Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010/12?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T21:51:10-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2010/12/30/2010-33077.htmlRule - Principal Trades with Certain Advisory Clients2010-12-30T00:00:00-08:002010-12-30T00:00:00-08:002010-33077Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-33077.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32941.htmlNotice - Proposed Collection; Comment Request2010-12-30T00:00:00-08:002010-12-30T00:00:00-08:002010-32941Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32941.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32904.htmlNotice - Self-Regulatory Organizations, The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Amend IM-5101-2 To Provide Special Purpose Acquisition Companies the Option To Hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition and Other Changes to the SPAC Listing Standards2010-12-30T00:00:00-08:002010-12-30T00:00:00-08:002010-32904Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32904.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32891.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising Floor Qualification Examination2010-12-30T00:00:00-08:002010-12-30T00:00:00-08:002010-32891Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32891.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32885.htmlNotice - Public Company Accounting Oversight Board; Order Approving Proposed Rules on Auditing Standards Related to the Auditor's Assessment of and Response to Risk and Related Amendments to PCAOB Standards2010-12-30T00:00:00-08:002010-12-30T00:00:00-08:002010-32885Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32885.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32085.htmlProposed Rule - Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations2010-12-30T00:00:00-08:002010-12-30T00:00:00-08:002010-32085Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32085.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32787.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the Insurance and Retirement Processing Services To Incorporate a New Analytics Reporting Service2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32787Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32787.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32734.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operation of the Pilot Program That Allows Nasdaq Stock Market Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32734Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32734.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32733.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Managed Futures Strategy Fund2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32733Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32733.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32732.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Amendments to Rule G-5, on Disciplinary Actions by Appropriate Regulatory Agencies, Remedial Notices by Registered Securities Associations; and Rule G-17, on Conduct of Municipal Securities Activities2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32732Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32732.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32731.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Create a Listing Market on the Exchange2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32731Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32731.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32730.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change to Enhance the Reconfirmation and Pricing Service, Including the Creation of the Obligation Warehouse2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32730Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32730.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32729.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32729Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32729.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32728.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Trading Rules To Permit Trading Options on Leveraged (Multiple or Inverse) Exchange-Traded Notes and Broaden the Definition of “Futures-Linked Securities”2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32728Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32728.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32715.htmlNotice - Order Approving Investment Adviser Registration Depository Filing Fees2010-12-29T00:00:00-08:002010-12-29T00:00:00-08:002010-32715Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32715.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32727.htmlNotice - Sunshine Act Meeting2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32727Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32727.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32650.htmlNotice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20112010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32650Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32650.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32623.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC To Expand Its Short Term Option Program2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32623.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32622.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Permanent the Pilot Program That Offers Liquidity Takers a Reduced Transaction Fee Structure for Certain Bond Trades Executed on the NYSE Bonds System2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32622Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32622.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32615.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue the Practice Governing the Directed Order Process on BOX2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32615Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32615.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32614.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.52010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32614Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32614.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32613.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX Rule 11.52010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32613Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32613.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32608.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the SiM Dynamic Allocation Diversified Income ETF and SiM Dynamic Allocation Growth Income ETF2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32608Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32608.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32607.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Various NYSE Arca Equities Rules To Harmonize Them With Financial Industry Regulatory Authority Rules2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32607.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32553.htmlNotice - Submission for OMB Review; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32553.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32522.htmlNotice - Submission for OMB Review; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32522Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32522.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32521.htmlNotice - Proposed Collection; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32521Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32521.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32520.htmlNotice - Proposed Collection; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32520Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32520.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32519.htmlNotice - Proposed Collection; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32519Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32519.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32518.htmlNotice - Proposed Collection; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32518Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32518.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32517.htmlNotice - Proposed Collection; Comment Request2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32517Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32517.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32516.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend FINRA Rule 6140 (Other Trading Practices)2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32516Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32516.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32513.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of the Grail Western Asset Ultra Short Duration ETF Under NYSE Arca Equities Rule 8.6002010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32513Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32513.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32512.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Hybrid Opening System2010-12-28T00:00:00-08:002010-12-28T00:00:00-08:002010-32512Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32512.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/27/2010-32382.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Alpha Index Options2010-12-27T00:00:00-08:002010-12-27T00:00:00-08:002010-32382Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-27/pdf/2010-32382.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/27/2010-32376.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule2010-12-27T00:00:00-08:002010-12-27T00:00:00-08:002010-32376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-27/pdf/2010-32376.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/27/2010-32372.htmlNotice - Proposed Collection; Comment Request2010-12-27T00:00:00-08:002010-12-27T00:00:00-08:002010-32372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-27/pdf/2010-32372.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32287.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32287Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32287.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32286.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Amend EDGX Rules 11.9 and 11.52010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32286Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32286.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32285.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Amend EDGA Rules 11.9(b)(1)(C) and 11.5(c)(7) Regarding Step-Up Orders2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32285Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32285.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32280.htmlNotice - Credit Rating Standardization Study2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32280Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32280.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32225.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change To Authorize Additional Shares of Preferred Stock and Designate Shares as Series A Preferred Stock2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32225.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32224.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify How Odd-Lots Are Handled on CBSX2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32224.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32223.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Eliminate the Validated Cross Trade Entry Functionality2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32223.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32222.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Options Overlying QNET2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-32222Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32222.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-31943.htmlProposed Rule - Disclosure of Payments by Resource Extraction Issuers2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-31943Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-31943.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/23/2010-31940.htmlProposed Rule - Conflict Minerals2010-12-23T00:00:00-08:002010-12-23T00:00:00-08:002010-31940Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-31940.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32098.htmlRule - Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities2010-12-22T00:00:00-08:002010-12-22T00:00:00-08:002010-32098Rulehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32098.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32090.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations)2010-12-22T00:00:00-08:002010-12-22T00:00:00-08:002010-32090Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32090.pdfhttps://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32089.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Relating to Complex Orders2010-12-22T00:00:00-08:002010-12-22T00:00:00-08:002010-32089Noticehttp://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32089.pdf