28177.htmlNotice - President's Working Group Report on Money Market Fund Reform2010-11-08T00:00:00-08:002010-11-08T00:00:00-08:002010-28177Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28177.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28136.htmlProposed Rule - Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps2010-11-08T00:00:00-08:002010-11-08T00:00:00-08:002010-28136Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28136.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28066.htmlNotice - 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-2009-0652010-11-08T00:00:00-08:002010-11-08T00:00:00-08:002010-28066Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28066.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/05/2010-28140.htmlNotice - Sunshine Act Meeting.2010-11-05T00:00:00-07:002010-11-05T00:00:00-07:002010-28140Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-05/pdf/2010-28140.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/05/2010-28059.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Accommodate Index Futures That Are Settled in a Non-U.S. Currency2010-11-05T00:00:00-07:002010-11-05T00:00:00-07:002010-28059Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-05/pdf/2010-28059.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/05/2010-28057.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Revise Its Rules To Expand the Forms of Collateral Eligible for Incorporation in the System for Theoretical Analysis and Numerical Simulations Risk Management Methodology2010-11-05T00:00:00-07:002010-11-05T00:00:00-07:002010-28057Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-05/pdf/2010-28057.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/05/2010-27945.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Revenue Sharing Program With Correlix, Inc. and Free Trial Period for New Users2010-11-05T00:00:00-07:002010-11-05T00:00:00-07:002010-27945Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-05/pdf/2010-27945.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/05/2010-27944.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Revenue Sharing Program With Correlix, Inc. and Free Trial Period for New Users2010-11-05T00:00:00-07:002010-11-05T00:00:00-07:002010-27944Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-05/pdf/2010-27944.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/05/2010-27943.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Flexible 60-Day Trial Period for New Users of Correlix Latency Measurement Services2010-11-05T00:00:00-07:002010-11-05T00:00:00-07:002010-27943Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-05/pdf/2010-27943.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27861.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402010-11-04T00:00:00-07:002010-11-04T00:00:00-07:002010-27861Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-04/pdf/2010-27861.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27860.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Proposed Fee2010-11-04T00:00:00-07:002010-11-04T00:00:00-07:002010-27860Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-04/pdf/2010-27860.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27858.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Maker Tier Appointment Cost for SPX2010-11-04T00:00:00-07:002010-11-04T00:00:00-07:002010-27858Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-04/pdf/2010-27858.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27857.htmlNotice - Notice of Intention To Cancel Registrations of Certain Transfer Agents2010-11-04T00:00:00-07:002010-11-04T00:00:00-07:002010-27857Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-04/pdf/2010-27857.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27856.htmlNotice - 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 System2010-11-04T00:00:00-07:002010-11-04T00:00:00-07:002010-27856Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-04/pdf/2010-27856.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27768.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Trade Options on Leveraged Exchange-Traded Notes and To Broaden the Definition of “Futures-Linked Securities”2010-11-03T00:00:00-07:002010-11-03T00:00:00-07:002010-27768Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27768.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27722.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Additional Criteria for Listing Commodity Stockpiling Companies That Have Indicated That Their Business Plan is To Buy and Hold Commodities2010-11-03T00:00:00-07:002010-11-03T00:00:00-07:002010-27722Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27722.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27701.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the $0.50 Strike Program2010-11-03T00:00:00-07:002010-11-03T00:00:00-07:002010-27701Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27701.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27690.htmlNotice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2010-11-03T00:00:00-07:002010-11-03T00:00:00-07:002010-27690Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27690.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27689.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2010-11-03T00:00:00-07:002010-11-03T00:00:00-07:002010-27689Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27689.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27688.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating to Access Service Fees2010-11-03T00:00:00-07:002010-11-03T00:00:00-07:002010-27688Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27688.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27687.htmlNotice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Procedures Related to the Automated Customer Account Transfer Service2010-11-03T00:00:00-07:002010-11-03T00:00:00-07:002010-27687Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27687.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27671.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Remove the Exemption From the Trading Activity Fee for Transactions in Exchange Listed Options Effected by a Member When FINRA Is Not the Designated Options Examining Authority for That Member2010-11-02T00:00:00-07:002010-11-02T00:00:00-07:002010-27671Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27671.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27670.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Clerical and Grammatical Corrections to Chapter VII, Section 1 (Exercise of Options Contracts) of the Boston Options Exchange Group, LLC Rules2010-11-02T00:00:00-07:002010-11-02T00:00:00-07:002010-27670Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27670.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27666.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Seventeenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Thirteenth Substantive Amendment to the Restated Consolidated Quotation Plan2010-11-02T00:00:00-07:002010-11-02T00:00:00-07:002010-27666Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27666.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27664.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Prices for Co-Location Services2010-11-02T00:00:00-07:002010-11-02T00:00:00-07:002010-27664Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27664.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27663.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for Co-Location Services2010-11-02T00:00:00-07:002010-11-02T00:00:00-07:002010-27663Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27663.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27662.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Prices for Co-Location Services2010-11-02T00:00:00-07:002010-11-02T00:00:00-07:002010-27662Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27662.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27659.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending Rule 900.3NY(h) To Define Stock/Complex Orders, Rule 963NY(d) To Update and Clarify the Priority of Complex Orders, Eliminate Rule 963.1NY, and Amend Rule 980NY To Establish a Complex Order Auction2010-11-02T00:00:00-07:002010-11-02T00:00:00-07:002010-27659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27659.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27645.htmlNotice - Self-Regulatory Organizations; The NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Establish Remote Specialists2010-11-02T00:00:00-07:002010-11-02T00:00:00-07:002010-27645Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27645.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27591.htmlNotice - Proposed Collection; Comment Request2010-11-02T00:00:00-07:002010-11-02T00:00:00-07:002010-27591Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27591.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27589.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Hybrid Automatic Execution Feature2010-11-02T00:00:00-07:002010-11-02T00:00:00-07:002010-27589Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27589.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27588.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Hybrid 3.0 Classes2010-11-02T00:00:00-07:002010-11-02T00:00:00-07:002010-27588Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27588.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27586.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Pilot Program To List Series With Additional Expiration Months for Each Class of Options Opened for Trading on the Exchange2010-11-02T00:00:00-07:002010-11-02T00:00:00-07:002010-27586Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27586.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27640.htmlNotice - Sunshine Act Meeting2010-11-01T00:00:00-07:002010-11-01T00:00:00-07:002010-27640Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-01/pdf/2010-27640.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27495.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook2010-11-01T00:00:00-07:002010-11-01T00:00:00-07:002010-27495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-01/pdf/2010-27495.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27494.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees2010-11-01T00:00:00-07:002010-11-01T00:00:00-07:002010-27494Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-01/pdf/2010-27494.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27468.htmlNotice - Proposed Collection; Comment Request2010-11-01T00:00:00-07:002010-11-01T00:00:00-07:002010-27468Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-01/pdf/2010-27468.pdfhttps://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27465.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Date for the Additional Expiration Months Pilot Program2010-11-01T00:00:00-07:002010-11-01T00:00:00-07:002010-27465Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-11-01/pdf/2010-27465.pdf