Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2010?limit=200&registers=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom 2024-07-15T01:09:08-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2010/12/30/2010-33077.html Rule - Principal Trades with Certain Advisory Clients 2010-12-30T00:00:00-08:00 2010-12-30T00:00:00-08:00 2010-33077 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-33077.pdf https://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32941.html Notice - Proposed Collection; Comment Request 2010-12-30T00:00:00-08:00 2010-12-30T00:00:00-08:00 2010-32941 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32941.pdf https://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32904.html Notice - 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 Standards 2010-12-30T00:00:00-08:00 2010-12-30T00:00:00-08:00 2010-32904 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32904.pdf https://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32891.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising Floor Qualification Examination 2010-12-30T00:00:00-08:00 2010-12-30T00:00:00-08:00 2010-32891 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32891.pdf https://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32885.html Notice - 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 Standards 2010-12-30T00:00:00-08:00 2010-12-30T00:00:00-08:00 2010-32885 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32885.pdf https://regulations.justia.com/regulations/fedreg/2010/12/30/2010-32085.html Proposed 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 Organizations 2010-12-30T00:00:00-08:00 2010-12-30T00:00:00-08:00 2010-32085 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-30/pdf/2010-32085.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32787.html Notice - 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 Service 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32787 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32787.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32734.html Notice - 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 Privileges 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32734 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32734.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32733.html Notice - 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 Fund 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32733 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32733.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32732.html Notice - 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 Activities 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32732 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32732.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32731.html Notice - 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 Exchange 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32731 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32731.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32730.html Notice - 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 Warehouse 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32730 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32730.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32729.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32729 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32729.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32728.html Notice - 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” 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32728 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32728.pdf https://regulations.justia.com/regulations/fedreg/2010/12/29/2010-32715.html Notice - Order Approving Investment Adviser Registration Depository Filing Fees 2010-12-29T00:00:00-08:00 2010-12-29T00:00:00-08:00 2010-32715 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-29/pdf/2010-32715.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32727.html Notice - Sunshine Act Meeting 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32727 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32727.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32650.html Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2011 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32650 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32650.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32623.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX LLC To Expand Its Short Term Option Program 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32623 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32623.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32622.html Notice - 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 System 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32622 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32622.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32615.html Notice - 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 BOX 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32615 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32615.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32614.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.5 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32614 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32614.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32613.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX Rule 11.5 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32613 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32613.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32608.html Notice - 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 ETF 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32608 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32608.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32607.html Notice - 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 Rules 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32607 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32607.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32553.html Notice - Submission for OMB Review; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32553 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32553.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32522.html Notice - Submission for OMB Review; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32522 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32522.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32521.html Notice - Proposed Collection; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32521 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32521.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32520.html Notice - Proposed Collection; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32520 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32520.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32519.html Notice - Proposed Collection; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32519 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32519.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32518.html Notice - Proposed Collection; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32518 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32518.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32517.html Notice - Proposed Collection; Comment Request 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32517 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32517.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32516.html Notice - 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) 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32516 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32516.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32513.html Notice - 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 8.600 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32513 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32513.pdf https://regulations.justia.com/regulations/fedreg/2010/12/28/2010-32512.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Hybrid Opening System 2010-12-28T00:00:00-08:00 2010-12-28T00:00:00-08:00 2010-32512 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-28/pdf/2010-32512.pdf https://regulations.justia.com/regulations/fedreg/2010/12/27/2010-32382.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Alpha Index Options 2010-12-27T00:00:00-08:00 2010-12-27T00:00:00-08:00 2010-32382 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-27/pdf/2010-32382.pdf https://regulations.justia.com/regulations/fedreg/2010/12/27/2010-32376.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule 2010-12-27T00:00:00-08:00 2010-12-27T00:00:00-08:00 2010-32376 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-27/pdf/2010-32376.pdf https://regulations.justia.com/regulations/fedreg/2010/12/27/2010-32372.html Notice - Proposed Collection; Comment Request 2010-12-27T00:00:00-08:00 2010-12-27T00:00:00-08:00 2010-32372 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-27/pdf/2010-32372.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32287.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32287 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32287.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32286.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Amend EDGX Rules 11.9 and 11.5 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32286 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32286.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32285.html Notice - 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 Orders 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32285 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32285.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32280.html Notice - Credit Rating Standardization Study 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32280 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32280.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32225.html Notice - 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 Stock 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32225 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32225.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32224.html Notice - 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 CBSX 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32224 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32224.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32223.html Notice - 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 Functionality 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32223 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32223.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-32222.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Options Overlying QNET 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-32222 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-32222.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-31943.html Proposed Rule - Disclosure of Payments by Resource Extraction Issuers 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-31943 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-31943.pdf https://regulations.justia.com/regulations/fedreg/2010/12/23/2010-31940.html Proposed Rule - Conflict Minerals 2010-12-23T00:00:00-08:00 2010-12-23T00:00:00-08:00 2010-31940 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-23/pdf/2010-31940.pdf https://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32098.html Rule - Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities 2010-12-22T00:00:00-08:00 2010-12-22T00:00:00-08:00 2010-32098 Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32098.pdf https://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32090.html Notice - 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) 2010-12-22T00:00:00-08:00 2010-12-22T00:00:00-08:00 2010-32090 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32090.pdf https://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32089.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Relating to Complex Orders 2010-12-22T00:00:00-08:00 2010-12-22T00:00:00-08:00 2010-32089 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32089.pdf https://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32087.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .11(a) to NYSE Amex Options Rule 915 To Permit Trading Options on Leveraged Exchange-Traded Notes and Broaden the Definition of Futures Linked Securities 2010-12-22T00:00:00-08:00 2010-12-22T00:00:00-08:00 2010-32087 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32087.pdf https://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32086.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to Chicago Mercantile Exchange's Rules Governing Contract Specifications for Physically Delivered Single Security Futures 2010-12-22T00:00:00-08:00 2010-12-22T00:00:00-08:00 2010-32086 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32086.pdf https://regulations.justia.com/regulations/fedreg/2010/12/22/2010-32067.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Regarding Rule 4.20-Anti-Money Laundering Compliance Program 2010-12-22T00:00:00-08:00 2010-12-22T00:00:00-08:00 2010-32067 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-32067.pdf https://regulations.justia.com/regulations/fedreg/2010/12/22/2010-31941.html Proposed Rule - Mine Safety Disclosure 2010-12-22T00:00:00-08:00 2010-12-22T00:00:00-08:00 2010-31941 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-22/pdf/2010-31941.pdf https://regulations.justia.com/regulations/fedreg/2010/12/21/2010-32096.html Notice - Supatcha Resources Inc.; Order of Suspension of Trading 2010-12-21T00:00:00-08:00 2010-12-21T00:00:00-08:00 2010-32096 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-32096.pdf https://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31994.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 5.3(j) To Permit Trading Options on Leveraged Exchange-Traded Notes and Broaden the Definition of Futures Linked Securities 2010-12-21T00:00:00-08:00 2010-12-21T00:00:00-08:00 2010-31994 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31994.pdf https://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31973.html Proposed Rule - End-User Exception to Mandatory Clearing of Security-Based Swaps 2010-12-21T00:00:00-08:00 2010-12-21T00:00:00-08:00 2010-31973 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31973.pdf https://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31951.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Regarding Registration and Qualification Requirements for Associated Persons 2010-12-21T00:00:00-08:00 2010-12-21T00:00:00-08:00 2010-31951 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31951.pdf https://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31950.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Establish Royalty Fees for Non-Customer Executions in Options Based on the KBW Bank Index 2010-12-21T00:00:00-08:00 2010-12-21T00:00:00-08:00 2010-31950 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31950.pdf https://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31949.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Establishing Strike Price Intervals of $1 and Increasing Position and Exercise Limits With Respect to Options on the KBW Bank Index 2010-12-21T00:00:00-08:00 2010-12-21T00:00:00-08:00 2010-31949 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31949.pdf https://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31932.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Margin Requirements for Credit Options 2010-12-21T00:00:00-08:00 2010-12-21T00:00:00-08:00 2010-31932 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31932.pdf https://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31931.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend for 12 Months the Pilot Program Permitting the Exchange's Ownership Interest in BIDS Holdings L.P. (BIDS) and the Affiliation of BIDS With the New York Block Exchange LLC 2010-12-21T00:00:00-08:00 2010-12-21T00:00:00-08:00 2010-31931 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31931.pdf https://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31930.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the C2 Fees Schedule 2010-12-21T00:00:00-08:00 2010-12-21T00:00:00-08:00 2010-31930 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31930.pdf https://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31928.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C To Clarify That Exchange Systems Enforce Rule 123C With Respect to Market At-The-Close and Limit At-The-Close Order Entry After 3:45 p.m. 2010-12-21T00:00:00-08:00 2010-12-21T00:00:00-08:00 2010-31928 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31928.pdf https://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31926.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C-NYSE Amex Equities To Clarify That Exchange Systems Enforce Rule 123C With Respect to Market At-The-Close and Limit At-The-Close Order Entry After 3:45 p.m. 2010-12-21T00:00:00-08:00 2010-12-21T00:00:00-08:00 2010-31926 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31926.pdf https://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31925.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Collection of Exchange Fees 2010-12-21T00:00:00-08:00 2010-12-21T00:00:00-08:00 2010-31925 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31925.pdf https://regulations.justia.com/regulations/fedreg/2010/12/21/2010-31130.html Proposed Rule - Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant” 2010-12-21T00:00:00-08:00 2010-12-21T00:00:00-08:00 2010-31130 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-21/pdf/2010-31130.pdf https://regulations.justia.com/regulations/fedreg/2010/12/20/C1-2010-29719.html Proposed Rule - Security-Based Swap Data Repository Registration, Duties, and Core Principles 2010-12-20T00:00:00-08:00 2010-12-20T00:00:00-08:00 C1-2010-29719 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/C1-2010-29719.pdf https://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31827.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue the Practice Governing the Exchange's Directed Order Process on BOX and Maintain the Effective Date Until December 31, 2010 2010-12-20T00:00:00-08:00 2010-12-20T00:00:00-08:00 2010-31827 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31827.pdf https://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31826.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend Chapter IV of the BOX Rules To Allow Executing Participants To Provide BOX a List of the Order Flow Providers for Which the Executing Participants Will Provide Directed Order Services 2010-12-20T00:00:00-08:00 2010-12-20T00:00:00-08:00 2010-31826 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31826.pdf https://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31825.html 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 2010-12-20T00:00:00-08:00 2010-12-20T00:00:00-08:00 2010-31825 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31825.pdf https://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31821.html Notice - Submission for OMB Review; Comment Request 2010-12-20T00:00:00-08:00 2010-12-20T00:00:00-08:00 2010-31821 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31821.pdf https://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31820.html Notice - Submission for OMB Review; Comment Request 2010-12-20T00:00:00-08:00 2010-12-20T00:00:00-08:00 2010-31820 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31820.pdf https://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31819.html Notice - Submission for OMB Review; Comment Request 2010-12-20T00:00:00-08:00 2010-12-20T00:00:00-08:00 2010-31819 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31819.pdf https://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31817.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(9)(a)(1) To Extend the Operation of a Pilot Operating Pursuant to the Rule Until June 1, 2011 2010-12-20T00:00:00-08:00 2010-12-20T00:00:00-08:00 2010-31817 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31817.pdf https://regulations.justia.com/regulations/fedreg/2010/12/20/2010-31816.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 123C(9)(a)(1) To Extend the Operation of a Pilot Operating Pursuant to the Rule Until June 1, 2011 2010-12-20T00:00:00-08:00 2010-12-20T00:00:00-08:00 2010-31816 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-31816.pdf https://regulations.justia.com/regulations/fedreg/2010/12/20/2010-30469.html Unknown - Regulatory Flexibility Agenda 2010-12-20T00:00:00-08:00 2010-12-20T00:00:00-08:00 2010-30469 Unknown http://www.gpo.gov/fdsys/pkg/FR-2010-12-20/pdf/2010-30469.pdf https://regulations.justia.com/regulations/fedreg/2010/12/17/2010-31685.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendments to Rule A-3, on Membership on the Board 2010-12-17T00:00:00-08:00 2010-12-17T00:00:00-08:00 2010-31685 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-17/pdf/2010-31685.pdf https://regulations.justia.com/regulations/fedreg/2010/12/17/2010-31684.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, by New York Stock Exchange LLC in Connection with the Proposal of NYSE Euronext to Eliminate the Requirement of an 80% Supermajority Vote to Amend or Repeal Section 3.1 of its Bylaws 2010-12-17T00:00:00-08:00 2010-12-17T00:00:00-08:00 2010-31684 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-17/pdf/2010-31684.pdf https://regulations.justia.com/regulations/fedreg/2010/12/17/2010-31683.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Fee Waiver 2010-12-17T00:00:00-08:00 2010-12-17T00:00:00-08:00 2010-31683 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-17/pdf/2010-31683.pdf https://regulations.justia.com/regulations/fedreg/2010/12/17/2010-31682.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide an Exemption from the Thirty-Day Written Notice Requirement of Rule 7018(i)(3) 2010-12-17T00:00:00-08:00 2010-12-17T00:00:00-08:00 2010-31682 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-17/pdf/2010-31682.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31698.html Notice - In the Matter of Alternate Energy Holdings, Inc.; Order of Suspension of Trading 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31698 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31698.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31634.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professional and Voluntary Professional Fees 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31634 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31634.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31633.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change Implementation Date for Direct Access Fees 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31633 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31633.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31630.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Change Implementation Date for Direct Access Fees 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31630 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31630.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31628.html Notice - Self-Regulatory Organizations; The NASDAQ OMX BX Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change Implementation Date for Direct Access Fees 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31628 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31628.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31627.html 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 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31627 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31627.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31626.html 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 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31626 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31626.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31625.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31625 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31625.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31563.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX; 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 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31563 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31563.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31562.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.14 To Extend the Operation of a Pilot Pursuant to the Rule Until April 11, 2011 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31562 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31562.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31561.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31561 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31561.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31560.html 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 Trading Pauses in Individual Securities Due To Extraordinary Market Volatility 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31560 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31560.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31559.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 To Extend the Operation of a Pilot Pursuant to the Rule Until April 11, 2011 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31559 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31559.pdf https://regulations.justia.com/regulations/fedreg/2010/12/16/2010-31537.html Notice - Order Approving Public Company Accounting Oversight Board Supplemental Budget Request To Establish an Office of Outreach and Small Business Liaison in 2010 2010-12-16T00:00:00-08:00 2010-12-16T00:00:00-08:00 2010-31537 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-16/pdf/2010-31537.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31491.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31491 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31491.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31490.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31490 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31490.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31487.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31487 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31487.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31485.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31485 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31485.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31484.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31484 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31484.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31483.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31483 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31483.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31482.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31482 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31482.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31480.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31480 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31480.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31479.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31479 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31479.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31478.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31478 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31478.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31477.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31477 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31477.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31475.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31475 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31475.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31474.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Quote Management Procedures 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31474 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31474.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31472.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31472 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31472.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31470.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31470 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31470.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31457.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31457 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31457.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31456.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31456 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31456.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31455.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31455 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31455.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31454.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31454 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31454.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31453.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31453 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31453.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31452.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31452 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31452.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31451.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31451 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31451.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31450.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31450 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31450.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31449.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31449 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31449.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31448.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31448 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31448.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31447.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31447 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31447.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31446.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31446 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31446.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31445.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31445 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31445.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31442.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31442 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31442.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31441.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31441 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31441.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31440.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31440 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31440.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31439.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31439 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31439.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31437.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31437 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31437.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31436.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31436 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31436.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31435.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31435 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31435.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31434.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31434 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31434.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31433.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31433 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31433.pdf https://regulations.justia.com/regulations/fedreg/2010/12/15/2010-31432.html 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 2010-12-15T00:00:00-08:00 2010-12-15T00:00:00-08:00 2010-31432 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-15/pdf/2010-31432.pdf https://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31329.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Re-establishing and Extending the Exchange's Pilot Program Relating to Cabinet Trades Until June 1, 2011 2010-12-14T00:00:00-08:00 2010-12-14T00:00:00-08:00 2010-31329 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31329.pdf https://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31328.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Payment for Order Flow Fees 2010-12-14T00:00:00-08:00 2010-12-14T00:00:00-08:00 2010-31328 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31328.pdf https://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31290.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reestablishing a Pilot Program Relating to Cabinet Trades Until June 1, 2011 2010-12-14T00:00:00-08:00 2010-12-14T00:00:00-08:00 2010-31290 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31290.pdf https://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31289.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Its Fee Schedule 2010-12-14T00:00:00-08:00 2010-12-14T00:00:00-08:00 2010-31289 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31289.pdf https://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31288.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To List and Trade Shares of the ETFS Asian Gold Trust 2010-12-14T00:00:00-08:00 2010-12-14T00:00:00-08:00 2010-31288 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31288.pdf https://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31256.html Notice - Nuveen Asset Management, et al.; Notice of Application 2010-12-14T00:00:00-08:00 2010-12-14T00:00:00-08:00 2010-31256 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31256.pdf https://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31230.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities 2010-12-14T00:00:00-08:00 2010-12-14T00:00:00-08:00 2010-31230 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31230.pdf https://regulations.justia.com/regulations/fedreg/2010/12/14/2010-31228.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending Its Rules Regarding the Listing of Options Series With $1 Strike Prices 2010-12-14T00:00:00-08:00 2010-12-14T00:00:00-08:00 2010-31228 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-14/pdf/2010-31228.pdf https://regulations.justia.com/regulations/fedreg/2010/12/13/2010-31393.html Notice - Sunshine Act Meeting 2010-12-13T00:00:00-08:00 2010-12-13T00:00:00-08:00 2010-31393 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-13/pdf/2010-31393.pdf https://regulations.justia.com/regulations/fedreg/2010/12/13/2010-31291.html Notice - Sunshine Act Meeting 2010-12-13T00:00:00-08:00 2010-12-13T00:00:00-08:00 2010-31291 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-13/pdf/2010-31291.pdf https://regulations.justia.com/regulations/fedreg/2010/12/13/2010-31224.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending Its Rules Regarding the Listing of Option Series With $1 Strike Prices 2010-12-13T00:00:00-08:00 2010-12-13T00:00:00-08:00 2010-31224 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-13/pdf/2010-31224.pdf https://regulations.justia.com/regulations/fedreg/2010/12/13/2010-31200.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operative Date of NYSE Rule 92(c)(3) From December 31, 2010 to August 1, 2011 2010-12-13T00:00:00-08:00 2010-12-13T00:00:00-08:00 2010-31200 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-13/pdf/2010-31200.pdf https://regulations.justia.com/regulations/fedreg/2010/12/13/2010-31199.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) From December 31, 2010 to August 1, 2011 2010-12-13T00:00:00-08:00 2010-12-13T00:00:00-08:00 2010-31199 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-13/pdf/2010-31199.pdf https://regulations.justia.com/regulations/fedreg/2010/12/13/2010-31132.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing Relating to Listing and Trading of AdvisorShares Active Bear ETF Under NYSE Arca Equities Rule 8.600 2010-12-13T00:00:00-08:00 2010-12-13T00:00:00-08:00 2010-31132 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-13/pdf/2010-31132.pdf https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31102.html 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 2010-12-10T00:00:00-08:00 2010-12-10T00:00:00-08:00 2010-31102 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31102.pdf https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31101.html 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 2010-12-10T00:00:00-08:00 2010-12-10T00:00:00-08:00 2010-31101 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31101.pdf https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31100.html 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 2010-12-10T00:00:00-08:00 2010-12-10T00:00:00-08:00 2010-31100 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31100.pdf https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31099.html 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 2010-12-10T00:00:00-08:00 2010-12-10T00:00:00-08:00 2010-31099 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31099.pdf https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31097.html 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 2010-12-10T00:00:00-08:00 2010-12-10T00:00:00-08:00 2010-31097 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31097.pdf https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31096.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee 2010-12-10T00:00:00-08:00 2010-12-10T00:00:00-08:00 2010-31096 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31096.pdf https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31078.html 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 2010-12-10T00:00:00-08:00 2010-12-10T00:00:00-08:00 2010-31078 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31078.pdf https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31051.html 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 2010-12-10T00:00:00-08:00 2010-12-10T00:00:00-08:00 2010-31051 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31051.pdf https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31050.html 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 2010-12-10T00:00:00-08:00 2010-12-10T00:00:00-08:00 2010-31050 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31050.pdf https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-31049.html 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 2010-12-10T00:00:00-08:00 2010-12-10T00:00:00-08:00 2010-31049 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-31049.pdf https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-29957.html 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 2010-12-10T00:00:00-08:00 2010-12-10T00:00:00-08:00 2010-29957 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-29957.pdf https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-29956.html Proposed Rule - Rules Implementing Amendments to the Investment Advisers Act of 1940 2010-12-10T00:00:00-08:00 2010-12-10T00:00:00-08:00 2010-29956 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-29956.pdf https://regulations.justia.com/regulations/fedreg/2010/12/10/2010-29719.html Proposed Rule - Security-Based Swap Data Repository Registration, Duties, and Core Principles 2010-12-10T00:00:00-08:00 2010-12-10T00:00:00-08:00 2010-29719 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-29719.pdf https://regulations.justia.com/regulations/fedreg/2010/12/09/2010-31003.html Notice - Joint Public Roundtable on Issues Related to Capital and Margin Requirements for Swaps and Security-Based Swaps 2010-12-09T00:00:00-08:00 2010-12-09T00:00:00-08:00 2010-31003 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-31003.pdf https://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30965.html 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 2010-12-09T00:00:00-08:00 2010-12-09T00:00:00-08:00 2010-30965 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30965.pdf https://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30946.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a 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 2010-12-09T00:00:00-08:00 2010-12-09T00:00:00-08:00 2010-30946 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30946.pdf https://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30945.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment of the Hybrid Agency Liaison Step-Up Rebate 2010-12-09T00:00:00-08:00 2010-12-09T00:00:00-08:00 2010-30945 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30945.pdf https://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30944.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.9 To Offer Anti-Internalization Qualifier (“AIQ”) Functionality to Exchange Users 2010-12-09T00:00:00-08:00 2010-12-09T00:00:00-08:00 2010-30944 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30944.pdf https://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30943.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.9 To Offer Anti-Internalization Qualifier (“AIQ”) Functionality to Exchange Users 2010-12-09T00:00:00-08:00 2010-12-09T00:00:00-08:00 2010-30943 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30943.pdf https://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30942.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rules 2270 and 2910 To Reflect Changes to Corresponding FINRA Rule 2010-12-09T00:00:00-08:00 2010-12-09T00:00:00-08:00 2010-30942 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30942.pdf https://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30941.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Waiver of Transaction Fee for Public Customer Orders in SPDR Options Executed in Open Outcry or in the Automated Improvement Mechanism 2010-12-09T00:00:00-08:00 2010-12-09T00:00:00-08:00 2010-30941 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30941.pdf https://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30905.html Notice - Acceptance of Public Submissions on a Study Mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act, Section 719(b) 2010-12-09T00:00:00-08:00 2010-12-09T00:00:00-08:00 2010-30905 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30905.pdf https://regulations.justia.com/regulations/fedreg/2010/12/09/2010-30883.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Market and Stop Orders in Nasdaq-Listed Securities Traded on the Exchange 2010-12-09T00:00:00-08:00 2010-12-09T00:00:00-08:00 2010-30883 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-09/pdf/2010-30883.pdf https://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30881.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the Cost Basis Reporting Service 2010-12-08T00:00:00-08:00 2010-12-08T00:00:00-08:00 2010-30881 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30881.pdf https://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30880.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Procedure II of the NSCC Rules & Procedures To Modify the Money Tolerance Comparison Provisions for Fixed Income Securities 2010-12-08T00:00:00-08:00 2010-12-08T00:00:00-08:00 2010-30880 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30880.pdf https://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30833.html Notice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2010-12-08T00:00:00-08:00 2010-12-08T00:00:00-08:00 2010-30833 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30833.pdf https://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30830.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2010-12-08T00:00:00-08:00 2010-12-08T00:00:00-08:00 2010-30830 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30830.pdf https://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30829.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Effectuate an Amendment to Bylaws of NSX Holdings, Inc. 2010-12-08T00:00:00-08:00 2010-12-08T00:00:00-08:00 2010-30829 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30829.pdf https://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30804.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to The Price Improvement Period To Permit an Initiating Participant To Designate a PIP Surrender Quantity 2010-12-08T00:00:00-08:00 2010-12-08T00:00:00-08:00 2010-30804 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30804.pdf https://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30803.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC To Clarify the Exclusion of Partial Trading Days From Certain Calculations Within the Investor Support Program 2010-12-08T00:00:00-08:00 2010-12-08T00:00:00-08:00 2010-30803 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30803.pdf https://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30721.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Extending the End-of-Day Cutoff Time for Processing to The Federal Reserve and To Reflect Other Changes Requested by the Federal Reserve 2010-12-08T00:00:00-08:00 2010-12-08T00:00:00-08:00 2010-30721 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30721.pdf https://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30718.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending the Exchange Price List With Respect to Nasdaq Securities Traded Pursuant to Unlisted Trading Privileges 2010-12-08T00:00:00-08:00 2010-12-08T00:00:00-08:00 2010-30718 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30718.pdf https://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30703.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC To Modify Fees for NASDAQ OMX PSX 2010-12-08T00:00:00-08:00 2010-12-08T00:00:00-08:00 2010-30703 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30703.pdf https://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30702.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Billing and Other Clarifying Amendments 2010-12-08T00:00:00-08:00 2010-12-08T00:00:00-08:00 2010-30702 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30702.pdf https://regulations.justia.com/regulations/fedreg/2010/12/08/2010-30701.html Notice - Approval of Investment Adviser Registration Depository Filing Fees 2010-12-08T00:00:00-08:00 2010-12-08T00:00:00-08:00 2010-30701 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-08/pdf/2010-30701.pdf https://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30731.html Notice - FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: 2010-12-07T00:00:00-08:00 2010-12-07T00:00:00-08:00 2010-30731 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30731.pdf https://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30580.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement, on a Semi-Annual Basis, of Penny Pilot Issues that Have Been Delisted 2010-12-07T00:00:00-08:00 2010-12-07T00:00:00-08:00 2010-30580 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30580.pdf https://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30579.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement, on a Semi-Annual Basis, of Penny Pilot Issues That Have Been Delisted 2010-12-07T00:00:00-08:00 2010-12-07T00:00:00-08:00 2010-30579 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30579.pdf https://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30577.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Create a Directed Order Program 2010-12-07T00:00:00-08:00 2010-12-07T00:00:00-08:00 2010-30577 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30577.pdf https://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30576.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols 2010-12-07T00:00:00-08:00 2010-12-07T00:00:00-08:00 2010-30576 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30576.pdf https://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30575.html Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Revise Section 4.04 of the Data Recipient Interface Specification and Section 4.15 of the Participant Interface Specification and Make Conforming Changes to Appendix D 2010-12-07T00:00:00-08:00 2010-12-07T00:00:00-08:00 2010-30575 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30575.pdf https://regulations.justia.com/regulations/fedreg/2010/12/07/2010-30574.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Calculation of Net Asset Value for the iShares® Gold Trust 2010-12-07T00:00:00-08:00 2010-12-07T00:00:00-08:00 2010-30574 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-07/pdf/2010-30574.pdf https://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30628.html Notice - Sunshine Act Meeting 2010-12-06T00:00:00-08:00 2010-12-06T00:00:00-08:00 2010-30628 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30628.pdf https://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30590.html Proposed Rule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients 2010-12-06T00:00:00-08:00 2010-12-06T00:00:00-08:00 2010-30590 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30590.pdf https://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30530.html Notice - Sunshine Act Meeting 2010-12-06T00:00:00-08:00 2010-12-06T00:00:00-08:00 2010-30530 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30530.pdf https://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30461.html Notice - American United Life Insurance Company, et al.; Notice of Application 2010-12-06T00:00:00-08:00 2010-12-06T00:00:00-08:00 2010-30461 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30461.pdf https://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30434.html Notice - Securities Investor Protection Corporation; Notice of Filing of a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members 2010-12-06T00:00:00-08:00 2010-12-06T00:00:00-08:00 2010-30434 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30434.pdf https://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30432.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 To Extend, Through December 31, 2011, the Pilot Program That Permits Certain Classes To Be Quoted in Penny Increments on BOX 2010-12-06T00:00:00-08:00 2010-12-06T00:00:00-08:00 2010-30432 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30432.pdf https://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30431.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Option Trading Rules in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 2011 2010-12-06T00:00:00-08:00 2010-12-06T00:00:00-08:00 2010-30431 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30431.pdf https://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30429.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend to July 16, 2011, the Pilot Period for FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) 2010-12-06T00:00:00-08:00 2010-12-06T00:00:00-08:00 2010-30429 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30429.pdf https://regulations.justia.com/regulations/fedreg/2010/12/06/2010-30428.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Penny Pilot Program 2010-12-06T00:00:00-08:00 2010-12-06T00:00:00-08:00 2010-30428 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-06/pdf/2010-30428.pdf https://regulations.justia.com/regulations/fedreg/2010/12/03/2010-30376.html Notice - Order Extending Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of Eurex Clearing AG Related to Central Clearing of Credit Default Swaps and Request for Comment 2010-12-03T00:00:00-08:00 2010-12-03T00:00:00-08:00 2010-30376 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-03/pdf/2010-30376.pdf https://regulations.justia.com/regulations/fedreg/2010/12/03/2010-30375.html Notice - Order Extending Temporary Conditional Exemptions Under The Securities Exchange Act of 1934 in Connection With Request on Behalf of Ice Clear Europe, Limited Related to Central Clearing of Credit Default Swaps and Request for Comment 2010-12-03T00:00:00-08:00 2010-12-03T00:00:00-08:00 2010-30375 Notice http://www.gpo.gov/fdsys/pkg/FR-2010-12-03/pdf/2010-30375.pdf