Securities and Exchange Commission 2010 – Federal Register Recent Federal Regulation Documents

Results 1,001 - 1,050 of 2,032
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fees for Use of EDGA Exchange, Inc.
Document Number: 2010-16566
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16566.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fees for Use of EDGX Exchange, Inc.
Document Number: 2010-16563
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16563.html
Submission for OMB Review; Comment Request
Document Number: 2010-16547
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16547.html
Submission for OMB Review; Comment Request
Document Number: 2010-16546
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16546.html
Submission for OMB Review; Comment Request
Document Number: 2010-16545
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16545.html
Submission for OMB Review; Comment Request
Document Number: 2010-16544
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16544.html
Submission for OMB Review; Comment Request
Document Number: 2010-16543
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16543.html
Submission for OMB Review; Comment Request
Document Number: 2010-16542
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16542.html
Submission for OMB Review; Comment Request
Document Number: 2010-16541
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16541.html
Submission for OMB Review; Comment Request
Document Number: 2010-16540
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16540.html
Submission for OMB Review; Comment Request
Document Number: 2010-16539
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16539.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fee Schedule
Document Number: 2010-16538
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16538.html
Submission for OMB Review; Comment Request
Document Number: 2010-16537
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16537.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Market Maker Authorized Traders
Document Number: 2010-16536
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16536.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, Entitled “Order Execution”
Document Number: 2010-16535
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16535.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Options Floor Broker Subsidy
Document Number: 2010-16534
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16534.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX LLC Agreement
Document Number: 2010-16533
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16533.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List and Trade Shares of the ETFS Precious Metals Basket Trust
Document Number: 2010-16532
Type: Notice
Date: 2010-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/08/2010-16532.html
Self-Regulatory Organization; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by OneChicago Amending Position Limits
Document Number: 2010-16429
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16429.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Rule 2102 To Add Additional Securities to the Pilot Rule
Document Number: 2010-16413
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16413.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGX Rule 11.14, Entitled “Trading Halts Due to Extraordinary Volatility.”
Document Number: 2010-16412
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16412.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Document Number: 2010-16411
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16411.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend EDGA Rule 11.14, Entitled “Trading Halts Due to Extraordinary Volatility”
Document Number: 2010-16410
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16410.html
Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by NASDAQ OMX BX, Inc. To Amend IM-4120-3
Document Number: 2010-16409
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16409.html
Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by The NASDAQ Stock Market LLC to Amend NASDAQ Rule 4120(a)(11) To Add Securities Included in the Russell 1000® Index (“Russell 1000”) and Specified Exchange Traded Products (“ETP”) to the Pilot Rule
Document Number: 2010-16408
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16408.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending NYSE Arca Equities Rule 7.11 To Add Additional Securities to the Pilot Rule
Document Number: 2010-16407
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16407.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 80C To Add Additional Securities to the Pilot Rule
Document Number: 2010-16406
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16406.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 80C To Add Additional Securities to the Pilot Rule
Document Number: 2010-16405
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16405.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Include Additional Securities in the Trading Halt Pilot Program Under Exchange Rule 11.20B
Document Number: 2010-16404
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16404.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Individual Stock Trading Pauses Due to Extraordinary Market Volatility
Document Number: 2010-16403
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16403.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the List of Securities Subject to an Individual Circuit Breaker
Document Number: 2010-16402
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16402.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 11.18, Entitled “Trading Halts Due to Extraordinary Market Volatility.”
Document Number: 2010-16401
Type: Notice
Date: 2010-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/07/2010-16401.html
Self[dash]Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 0 To Provide That Certain References in Exchange Rules Should Be Understood To Also Include FINRA, as Applicable
Document Number: C1-2010-15649
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/C1-2010-15649.html
Sunshine Act Meeting
Document Number: 2010-16452
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16452.html
Proposed Collection; Comment Request
Document Number: 2010-16310
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16310.html
Proposed Collection; Comment Request
Document Number: 2010-16309
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16309.html
Proposed Collection; Comment Request
Document Number: 2010-16308
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16308.html
Proposed Collection; Comment Request
Document Number: 2010-16307
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16307.html
Proposed Collection; Comment Request
Document Number: 2010-16306
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16306.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services
Document Number: 2010-16291
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16291.html
Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Free Trial Period for the Use of Correlix, Inc. Data Latency Products in the NASDAQ Market Center
Document Number: 2010-16290
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16290.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to Pricing for Direct Circuit Connections
Document Number: 2010-16289
Type: Notice
Date: 2010-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/06/2010-16289.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rule 405(4)-NYSE Amex Equities to Correspond with Rule Changes of the Financial Industry Regulatory Authority, Inc.
Document Number: C1-2010-14360
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/C1-2010-14360.html
Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Options on Conventional Index-Linked Securities and Amendment to the Options Disclosure Document Inside Front Cover
Document Number: C1-2010-12986
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/C1-2010-12986.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Relating to Fees for the ISE Order Feed
Document Number: 2010-16147
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16147.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services
Document Number: 2010-16146
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16146.html
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services
Document Number: 2010-16145
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16145.html
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change Relating to Pricing for Direct Circuit Connections
Document Number: 2010-16144
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16144.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to Pricing for Direct Circuit Connections
Document Number: 2010-16143
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16143.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List Options on Trust Issued Receipts in $1 Strike Intervals
Document Number: 2010-16142
Type: Notice
Date: 2010-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/07/02/2010-16142.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.