<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010/11?registers=between&min-day=1&max-day=30 Wed, 01 May 2024 19:37:35 -0700 Wed, 01 May 2024 19:37:35 -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/2010/11?registers=between&min-day=1&max-day=30 Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30088.html https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30088.html Tue, 30 Nov 2010 00:00:00 -0800 2010-30088 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-30/pdf/2010-30088.pdf Notice - 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 Companies https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30087.html https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30087.html Tue, 30 Nov 2010 00:00:00 -0800 2010-30087 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-30/pdf/2010-30087.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30035.html https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30035.html Tue, 30 Nov 2010 00:00:00 -0800 2010-30035 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-30/pdf/2010-30035.pdf Notice - 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, LLC https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30034.html https://regulations.justia.com/regulations/fedreg/2010/11/30/2010-30034.html Tue, 30 Nov 2010 00:00:00 -0800 2010-30034 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-30/pdf/2010-30034.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-30055.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-30055.html Mon, 29 Nov 2010 00:00:00 -0800 2010-30055 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-30055.pdf Notice - 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 Comment https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29929.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29929.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29929 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29929.pdf Notice - 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 Quotations https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29907.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29907.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29907 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29907.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29906.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29906.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29906 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29906.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29895.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29895.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29895 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29895.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29894.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29894.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29894 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29894.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Amend Certain Rules Pertaining to Credit Options https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29893.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29893.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29893 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29893.pdf Notice - 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 Product https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29892.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29892.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29892 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29892.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29889.html https://regulations.justia.com/regulations/fedreg/2010/11/29/2010-29889.html Mon, 29 Nov 2010 00:00:00 -0800 2010-29889 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-29/pdf/2010-29889.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29727.html https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29727.html Fri, 26 Nov 2010 00:00:00 -0800 2010-29727 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29727.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29725.html https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29725.html Fri, 26 Nov 2010 00:00:00 -0800 2010-29725 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29725.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29721.html https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29721.html Fri, 26 Nov 2010 00:00:00 -0800 2010-29721 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29721.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29720.html https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29720.html Fri, 26 Nov 2010 00:00:00 -0800 2010-29720 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29720.pdf Rule - Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29702.html https://regulations.justia.com/regulations/fedreg/2010/11/26/2010-29702.html Fri, 26 Nov 2010 00:00:00 -0800 2010-29702 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-11-26/pdf/2010-29702.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29614.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29614.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29614 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29614.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29612.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29612.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29612 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29612.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a $5 Strike Price Program https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29594.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29594.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29594 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29594.pdf Notice - 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 Limits https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29593.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29593.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29593 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29593.pdf Notice - 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 Limits https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29592.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29592.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29592 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29592.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29591.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29591.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29591 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29591.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29590.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29590.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29590 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29590.pdf Notice - ETSpreads, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29589.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29589.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29589 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29589.pdf Notice - SSgA Funds Management, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29588.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29588.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29588 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29588.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange-Traded Notes https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29562.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29562.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29562 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29562.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange-Traded Notes https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29561.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29561.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29561 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29561.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29560.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29560.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29560 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29560.pdf Notice - Fifth Street Finance Corp., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29559.html https://regulations.justia.com/regulations/fedreg/2010/11/24/2010-29559.html Wed, 24 Nov 2010 00:00:00 -0800 2010-29559 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-24/pdf/2010-29559.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29595.html https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29595.html Tue, 23 Nov 2010 00:00:00 -0800 2010-29595 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-23/pdf/2010-29595.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29447.html https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29447.html Tue, 23 Nov 2010 00:00:00 -0800 2010-29447 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-23/pdf/2010-29447.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Data Fees https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29402.html https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29402.html Tue, 23 Nov 2010 00:00:00 -0800 2010-29402 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-23/pdf/2010-29402.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29401.html https://regulations.justia.com/regulations/fedreg/2010/11/23/2010-29401.html Tue, 23 Nov 2010 00:00:00 -0800 2010-29401 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-23/pdf/2010-29401.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29475.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29475.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29475 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29475.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29395.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29395.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29395 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29395.pdf Notice - 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 BOX https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29352.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29352.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29352 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29352.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29351.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29351.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29351 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29351.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a $0.50 Strike Program https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29344.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29344.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29344 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29344.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Certain Membership Rules https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29343.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29343.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29343 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29343.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29281.html https://regulations.justia.com/regulations/fedreg/2010/11/22/2010-29281.html Mon, 22 Nov 2010 00:00:00 -0800 2010-29281 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-22/pdf/2010-29281.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Regarding Registration and Qualification Requirements for Associated Persons https://regulations.justia.com/regulations/fedreg/2010/11/19/2010-29160.html https://regulations.justia.com/regulations/fedreg/2010/11/19/2010-29160.html Fri, 19 Nov 2010 00:00:00 -0800 2010-29160 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-19/pdf/2010-29160.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29080.html https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29080.html Thu, 18 Nov 2010 00:00:00 -0800 2010-29080 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-18/pdf/2010-29080.pdf Notice - 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 Stocks https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29079.html https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29079.html Thu, 18 Nov 2010 00:00:00 -0800 2010-29079 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-18/pdf/2010-29079.pdf Notice - 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) Program https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29078.html https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29078.html Thu, 18 Nov 2010 00:00:00 -0800 2010-29078 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-18/pdf/2010-29078.pdf Notice - 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 Activities https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29077.html https://regulations.justia.com/regulations/fedreg/2010/11/18/2010-29077.html Thu, 18 Nov 2010 00:00:00 -0800 2010-29077 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-18/pdf/2010-29077.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-29075.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-29075.html Wed, 17 Nov 2010 00:00:00 -0800 2010-29075 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-29075.pdf Notice - 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 Contacts https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28986.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28986.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28986 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28986.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28983.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28983.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28983 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28983.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28982.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28982.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28982 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28982.pdf Notice - 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 Assignment https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28900.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28900.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28900 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28900.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the $0.50 Strike Program https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28899.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28899.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28899 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28899.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Eliminate Certain Cash Adjustments Currently Processed by the MBSD https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28897.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28897.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28897 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28897.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28896.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28896.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28896 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28896.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28895.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28895.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28895 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28895.pdf Notice - 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 Fund https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28894.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28894.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28894 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28894.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28893.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28893.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28893 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28893.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28892.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28892.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28892 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28892.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending the Exchange Price List; Correction https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28864.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28864.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28864 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28864.pdf Proposed Rule - Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28186.html https://regulations.justia.com/regulations/fedreg/2010/11/17/2010-28186.html Wed, 17 Nov 2010 00:00:00 -0800 2010-28186 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-11-17/pdf/2010-28186.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28924.html https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28924.html Tue, 16 Nov 2010 00:00:00 -0800 2010-28924 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28924.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28865.html https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28865.html Tue, 16 Nov 2010 00:00:00 -0800 2010-28865 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28865.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Weekly Options And Monthly Options https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28830.html https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28830.html Tue, 16 Nov 2010 00:00:00 -0800 2010-28830 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28830.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28829.html https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28829.html Tue, 16 Nov 2010 00:00:00 -0800 2010-28829 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28829.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28778.html https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28778.html Tue, 16 Nov 2010 00:00:00 -0800 2010-28778 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28778.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28777.html https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28777.html Tue, 16 Nov 2010 00:00:00 -0800 2010-28777 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28777.pdf Notice - 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 Examination https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28749.html https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28749.html Tue, 16 Nov 2010 00:00:00 -0800 2010-28749 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28749.pdf Notice - 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 Examination https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28748.html https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28748.html Tue, 16 Nov 2010 00:00:00 -0800 2010-28748 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28748.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/2010/11/16/2010-28747.html https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28747.html Tue, 16 Nov 2010 00:00:00 -0800 2010-28747 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28747.pdf Notice - 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 Prices https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28746.html https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28746.html Tue, 16 Nov 2010 00:00:00 -0800 2010-28746 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28746.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28691.html https://regulations.justia.com/regulations/fedreg/2010/11/16/2010-28691.html Tue, 16 Nov 2010 00:00:00 -0800 2010-28691 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-16/pdf/2010-28691.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28775.html https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28775.html Mon, 15 Nov 2010 00:00:00 -0800 2010-28775 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28775.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28690.html https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28690.html Mon, 15 Nov 2010 00:00:00 -0800 2010-28690 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28690.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28686.html https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28686.html Mon, 15 Nov 2010 00:00:00 -0800 2010-28686 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28686.pdf Notice - 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 Inactivity https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28663.html https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28663.html Mon, 15 Nov 2010 00:00:00 -0800 2010-28663 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28663.pdf Notice - 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-2010-043 https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28608.html https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28608.html Mon, 15 Nov 2010 00:00:00 -0800 2010-28608 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28608.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28607.html https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28607.html Mon, 15 Nov 2010 00:00:00 -0800 2010-28607 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28607.pdf Notice - 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 Solutions https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28548.html https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28548.html Mon, 15 Nov 2010 00:00:00 -0800 2010-28548 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28548.pdf Rule - Risk Management Controls for Brokers or Dealers With Market Access https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28303.html https://regulations.justia.com/regulations/fedreg/2010/11/15/2010-28303.html Mon, 15 Nov 2010 00:00:00 -0800 2010-28303 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-11-15/pdf/2010-28303.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28547.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28547.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28547 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28547.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28545.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28545.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28545 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28545.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28543.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28543.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28543 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28543.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by New York Stock Exchange LLC Changing the NYBX Order Execution Sequence https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28542.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28542.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28542 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28542.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28541.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28541.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28541 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28541.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28540.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28540.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28540 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28540.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28514.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28514.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28514 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28514.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28466.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28466.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28466 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28466.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6140 (Other Trading Practices) https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28462.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28462.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28462 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28462.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating To Access Service Fees https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28461.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28461.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28461 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28461.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28454.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28454.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28454 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28454.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28453.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28453.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28453 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28453.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28451.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28451.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28451 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28451.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28444.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28444.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28444 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28444.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28443.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28443.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28443 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28443.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28442.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28442.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28442 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28442.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28419.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28419.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28419 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28419.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PULSe Fees https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28418.html https://regulations.justia.com/regulations/fedreg/2010/11/12/2010-28418.html Fri, 12 Nov 2010 00:00:00 -0800 2010-28418 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-12/pdf/2010-28418.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2010/11/10/2010-28331.html https://regulations.justia.com/regulations/fedreg/2010/11/10/2010-28331.html Wed, 10 Nov 2010 00:00:00 -0800 2010-28331 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-10/pdf/2010-28331.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/2010/11/10/2010-28330.html https://regulations.justia.com/regulations/fedreg/2010/11/10/2010-28330.html Wed, 10 Nov 2010 00:00:00 -0800 2010-28330 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-10/pdf/2010-28330.pdf Rule - Regulation SHO https://regulations.justia.com/regulations/fedreg/2010/11/09/2010-28327.html https://regulations.justia.com/regulations/fedreg/2010/11/09/2010-28327.html Tue, 09 Nov 2010 00:00:00 -0800 2010-28327 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-11-09/pdf/2010-28327.pdf Notice - 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 Acquisition https://regulations.justia.com/regulations/fedreg/2010/11/09/2010-28247.html https://regulations.justia.com/regulations/fedreg/2010/11/09/2010-28247.html Tue, 09 Nov 2010 00:00:00 -0800 2010-28247 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-09/pdf/2010-28247.pdf Notice - 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 Filings https://regulations.justia.com/regulations/fedreg/2010/11/09/2010-28246.html https://regulations.justia.com/regulations/fedreg/2010/11/09/2010-28246.html Tue, 09 Nov 2010 00:00:00 -0800 2010-28246 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-09/pdf/2010-28246.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Short Sell Order Handling https://regulations.justia.com/regulations/fedreg/2010/11/09/2010-28244.html https://regulations.justia.com/regulations/fedreg/2010/11/09/2010-28244.html Tue, 09 Nov 2010 00:00:00 -0800 2010-28244 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-09/pdf/2010-28244.pdf Notice - 8000, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28241.html https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28241.html Mon, 08 Nov 2010 00:00:00 -0800 2010-28241 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28241.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28185.html https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28185.html Mon, 08 Nov 2010 00:00:00 -0800 2010-28185 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28185.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28184.html https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28184.html Mon, 08 Nov 2010 00:00:00 -0800 2010-28184 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28184.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28183.html https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28183.html Mon, 08 Nov 2010 00:00:00 -0800 2010-28183 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28183.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/2010/11/08/2010-28182.html https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28182.html Mon, 08 Nov 2010 00:00:00 -0800 2010-28182 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28182.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/2010/11/08/2010-28181.html https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28181.html Mon, 08 Nov 2010 00:00:00 -0800 2010-28181 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28181.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28180.html https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28180.html Mon, 08 Nov 2010 00:00:00 -0800 2010-28180 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28180.pdf Notice - President's Working Group Report on Money Market Fund Reform https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28177.html https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28177.html Mon, 08 Nov 2010 00:00:00 -0800 2010-28177 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28177.pdf Proposed Rule - Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28136.html https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28136.html Mon, 08 Nov 2010 00:00:00 -0800 2010-28136 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28136.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28066.html https://regulations.justia.com/regulations/fedreg/2010/11/08/2010-28066.html Mon, 08 Nov 2010 00:00:00 -0800 2010-28066 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-08/pdf/2010-28066.pdf Notice - Sunshine Act Meeting. https://regulations.justia.com/regulations/fedreg/2010/11/05/2010-28140.html https://regulations.justia.com/regulations/fedreg/2010/11/05/2010-28140.html Fri, 05 Nov 2010 00:00:00 -0700 2010-28140 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-05/pdf/2010-28140.pdf Notice - 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. Currency https://regulations.justia.com/regulations/fedreg/2010/11/05/2010-28059.html https://regulations.justia.com/regulations/fedreg/2010/11/05/2010-28059.html Fri, 05 Nov 2010 00:00:00 -0700 2010-28059 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-05/pdf/2010-28059.pdf Notice - 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 Methodology https://regulations.justia.com/regulations/fedreg/2010/11/05/2010-28057.html https://regulations.justia.com/regulations/fedreg/2010/11/05/2010-28057.html Fri, 05 Nov 2010 00:00:00 -0700 2010-28057 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-05/pdf/2010-28057.pdf Notice - 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 Users https://regulations.justia.com/regulations/fedreg/2010/11/05/2010-27945.html https://regulations.justia.com/regulations/fedreg/2010/11/05/2010-27945.html Fri, 05 Nov 2010 00:00:00 -0700 2010-27945 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-05/pdf/2010-27945.pdf Notice - 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 Users https://regulations.justia.com/regulations/fedreg/2010/11/05/2010-27944.html https://regulations.justia.com/regulations/fedreg/2010/11/05/2010-27944.html Fri, 05 Nov 2010 00:00:00 -0700 2010-27944 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-05/pdf/2010-27944.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2010/11/05/2010-27943.html https://regulations.justia.com/regulations/fedreg/2010/11/05/2010-27943.html Fri, 05 Nov 2010 00:00:00 -0700 2010-27943 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-05/pdf/2010-27943.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27861.html https://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27861.html Thu, 04 Nov 2010 00:00:00 -0700 2010-27861 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-04/pdf/2010-27861.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Proposed Fee https://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27860.html https://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27860.html Thu, 04 Nov 2010 00:00:00 -0700 2010-27860 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-04/pdf/2010-27860.pdf Notice - 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 SPX https://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27858.html https://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27858.html Thu, 04 Nov 2010 00:00:00 -0700 2010-27858 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-04/pdf/2010-27858.pdf Notice - Notice of Intention To Cancel Registrations of Certain Transfer Agents https://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27857.html https://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27857.html Thu, 04 Nov 2010 00:00:00 -0700 2010-27857 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-04/pdf/2010-27857.pdf 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 https://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27856.html https://regulations.justia.com/regulations/fedreg/2010/11/04/2010-27856.html Thu, 04 Nov 2010 00:00:00 -0700 2010-27856 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-04/pdf/2010-27856.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27768.html https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27768.html Wed, 03 Nov 2010 00:00:00 -0700 2010-27768 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27768.pdf Notice - 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 Commodities https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27722.html https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27722.html Wed, 03 Nov 2010 00:00:00 -0700 2010-27722 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27722.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the $0.50 Strike Program https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27701.html https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27701.html Wed, 03 Nov 2010 00:00:00 -0700 2010-27701 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27701.pdf Notice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27690.html https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27690.html Wed, 03 Nov 2010 00:00:00 -0700 2010-27690 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27690.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27689.html https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27689.html Wed, 03 Nov 2010 00:00:00 -0700 2010-27689 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27689.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating to Access Service Fees https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27688.html https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27688.html Wed, 03 Nov 2010 00:00:00 -0700 2010-27688 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27688.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27687.html https://regulations.justia.com/regulations/fedreg/2010/11/03/2010-27687.html Wed, 03 Nov 2010 00:00:00 -0700 2010-27687 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-03/pdf/2010-27687.pdf Notice - 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 Member https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27671.html https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27671.html Tue, 02 Nov 2010 00:00:00 -0700 2010-27671 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27671.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27670.html https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27670.html Tue, 02 Nov 2010 00:00:00 -0700 2010-27670 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27670.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27666.html https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27666.html Tue, 02 Nov 2010 00:00:00 -0700 2010-27666 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27666.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Prices for Co-Location Services https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27664.html https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27664.html Tue, 02 Nov 2010 00:00:00 -0700 2010-27664 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27664.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for Co-Location Services https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27663.html https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27663.html Tue, 02 Nov 2010 00:00:00 -0700 2010-27663 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27663.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Prices for Co-Location Services https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27662.html https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27662.html Tue, 02 Nov 2010 00:00:00 -0700 2010-27662 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27662.pdf Notice - 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 Auction https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27659.html https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27659.html Tue, 02 Nov 2010 00:00:00 -0700 2010-27659 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27659.pdf Notice - Self-Regulatory Organizations; The NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Establish Remote Specialists https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27645.html https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27645.html Tue, 02 Nov 2010 00:00:00 -0700 2010-27645 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27645.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27591.html https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27591.html Tue, 02 Nov 2010 00:00:00 -0700 2010-27591 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27591.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Hybrid Automatic Execution Feature https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27589.html https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27589.html Tue, 02 Nov 2010 00:00:00 -0700 2010-27589 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27589.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Hybrid 3.0 Classes https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27588.html https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27588.html Tue, 02 Nov 2010 00:00:00 -0700 2010-27588 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27588.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27586.html https://regulations.justia.com/regulations/fedreg/2010/11/02/2010-27586.html Tue, 02 Nov 2010 00:00:00 -0700 2010-27586 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-02/pdf/2010-27586.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27640.html https://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27640.html Mon, 01 Nov 2010 00:00:00 -0700 2010-27640 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-01/pdf/2010-27640.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27495.html https://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27495.html Mon, 01 Nov 2010 00:00:00 -0700 2010-27495 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-01/pdf/2010-27495.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees https://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27494.html https://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27494.html Mon, 01 Nov 2010 00:00:00 -0700 2010-27494 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-01/pdf/2010-27494.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27468.html https://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27468.html Mon, 01 Nov 2010 00:00:00 -0700 2010-27468 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-01/pdf/2010-27468.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27465.html https://regulations.justia.com/regulations/fedreg/2010/11/01/2010-27465.html Mon, 01 Nov 2010 00:00:00 -0700 2010-27465 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-11-01/pdf/2010-27465.pdf