<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010/12/15?registers=between Tue, 26 Nov 2024 22:57:24 -0800 Tue, 26 Nov 2024 22:57:24 -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/2010/12/15?registers=between Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13 To Extend the Operation of a Pilot Pursuant to Rule 11.13 Until April 11, 2011 https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31491.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31491.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31491 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31491.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.13 To Extend the Operation of a Pilot Pursuant to Rule 11.13 Until April 11, 2011 https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31490.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31490.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31490 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31490.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Complex Orders https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31487.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31487.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31487 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31487.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on 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/2010/12/15/2010-31485.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31485.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31485 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31485.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102 To Extend the Pilot Program https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31484.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31484.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31484 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31484.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products That Experience a Price Change of 10% or More During a Five-Minute Period https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31483.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31483.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31483 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31483.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products That Experience a Price Change of 10% or More During a Five-Minute Period https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31482.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31482.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31482 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31482.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of the Trading Pause Pilot https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31480.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31480.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31480 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31480.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of the Individual Stock Trading Pause Pilot Program https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31479.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31479.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31479 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31479.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 80C To Extend the Effective Date of the Pilot https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31478.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31478.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31478 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31478.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C To Extend the Effective Date of the Pilot https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31477.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31477.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31477 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31477.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Related to Individual Securities Circuit Breakers https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31475.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31475.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31475 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31475.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Quote Management Procedures https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31474.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31474.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31474 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31474.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31472.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31472.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31472 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31472.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11 To Extend the Effective Date of the Pilot https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31470.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31470.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31470 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31470.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Collection of Exchange Fees https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31457.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31457.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31457 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31457.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/2010/12/15/2010-31456.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31456.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31456 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31456.pdf Notice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Teucrium Natural Gas Fund Under NYSE Arca Equities Rule 8.200 https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31455.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31455.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31455 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31455.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating To Changing the Starting Time for NASDAQ OMX PSX https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31454.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31454.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31454 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31454.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Transactions Rule https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31453.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31453.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31453 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31453.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Transactions Rule https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31452.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31452.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31452 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31452.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Transactions Rule https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31451.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31451.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31451 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31451.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Pilot Program Related To Clearly Erroneous Execution Reviews https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31450.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31450.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31450 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31450.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Pilot Program Related to Clearly Erroneous Execution Transactions https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31449.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31449.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31449 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31449.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Pilot Program Related to Clearly Erroneous Execution Reviews https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31448.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31448.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31448 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31448.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Extension of the Clearly Erroneous Policy Pilot Program https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31447.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31447.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31447 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31447.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend Pilot Program Regarding Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31446.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31446.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31446 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31446.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31445.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31445.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31445 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31445.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 7.10, Which Governs Clearly Erroneous Executions, To Extend the Effective Date of the Pilot https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31442.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31442.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31442 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31442.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 To Extend the Pilot Program https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31441.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31441.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31441 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31441.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 128, Which Governs Clearly Erroneous Executions, To Extend the Effective Date of the Pilot https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31440.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31440.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31440 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31440.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 128, Which Governs Clearly Erroneous Executions, To Extend the Effective Date of the Pilot https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31439.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31439.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31439 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31439.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Schedule and Circular Regarding Trading Permit Holder Application and Other Related Fees https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31437.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31437.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31437 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31437.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to CBOE's Marketing Fee Program https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31436.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31436.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31436 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31436.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule To Add Two New Routing Options https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31435.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31435.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31435 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31435.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule To Add Two New Routing Options https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31434.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31434.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31434 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31434.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/2010/12/15/2010-31433.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31433.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31433 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31433.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/2010/12/15/2010-31432.html https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31432.html Wed, 15 Dec 2010 00:00:00 -0800 2010-31432 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31432.pdf