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

Results 1,551 - 1,600 of 2,032
Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Its Settlement Service Guide as It Relates to the ID Net Service
Document Number: 2010-7203
Type: Notice
Date: 2010-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7203.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Regarding the Listing of the ProShares Ultra MSCI Mexico Investable Market Fund
Document Number: 2010-7110
Type: Notice
Date: 2010-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7110.html
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program
Document Number: 2010-7109
Type: Notice
Date: 2010-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7109.html
Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Application of NASDAQ Rule 4611(d)
Document Number: 2010-7107
Type: Notice
Date: 2010-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7107.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Relating to Exchange Liability
Document Number: 2010-7106
Type: Notice
Date: 2010-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7106.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities
Document Number: 2010-7105
Type: Notice
Date: 2010-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7105.html
Self-Regulatory Organizations; The NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3121 To Reflect Changes to Corresponding FINRA Rule
Document Number: 2010-7104
Type: Notice
Date: 2010-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/31/2010-7104.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Co- location Service Fees
Document Number: C1-2010-6184
Type: Notice
Date: 2010-03-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/30/C1-2010-6184.html
Sunshine Act Meeting
Document Number: 2010-7128
Type: Notice
Date: 2010-03-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/30/2010-7128.html
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to U.S. Dollar-Settled Foreign Currency Options
Document Number: 2010-6994
Type: Notice
Date: 2010-03-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/30/2010-6994.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Outdated References in the Exchange Fees Schedule
Document Number: 2010-6993
Type: Notice
Date: 2010-03-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/30/2010-6993.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.37A and Rule 6.64
Document Number: 2010-6992
Type: Notice
Date: 2010-03-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/30/2010-6992.html
Rydex Series Funds, et al.; Notice of Application
Document Number: 2010-6874
Type: Notice
Date: 2010-03-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6874.html
Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Aggregate Obligations in Certain Securities Transactions Designated for Settlement on a Trade-for-Trade Basis
Document Number: 2010-6873
Type: Notice
Date: 2010-03-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6873.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify and Modify the Applicability of Nasdaq Rule 5615 To Exchange Traded Funds
Document Number: 2010-6838
Type: Notice
Date: 2010-03-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6838.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 127 To Remove the Restrictions on the Execution of Block Cross Transactions Outside the Prevailing NYSE Quotation
Document Number: 2010-6837
Type: Notice
Date: 2010-03-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6837.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rule 127 To Remove the Restrictions on the Execution of Block Cross Transactions Outside the Prevailing NYSE Amex Quotation
Document Number: 2010-6836
Type: Notice
Date: 2010-03-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6836.html
RMR Real Estate Income Fund, et al.; Notice of Application
Document Number: 2010-6779
Type: Notice
Date: 2010-03-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6779.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan
Document Number: 2010-6775
Type: Notice
Date: 2010-03-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6775.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan
Document Number: 2010-6774
Type: Notice
Date: 2010-03-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6774.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update a Cross-Reference Within FINRA Rule 0150
Document Number: 2010-6773
Type: Notice
Date: 2010-03-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/29/2010-6773.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Deleting NYSE Rule 446 and Adopting New Rule 4370 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Document Number: 2010-6679
Type: Notice
Date: 2010-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/26/2010-6679.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Deleting Rule 446-NYSE Amex Equities and Adopting New Rule 4370-NYSE Amex Equities To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.
Document Number: 2010-6678
Type: Notice
Date: 2010-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/26/2010-6678.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To List and Trade Options on the ETFS Palladium Trust and the ETFS Platinum Trust
Document Number: 2010-6677
Type: Notice
Date: 2010-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/26/2010-6677.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services
Document Number: 2010-6676
Type: Notice
Date: 2010-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/26/2010-6676.html
Self[dash]Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to ETFS Palladium Shares and ETFS Platinum Shares
Document Number: C1-2010-5914
Type: Notice
Date: 2010-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/25/C1-2010-5914.html
Sunshine Act Meetings
Document Number: 2010-6711
Type: Notice
Date: 2010-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/25/2010-6711.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Concurrent Listing of $3.50 and $4 Strikes for Classes in the $0.50 Strike and $1 Strike Programs
Document Number: 2010-6517
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6517.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Elimination of a Market Maker Requirement for Each Option Series
Document Number: 2010-6516
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6516.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC To Permit the Concurrent Listing of $3.50 and $4 Strikes for Classes Participating in the $0.50 Strike Program and the $1 Strike Program
Document Number: 2010-6515
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6515.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CBOE Rule 31.85 to, Among Other Things, Prohibit Broker Discretionary Voting on the Elections of Directors
Document Number: 2010-6514
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6514.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Credit
Document Number: 2010-6513
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6513.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CHX Article 8, Rule 14 To, Among Other Things, Prohibit Broker Discretionary Voting on the Elections of Directors
Document Number: 2010-6512
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6512.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Relating to Cabinet Trades
Document Number: 2010-6510
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6510.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Accommodate Cabinet Trades That Take Place Below $1 Per Option Contract Until July 1, 2010
Document Number: 2010-6509
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6509.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes
Document Number: 2010-6508
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6508.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing of the United States Brent Oil Fund, LP
Document Number: 2010-6507
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6507.html
Submission for OMB Review; Comment Request
Document Number: 2010-6506
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6506.html
Submission for OMB Review; Comment Request
Document Number: 2010-6505
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6505.html
Submission for OMB Review; Comment Request
Document Number: 2010-6504
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6504.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Proposing To Extend the Operation of Its New Market Model Pilot, Currently Scheduled To Expire on March 30, 2010, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or September 30, 2010
Document Number: 2010-6377
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6377.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Proposing To Extend the Operation of Its New Market Model Pilot Currently Scheduled To Expire on March 30, 2010, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or September 30, 2010
Document Number: 2010-6376
Type: Notice
Date: 2010-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/24/2010-6376.html
Aspen Group Resources Corp., Commercial Concepts, Inc., Desert Health Products, Inc., Equalnet Communications Corp., Geneva Steel Holdings Corp., Orderpro Logistics, Inc. (n/k/a Securus Renewable Energy, Inc.), and Sepragen Corp.; Order of Suspension of Trading
Document Number: 2010-6447
Type: Notice
Date: 2010-03-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/23/2010-6447.html
SeaCo Ltd.; Notice of Application
Document Number: 2010-6303
Type: Notice
Date: 2010-03-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: SeaCo Ltd. (``SeaCo'') seeks an order under section 3(b)(2) of the Act declaring it to be primarily engaged in a business other than that of investing, reinvesting, owning, holding or trading in securities. SeaCo is primarily engaged in the shipping container business.
https://regulations.justia.com/regulations/fedreg/2010/03/23/2010-6303.html
Sunshine Act Meeting
Document Number: 2010-6368
Type: Notice
Date: 2010-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6368.html
In the Matter of Talisman Enterprises, Inc., Tangent Solutions, Inc., Telepanel Systems, Inc., Telesis North Communications, Inc., Telzuit Medical Technologies, Inc., Tengtu International Corp., Thomaston Mills, Inc., Three D Departments, Inc., Tiger Telematics, Inc., and TIS Mortgage Investment Co.; Order of Suspension of Trading
Document Number: 2010-6315
Type: Notice
Date: 2010-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6315.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook
Document Number: 2010-6214
Type: Notice
Date: 2010-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6214.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change To Amend Exchange Rules Related to Cut-Off Time for Contrary Exercise Advice Submissions
Document Number: 2010-6204
Type: Notice
Date: 2010-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6204.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Co-Location Service Fees
Document Number: 2010-6184
Type: Notice
Date: 2010-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6184.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market-Maker Joint Accounts
Document Number: 2010-6183
Type: Notice
Date: 2010-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2010/03/22/2010-6183.html
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