<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010/12/10?registers=between Thu, 21 Nov 2024 15:14:31 -0800 Thu, 21 Nov 2024 15:14:31 -0800 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/2010/12/10?registers=between Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Create a Bond Trading License for Member Organizations and Establish Bonds Liquidity Providers as a New Market Class on NYSE Under a Pilot Program https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31102.html https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31102.html Fri, 10 Dec 2010 00:00:00 -0800 2010-31102 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31102.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Direct Access to Exchange Data https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31101.html https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31101.html Fri, 10 Dec 2010 00:00:00 -0800 2010-31101 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31101.pdf Notice - Self-Regulatory Organizations; The NASDAQ OMX BX Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Direct Access to Exchange Data https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31100.html https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31100.html Fri, 10 Dec 2010 00:00:00 -0800 2010-31100 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31100.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Direct Access to Exchange Data https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31099.html https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31099.html Fri, 10 Dec 2010 00:00:00 -0800 2010-31099 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31099.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 7.31(k) and 7.23(a)(1) To Modify Certain Characteristics of the Q Order and Clarify the Interest Eligible for Satisfaction of a Market Maker's Two-Sided Obligation https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31097.html https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31097.html Fri, 10 Dec 2010 00:00:00 -0800 2010-31097 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31097.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31096.html https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31096.html Fri, 10 Dec 2010 00:00:00 -0800 2010-31096 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31096.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, To Create a Listing Market on the Exchange https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31078.html https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31078.html Fri, 10 Dec 2010 00:00:00 -0800 2010-31078 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31078.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Market Maker Quote Management Procedures https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31051.html https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31051.html Fri, 10 Dec 2010 00:00:00 -0800 2010-31051 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31051.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31050.html https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31050.html Fri, 10 Dec 2010 00:00:00 -0800 2010-31050 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31050.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31049.html https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31049.html Fri, 10 Dec 2010 00:00:00 -0800 2010-31049 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31049.pdf Proposed Rule - Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-29957.html https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-29957.html Fri, 10 Dec 2010 00:00:00 -0800 2010-29957 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-29957.pdf Proposed Rule - Rules Implementing Amendments to the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-29956.html https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-29956.html Fri, 10 Dec 2010 00:00:00 -0800 2010-29956 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-29956.pdf Proposed Rule - Security-Based Swap Data Repository Registration, Duties, and Core Principles https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-29719.html https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-29719.html Fri, 10 Dec 2010 00:00:00 -0800 2010-29719 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-29719.pdf