Sample records for fr28jn10n self-regulatory organizations
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2010-04-01
... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Self-regulatory organization... TRANSACTIONS § 31.28 Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation and sales practice requirements. (a) Each self-regulatory organization must adopt, and submit for...
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2010-10-18
...-Regulatory Organizations; Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of...(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory...
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2012-03-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66459; File No. 600-11] Self-Regulatory..., 2006), 72 FR 814 (Jan. 8, 2007). Section 19(a)(3) of the Act \\14\\ provides that in the event any self-regulatory organization is no longer in existence or has ceased to do business in the capacity specified in...
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2012-02-15
... expenses as ``other'' (miscellaneous), a very general categorization that provides FINRA limited visibility... supplemental filing would play with respect to a broker-dealer's annual audit.\\28\\ \\26\\ CAI. \\27\\ Id. \\28\\ Id... any future schedules or reports be done through the more typical self- regulatory organization (``SRO...
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2011-04-13
...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the... whole number, resulting in an implied number of users based on quotes. Market makers are invoiced on a... number of implied users based on quotes. \\5\\ See Exchange Act Release No. 56721 (October 30, 2007), 72 FR...
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2013-10-23
... internet service providers.\\5\\ \\5\\ Securities Exchange Act Release No. 53980 (June 14, 2006), 71 FR 36155... other things, promote the prompt and accurate clearance and settlement of securities transactions. \\8... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70704; File No. SR-OCC-2013-10] Self-Regulatory...
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2013-02-06
... (February 15, 2012), 77 FR 10593 (February 22, 2012) (SR-EDGA-2012- 05) (adopting EdgeBook Cloud service..., 2012) (SR-EDGX-2012-05) (adopting EdgeBook Cloud service). C. Self-Regulatory Organization's Statement... written notice of its intent to file the proposed rule change at least five business days prior to the...
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2012-03-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66460; File No. 600-10] Self-Regulatory Organizations; Pacific Securities Depository Trust Company; Order Cancelling Clearing Agency Registration...(a)(3) of the Act \\14\\ provides that in the event any self-regulatory organization is no longer in...
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2013-11-18
... approve a proposed rule change of a self-regulatory organization if it finds that such proposed rule... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70848; File No. SR-NSCC-2013-10] Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To...
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2011-12-07
... at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the... facility or system which NASDAQ operates or controls. \\7\\ 15 U.S.C. 78f. \\8\\ 15 U.S.C. 78f(b)(4). NASDAQ... Release No. 61358 (January 14, 2010), 75 FR 3594 (January 21, 2010) (Concept Release on Equity Market...
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2010-06-15
...-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of... is hereby given that on May 28, 2010, the Fixed Income Clearing Corporation (``FICC'') filed with the... Division's (``GSD'') rules pertaining to the Required Fund Deposit Deadline. II. Self-Regulatory...
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2012-02-28
... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule... FINRA and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the..., and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's...
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2011-02-22
.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory..., and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's...
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2011-02-22
.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance..., and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the... in sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory...
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2012-12-04
... reject requests to withdraw margin, minimize OCC's liquidity risk, and preserve its liquidity resources... Available Liquidity Resources November 28, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act... available liquidity resources. II. Self-Regulatory Organization's Statement of Purpose of, and Statutory...
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2010-09-02
... characteristics and risks of security futures. \\6\\ 15 U.S.C. 78o-3(b)(6). B. Self-Regulatory Organization's...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Security Futures Risk Disclosure Statement August 27, 2010...
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2010-05-28
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62157; File No. SR-NYSEArca-2010-28] Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Amending Its Schedule of Fees May 24, 2010. On April 12, 2010, NYSE Arca, Inc. (``NYSE Arca'') filed with the Securities and Exchange...
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2011-04-14
... Securities April 8, 2011. I. Introduction On March 3, 2011, the Financial Industry Regulatory Authority, Inc... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64283; File No. SR-FINRA-2011-012] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer...
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2011-08-05
... data and other products available to persons that are not members of the self-regulatory organization... in self-regulatory organization governance was mandated by the Act, non-members should be given the... the evolution of self-regulatory organization governance and competitive market structure have...
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2011-10-04
... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule... its filing with the Commission, the self-regulatory organization included statements concerning the... such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for...
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2013-10-03
... decommission the DTCC Trade Risk Pro service as more fully described below. II. Self-Regulatory Organization's... no Members that currently use Trade Risk Pro. (C) Self-Regulatory Organization's Statement on...-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change...
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2010-04-02
...(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance....org/legal ), at the Exchange's Office of the Secretary and at the Commission. II. Self-Regulatory... with the Commission, the self-regulatory organization included statements concerning the purpose of and...
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2012-01-04
...). \\2\\ 17 CFR 240.19b-4. Self-Regulatory Organization's Statement of the Terms of Substance of the... contained in Chapter XXIVB. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization...
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2010-10-06
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63017; File No. SR-ISE-2010-95] Self-Regulatory...\\ 15 U.S.C. 78s(b)(3)(A). \\4\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement of... Exchange, and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of...
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2010-01-27
... Items have been prepared by the self-regulatory organization. The Commission is publishing this notice...\\ 15 U.S.C. 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of... principal office and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement...
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2010-09-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62924; File No. 10-198] Self-Regulatory... subject to the provisions of Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self-regulatory organization... 240.19d-1(c)(1). \\4\\ The Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self...
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2012-03-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66458; File No. 600-9] Self-Regulatory Organizations; Midwest Clearing Corporation; Order Cancelling Clearing Agency Registration February 24, 2012. I... Act provides that in the event any self- regulatory organization is no longer in existence or has...
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2010-07-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62395; File No. SR-Phlx-2010-18] Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services June 28, 2010. I. Introduction On January 29, 2010, NASDAQ OMX PHLX (``Phlx'' or...
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2010-07-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62396; File No. SR-BX-2010-012] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Codify Prices for Co-Location Services June 28, 2010. I. Introduction On January 29, 2010, NASDAQ OMX BX, Inc. (``BX'' or ``Exchange...
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2010-08-16
... been prepared by the self-regulatory organization. NYSE Amex filed the proposed rule change as a ``non.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... its filing with the Commission, the self-regulatory organization included statements concerning the...
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2012-12-17
.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the... significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and...
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2012-06-11
... statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the... respect to marking Strategy Trades would be uniformly applied to members. B. Self-Regulatory Organization... the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received...
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2011-12-29
... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule... System platform are contained in Chapter XXIVB. II. Self-Regulatory Organization's Statement of the... in sections A, B, and C below, of the most significant parts of such statements. A. Self-Regulatory...
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2013-03-28
... categories. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the... by ICEEU. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the.... 78q-1(b)(3)(F). B. Self-Regulatory Organization's Statement on Burden on Competition ICE Clear Europe...
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2010-04-16
... have been prepared by the self-regulatory organization. The Commission is publishing this notice to....C. 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and...
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2010-07-12
... have been prepared by the self-regulatory organization. The Commission is publishing this notice to....C. 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of the.... II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed...
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2010-05-17
... have been prepared by the self-regulatory organization. The Commission is publishing this notice to....C. 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the...
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2010-05-06
... Items have been prepared by the self-regulatory organization. The Commission is publishing this notice...\\ 15 U.S.C. 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of....sec.gov and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of...
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2011-12-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65900; File No. SR-ISE-2011-82] Self-Regulatory... text of these statements may be examined at the places specified in Item IV below. The self-regulatory... such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for...
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2010-10-14
..., which Items have been prepared by the self-regulatory organization. The Commission is publishing this...). \\2\\ 15 U.S.C. 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of...'s Web site at http://www.nyse.com . II. Self-Regulatory Organization's Statement of the Purpose of...
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2013-12-27
... finding or (ii) as to which the self-regulatory organization consents, the Commission will: (A) By order... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71156; File No. SR-NSCC-2013-13] Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change...
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2012-03-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66461; File No. 600-7] Self-Regulatory Organizations; Midwest Securities Trust Company; Order Cancelling Clearing Agency Registration February 24, 2012... the event any self-regulatory organization is no longer in existence or has ceased to do business in...
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2012-12-17
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68401; File No. SR-CME-2012-42] Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule Change Regarding the Valuation of... to approve a proposed rule change of a self-regulatory organization if it finds that such proposed...
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2012-07-09
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67333; File No. SR-OCC-2012-07] Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Adjustment... to approve a proposed rule change of a self-regulatory organization if it finds that such proposed...
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2010-04-12
... have been prepared by the self-regulatory organization. Amex filed the proposal pursuant to Section 19.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... , at the Exchange's principal office and at the Commission's Public Reference Room. II. Self-Regulatory...
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2012-07-09
... by the self-regulatory organization. The Commission is publishing this notice to solicit comments on.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... principal office and at the Public Reference Room of the Commission. II. Self-Regulatory Organization's...
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2010-03-29
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61752; File No. 4-594] Self-Regulatory... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization promptly file notice... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs...
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2010-03-29
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61753; File No. 4-595] Self-Regulatory... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization promptly file notice... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs...
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2011-04-05
... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory... significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and...
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2012-05-24
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67021; File No. SR-OCC-2012-07] Self-Regulatory... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization... equity options. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for...
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2011-10-04
... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory... IV below. The self-regulatory organization has prepared summaries, set forth in Sections A, B and C...
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2011-12-14
.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...). II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed... self-regulatory organization has prepared summaries, set forth in Sections A, B and C below, of the...
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2012-12-27
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68489; File No. 4-655] Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Minor Rule Violation Plan for BOX Options Exchange LLC... \\4\\ requiring that a self-regulatory organization (``SRO'') promptly file notice with the Commission...
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2010-06-28
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62329; File No. SR-OCC-2010-09] Self-Regulatory... on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). I. Self-Regulatory... futures any futures contracts on Sprott Physical Gold Shares. II. Self-Regulatory Organization's Statement...
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2013-07-22
.... I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change... Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization... because it will provide member organizations with greater flexibility in managing their personnel...
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2010-10-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63113; File No. 4-616] Self-Regulatory... provisions of Rule 19d-1(c)(1) of the Act \\4\\ requiring that a self-regulatory organization promptly file... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs...
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2013-06-27
... 4120(a)(8)); A halt in a Derivative Securities Product (as defined in Rule 4120(b)(4)(A)) for which a..., 2012), 77 FR 33498 (June 6, 2012). A trading halt in a Derivative Security Product traded pursuant to... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69818; File No. SR-BX-2013-041] Self-Regulatory...
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2011-08-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65085; File No. SR-BATS-2011-025] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. August 10, 2011. Pursuant to Section 19(b)(1) of...
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2012-10-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68026; File No. SR-BATS-2012-040] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. October 10, 2012. Pursuant to Section 19(b)(1) of...
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2010-08-06
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62624; File No. SR-NFA-2010-02] Self-Regulatory... Interpretive Notice Entitled ``NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures... President and General Counsel, NFA, dated July 26, 2010. I. Self-Regulatory Organization's Description of...
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2010-01-27
... regulatory operations in the Concept Release Concerning Self-Regulation \\22\\ and the release on the Fair Administration and Governance of Self- Regulatory Organizations.\\23\\ In the Concept Release, the Commission... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61388; File No. SR-BX-2010-001] Self-Regulatory...
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2012-05-10
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66922; File No. SR-ICC-2012-05] Self-Regulatory... Commission to approve a proposed rule change of a self-regulatory organization if it finds that such proposed... of the Comptroller of the Currency, U.K. Financial Services Authority, or any other regulatory body...
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2011-12-14
... funding of an SRO's regulatory operations in the Concept Release Concerning Self-Regulation \\18\\ and the release on the Fair Administration and Governance of Self- Regulatory Organizations.\\19\\ In the Concept... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65913; File No. SR-NASDAQ-2011-163] Self...
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2012-07-09
... prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments.... I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change.... [[Page 40393
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2013-11-29
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70927; File No. 4-669] Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan November 22, 2013... of Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization (``SRO'') promptly...
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2011-10-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65433; File No. SR-C2-2011-024] Self-Regulatory... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory... Office of the Secretary and at the Commission. II. Self-Regulatory Organization's Statement of the...
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2013-08-09
... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization... Exchange, and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of... A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory...
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17 CFR 201.420 - Appeal of determinations by self-regulatory organizations.
2010-04-01
... self-regulatory organizations. 201.420 Section 201.420 Commodity and Securities Exchanges SECURITIES... Review § 201.420 Appeal of determinations by self-regulatory organizations. (a) Application for review... by a self-regulatory organization determination as to which a notice is required to be filed with the...
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2010-03-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61680; File No. SR-CHX-2009-18] Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Its Co-Location Fees March 10, 2010. I. Introduction On December 22, 2009, the Chicago Stock Exchange, Inc. (``CHX'' or...
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2012-12-06
... of NYSE Risk Management Gateway). B. Self-Regulatory Organization's Statement on Burden on...-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Availability of Risk Management Tools November 30, 2012. Pursuant to Section...
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2010-01-13
... Proposed Self-Regulatory Guidelines; i-SAFE, Inc. Application for Safe Harbor AGENCY: Federal Trade... for public comment concerning proposed self-regulatory guidelines submitted by i-SAFE, Inc. under the... approval self-regulatory guidelines that would implement the Rule's protections.\\3\\ \\1\\ 64 FR 59888 (1999...
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2013-12-06
...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Risk Monitoring Functionality Offered by the Exchange December 2, 2013....19b-4(f)(6)(iii). I. Self-Regulatory Organization's Statement of the Terms of Substance of the...
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2011-12-15
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65927; File No. SR-OCC-2011-15] Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Management of..., future regulatory requirements for clearinghouses could impose liquidity requirements that would be...
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2011-10-18
... Schedule of Timeframes, and Fee Structure in the GSD Rules. II. Self-Regulatory Organization's Statement of...-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness... Timeframes, and Fee Structure in the GSD Rules October 12, 2011. Pursuant to Section 19(b)(1) of the...
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2012-09-17
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67828; File No. SR-C2-2012-030] Self-Regulatory... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory... the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of...
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2012-01-09
... change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory.../ , and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the... sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory...
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2010-01-11
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61274; File No. SR-CBOE-2009-089] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule... announce to members via Regulatory Circular any determination regarding the routing of market stock-option...
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2010-05-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62037; File No. 4-595] Self-Regulatory... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... would not be subject to the provisions of Rule 19d-1(c)(1) under the Act\\4\\ requiring that a self...
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2010-05-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62036; File No. 4-594] Self-Regulatory... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... would not be subject to the provisions of Rule 19d-1(c)(1) under the Act \\4\\ requiring that a self...
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2012-11-13
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68170; File No. 4-655] Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Minor Rule Violation Plan November 6, 2012... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization (``SRO'') promptly file...
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17 CFR 201.421 - Commission consideration of determinations by self-regulatory organizations.
2010-04-01
... determinations by self-regulatory organizations. 201.421 Section 201.421 Commodity and Securities Exchanges... Commission Review § 201.421 Commission consideration of determinations by self-regulatory organizations. (a..., order review of any determination by a self-regulatory organization that could be subject to an...
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2011-07-15
... existing PAR Official Fee structure that imposes a flat per contract fee does not provide an incentive for...-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's...
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2011-04-13
... structure that imposes a flat per contract fee does not provide an incentive for firms to adequately staff...-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...
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Computational Genetic Regulatory Networks Evolvable, Self-organizing Systems
Knabe, Johannes F
2013-01-01
Genetic Regulatory Networks (GRNs) in biological organisms are primary engines for cells to enact their engagements with environments, via incessant, continually active coupling. In differentiated multicellular organisms, tremendous complexity has arisen in the course of evolution of life on earth. Engineering and science have so far achieved no working system that can compare with this complexity, depth and scope of organization. Abstracting the dynamics of genetic regulatory control to a computational framework in which artificial GRNs in artificial simulated cells differentiate while connected in a changing topology, it is possible to apply Darwinian evolution in silico to study the capacity of such developmental/differentiated GRNs to evolve. In this volume an evolutionary GRN paradigm is investigated for its evolvability and robustness in models of biological clocks, in simple differentiated multicellularity, and in evolving artificial developing 'organisms' which grow and express an ontogeny starting fr...
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2013-02-25
... certainty with respect to execution fees at groups of away options exchanges. Under its flat fee structure...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... 240.19b-4. \\3\\ 15 U.S.C. 78s(b)(3)(A)(ii). \\4\\ 17 CFR 240.19b-4(f)(2). I. Self-Regulatory Organization...
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2010-07-29
... the SBP process to mitigate risks that the SBP poses to NSCC. \\6\\ 15 U.S.C. 78q-1. B. Self-Regulatory...-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Addendum C of Its Rules and Procedures To Implement Risk Enhancements to Its Stock Borrow...
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2011-08-26
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65175; File No. SR-BX-2011-057] Self-Regulatory... Establish and Adopt Fees for the New BX Pre-Trade Risk Management Service August 19, 2011. Pursuant to... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule...
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2011-01-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63668; File No. SR-NSCC-2010-09] Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change... Facility January 6, 2011. I. Introduction On August 30, 2010, the National Securities Clearing Corporation...
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2012-01-26
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Real-Time Risk Management Fee and Other Clarifying Amendments January 20, 2012.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...
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2013-08-21
... matters. Many of the fees vary depending on the amount of such services used, so that as the level of...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of... described in Items I and II below, which Items have been prepared by the self-regulatory organization. The...
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2010-11-12
... structure and assess a flat fee of $300 per test port, per month for all but CTCI and FIX connections to ACT...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of the Substance of the Proposed...
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2013-11-14
... are trading, the proposed rule change seeks to create less of a disconnect if the ``primary'' market... connected to the marketplace. B. Self-Regulatory Organization's Statement on Burden on Competition This...
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2011-11-21
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65744; File No. SR-C2-2011-034] Self-Regulatory... Change Related to the Quote Risk Monitor Mechanism November 14, 2011. Pursuant to Section 19(b)(1) of the...\\ 15 U.S.C. 78s(b)(3)(A)(iii). \\4\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement...
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2011-01-10
...-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 28, 2010, the International...
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2013-02-26
... intermediate holding company from the ownership structure of the Exchange. C. Self-Regulatory Organization's...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Its Rules To..., Inc., Thereby Eliminating NYSE Arca Holdings, Inc. From the Ownership Structure of the Exchange...
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2010-04-01
... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Activities of self-regulatory... COMMODITY EXCHANGE ACT Miscellaneous § 1.59 Activities of self-regulatory organization employees, governing...) Self-regulatory organization means “self-regulatory organization,” as defined in Commission regulation...
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2012-07-11
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67357; File No. SR-C2-2012-011] Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Implement a... and subsequently migrates to the DRF, the regulatory data for the portion of the day that the main...
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2010-04-01
... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Self-regulatory organization... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements. (a) Each self-regulatory organization must adopt, and submit for Commission approval, rules...
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2010-01-19
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61333; File No. SR-NYSE-2009-117] Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Its... regulatory program. III. Discussion and Commission's Findings After careful review, the Commission finds that...
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2011-04-19
... statement therein, as follows: I. Introduction On February 4, 2011, the Financial Industry Regulatory...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a... Financial Industry Regulatory Authority, Inc. (``FINRA'') to amend Rule 13806 of the Code of Arbitration...
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2012-10-30
... of derivative agreements, contracts, and transactions, and to assure the safeguarding of securities... further safeguard customer funds held at the FCM level. B. Self-Regulatory Organization's Statement on...
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2010-11-18
...'' and ``Economic indicators'' are added. Delivery Detail under this topic (``Book-entry only;'' ``Bearer... at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the... certain product knowledge and MSRB rules and eliminate redundancy; delete dated references to certain...
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2010-10-06
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63024; File No. SR-Phlx-2010-134] Self... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule... ``Phlx XL II'' to ``PHLX XL'' for branding purposes. \\4\\ The current rules relevant to this proposal are...
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2010-01-19
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61317; File No. SR-ISE-2009-103] Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Market Data Fees January 8, 2010. I. Introduction On November 25, 2009, the International...
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2012-01-31
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66234; File No. SR-ISE-2011-82] Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Legging Orders January 25, 2012. I. Introduction On November 29, 2011, the International Securities...
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2013-03-29
... are trading, the proposed changes seek to create less of a disconnect if the ``primary'' market should... connected to the marketplace. B. Self-Regulatory Organization's Statement on Burden on Competition CBOE does...
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2010-11-29
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63350; File No. SR-Phlx-2010-156] Self.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... branding purposes. The current pilot is scheduled to expire November 30, 2010. The text of the proposed...
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2011-10-26
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change... 31, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of... consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process). For convenience...
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2010-04-06
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change..., Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission... terms. For more information about the rulebook consolidation process, see Information Notice, March 12...
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2013-10-22
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer... 5210 (Publication of Transactions and Quotations) October 4, 2013. I. Introduction On August 15, 2013, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission...
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2013-09-10
... categories of rules and regulations generally applicable to such persons.\\7\\ The Continuing Education... the continuing education. B. Self-Regulatory Organization's Statement on Burden on Competition NASDAQ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70316; File No. SR-NASDAQ-2013-108] Self...
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2012-05-11
... shall report to the Exchange, the name, address, and social security or tax identification number of any... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66934; File No. SR-CBOE-2012-040] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change...
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2013-05-14
... Trust Company (``DTC'') and maintain accounts to facilitate Delivery Orders (``DOs'') to approved... Commission to approve a proposed rule change of a self-regulatory organization if it finds that such proposed... securities transactions and foster cooperation and coordination with persons engaged in the clearance and...
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2011-10-19
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65548; File No. SR-ISE-2011-39] Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Complex Orders October 13, 2011. I. Introduction On July 1, 2011, the International Securities Exchange...
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2010-08-30
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62759; File No. SR-Phlx-2010-111] Self.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... that would change all references to the system from ``Phlx XL II'' to ``PHLX XL'' for branding purposes...
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2010-02-01
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change... Consolidated FINRA Rulebook January 25, 2010. On December 2, 2009, the Financial Industry Regulatory Authority... later in the rulebook consolidation process. It is therefore ordered, pursuant to Section 19(b)(2) of...
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2012-08-08
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal of Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook August 2, 2012. On April 22, 2009, the Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a...
-
2013-08-05
... NMS, the Commission granted self-regulatory organizations and broker-dealers increased authority and... listings, trades, and market data itself, providing virtually limitless opportunities for entrepreneurs who...
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2012-03-15
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66566; File No. SR-ISE-2012-21] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to a... Ownership Interest in ISE Holdings, Inc. to a Newly Formed Swiss Corporation, Eurex Global Derivatives AG...
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2012-02-09
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66315; File No. SR-Phlx-2012-12] Self.... I. Self-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule... ``Phlx XL II'' to ``PHLX XL'' for branding purposes. In addition, the current rules describing the...
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2012-04-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66754; File No. SR-Phlx-2012-41] Self.... I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change... XL'' for branding purposes. The text of the proposed rule change is available on the Exchange's Web...
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2012-08-30
... Commission granted self-regulatory organizations and broker-dealers increased authority and flexibility to... virtually limitless opportunities for entrepreneurs who wish to produce and distribute their own market data...
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2012-07-10
.... I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change... senior-level) Floor Official approval, both ``buying and selling members'' must agree to the publication... ``or member organizations'' after ``buying and selling members.'' Rule 2 defines a ``member'' as a...
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2011-03-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63979; File No. SR-Phlx-2011-21] Self.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... ``Phlx XL II'' to ``PHLX XL'' for branding purposes. The text of the proposed rule change is available on...
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2013-06-07
.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... of 15,000 customer open-outcry contracts per day (``CPD'') over the course of a calendar month in... Permit Holders and TPH organizations.\\4\\ As such, the Exchange believed that it was implied that the...
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2010-07-19
... by a U.S. regulator and/or state regulator so that an insolvency of such a member would be determined... domestic insolvency regime. \\6\\ 15 U.S.C. 78q-1. B. Self-Regulatory Organization's Statement on Burden on...
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2012-03-15
... corporate governance structure of OCC by: (i) Increasing the number of public directors on OCC's Board of... directs the Commission to approve a proposed rule change of a self-regulatory organization if it finds... Directors, OCC stated that the changes would enhance the corporate governance structure at OCC. As such, the...
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2012-01-31
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66235; File No. SR-CBOE-2011-114] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Complex Order Processing in Hybrid 3.0 Classes January 25, 2012. I. Introduction On November 29, 2011, the Chicago Board Options...
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2010-04-01
... ACT Miscellaneous § 1.64 Composition of various self-regulatory organization governing boards and major disciplinary committees. (a) Definitions. For purposes of this section: (1) Self-regulatory organization means “self-regulatory organization” as defined in § 1.3(ee), not including a “clearing...
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2013-11-13
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on October 28, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed... Section 2 governing pricing for NASDAQ members using the NASDAQ Options Market (``NOM''), NASDAQ's...
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2010-07-08
... French as the Bourse de Montr[eacute]al Inc. II. Self-Regulatory Organization's Statement of the Purpose... submitted by any of the following methods: Electronic Comments Use the Commission's Internet comment form...
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2011-04-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64284; File No. SR-Phlx-2011-48] Self... Change To Update Provisions Regarding the Dress Code and Trade Verification April 8, 2011. Pursuant to.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...
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2011-11-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65670; File No. SR-Phlx-2011-144] Self.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of the... XL'' for branding purposes. The current pilot is scheduled to expire November 30, 2011. The text of...
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2012-06-28
... matrix will be an effective means of assessing related fees. For instance, the proposed fee structure...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate... Organization's Statement of the Terms of the Substance of the Proposed Rule Change FINRA is proposing to amend...
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2013-10-30
... the Exchange, the name, address, and social security or tax identification number of any customer who... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70752; File No. SR-CBOE-2013-099] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate...
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2013-04-29
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69362A; File No. 600-23] Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amended Application for Registration as a Clearing Agency; Correction AGENCY: Securities and Exchange Commission. ACTION: Notice; correction. SUMMARY...
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78 FR 44275 - Semiannual Regulatory Agenda
2013-07-23
... Rights. National Park Service--Completed Actions Regulation Sequence No. Title Identifier No. 200 Winter.... Timetable: Action Date FR Cite NPRM 07/00/13 Final Action 05/00/14 Regulatory Flexibility Analysis Required...: Action Date FR Cite NPRM 10/00/14 Final Action 10/00/14 Regulatory Flexibility Analysis Required: Yes...
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2010-09-29
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate..., 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange... information about the rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook...
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2013-08-05
... are trading, the proposed changes seek to create less of a disconnect if the ``primary'' market should... connected to the marketplace. B. Self-Regulatory Organization's Statement on Burden on Competition C2 does...
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2011-12-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65914; File No. SR-CBOE-2011-114] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change Related to Complex Order Processing in Hybrid 3.0 Classes December 8, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act...
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2010-11-12
... structure and assess a flat fee of $300 per test port, per month. This fee will cover the cost of... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... rule change from interested persons. I. Self-Regulatory Organization's Statement of the Terms of the...
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2011-04-13
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate..., 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange.... For more information about the rulebook consolidation process, see Information Notice, March 12, 2008...
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2011-07-08
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate..., Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission... a more limited application by their terms. For more information about the rulebook consolidation...
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2010-11-22
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate..., 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange.... For more information about the rulebook consolidation process, see Information Notice, March 12, 2008...
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2011-07-13
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64833; File No. SR-Phlx-2011-95] Self.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance... XL'' for branding purposes. The current pilot is scheduled to expire July 31, 2011. The text of the...
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2011-09-28
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate... 14, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of.... For more information about the rulebook consolidation process, see Information Notice, March 12, 2008...
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2010-07-15
... registered capacity, may work in other investment-related industries, such as financial planning, or may seek...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule..., 2010, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and...
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2012-03-27
... amendments to rules dealing with outsourcing to third parties. CME will also make corresponding changes to....3--Outsourcing to Third Parties In connection with the CFTC's final rules for Derivatives Clearing... any impact or impose any burden on competition. C. Self-Regulatory Organization's Statement on...
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2013-12-24
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71129; File No. SR-BATS-2013-062] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify BATS Options Market Maker Continuous Quoting Obligation Rules December 18, 2013...
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2011-03-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63969; File No. SR-BATS-2011-007] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Adopt BATS Rule 11.21, entitled ``Input of Accurate Information...
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2013-08-30
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70257; File No. SR-BATS-2013-047] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Registration and Continuing Education Fees for BATS Exchange, Inc. August 26...
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2012-04-06
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66723; File No. SR-BATS-2012-014] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of BATS Global Markets, Inc. April 3, 2012...
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2011-04-25
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64153; File No. SR-CFE-2011-002] Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Listing and Trading CBOE Gold ETF Volatility Index Security Futures...
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2013-08-19
... filing are intended to attract order flow to the Exchange by continuing to offer competitive pricing... competitive pricing, which, in turn, will benefit Members of the Exchange. B. Self-Regulatory Organization's... necessarily competitive. The Exchange also believes that its pricing for displayed orders is appropriately...
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2013-08-20
... themselves as participants on another. It is virtually impossible for any exchange to identify, and thus... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70200; File No. SR-Topaz-2013-01] Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule...
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2013-01-29
... virtually impossible for any exchange to identify, and thus assess fees such as an ORF on, each executing... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68711; File No. SR-MIAX-2013-01] Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate...
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2011-12-14
...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the... million and rounded up to the nearest whole number, resulting in an implied number of users based on... that logged into the system, or (b) the number of implied users based on quotes. \\5\\ See Exchange Act...
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2012-02-10
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate... thereunder,\\2\\ notice is hereby given that on January 30, 2012, Financial Industry Regulatory Authority, Inc.... For more information about the rulebook consolidation process, see Information Notice, March 12, 2008...
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2010-09-28
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule.... I. Introduction On July 27, 2010, the Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k... pertinent distribution-related information from its members in a timely fashion to facilitate its Regulation...
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2011-08-16
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position Limit for Options on the Standard and Poor's... Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission...
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2011-03-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64056; File No. SR-Phlx-2011-29] Self.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the... XL'' for branding purposes. The current pilot is scheduled to expire March 31, 2011. The text of the...
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2012-01-10
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center January 4, 2012. Pursuant to... is hereby given that on December 28, 2011, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the...
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2011-09-15
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65307; File No. SR-BATS-2011-034] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Bulk-Quoting Interface To All Users of BATS Options September 9, 2011. Pursuant to...
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2013-10-03
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70548; File No. SR-BATS-2013-052] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Trading Halt Rule of BATS Options September 27, 2013. Pursuant to Section 19...
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2011-02-22
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63916; File No. SR-BATS-2011-005] 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'' February 15, 2011. Pursuant to Section 19(b...
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2010-09-17
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62901; File No. SR-BATS-2010-024] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt BATS Rule 2.12, Entitled ``BATS Trading, Inc. as Inbound Router'' and To Make Related...
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2010-09-17
... at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the..., there is no economic basis for regulating maximum prices for one of the joint products in an industry in... Arca did before registering as exchanges by publishing proprietary book data on the Internet. Second...
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2012-07-16
... its filing with the Commission, the self-regulatory organization included statements concerning the... Members to route through EDGX first before going to other destinations on the System routing table, and... share in cost savings realized by EDGA when routing orders to other destinations). The concept is also...
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2011-03-08
... Rule would allow them to comply with Basel Accord Standards relating to netting. Specifically, firms... change will have any impact or impose any burden on competition. (C) Self-Regulatory Organization's... Commission of any written comments received by FICC. III. Date of Effectiveness of the Proposed Rule Change...
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2012-01-30
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66231; File No. SR-EDGA-2011-40] Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Granting Approval of Proposed Rule Change Amending EDGA Rule 11.9 January 24, 2012. On December 2, 2011, EDGA Exchange, Inc. (``Exchange'' or ``EDGA'') filed...
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2010-05-17
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on April 27, 2010, the Financial Industry... restated following the formation of FINRA through the consolidation of NASD and the member regulatory...
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2011-05-12
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... given that on April 28, 2011 The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the... inside market and the midpoint for stocks at this price level is likely to be extremely small, and...
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2012-09-19
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67855; File No. SR-BATS-2012-037] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. September 13, 2012. Pursuant to Section 19(b)(1) of...
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2013-08-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70190; File No. SR-BATS-2013-042] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. August 14, 2013. Pursuant to Section 19(b)(1) of...
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2013-12-26
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71140; File No. SR-BATS-2013-063] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. December 19, 2013. Pursuant to Section 19(b)(1) of...
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2012-02-10
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66327; File No. SR-BATS-2012-008] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. February 6, 2012. Pursuant to Section 19(b...
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2011-10-03
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65407; File No. SR-BATS-2011-037] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. September 27, 2011. Pursuant to Section 19(b)(1) of...
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2011-05-13
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64445; File No. SR-BATS-2011-017] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add BATS Rule 11.22, Entitled ``Data Products'' May 9, 2011. Pursuant to Section 19(b)(1) of...
-
2011-11-10
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65694; File No. SR-BATS-2011-046] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. November 4, 2011. Pursuant to Section 19(b)(1) of...
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2011-12-13
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65907; File No. SR-BATS-2011-049] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. December 7, 2011. Pursuant to Section 19(b...
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2011-01-07
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63630; File No. SR-BATS-2010-039] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. January 3, 2011. Pursuant to Section 19(b)(1) of...
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2011-01-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63663; File No. SR-BATS-2011-001] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. January 6, 2011. Pursuant to Section 19(b)(1) of...
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2013-09-13
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70348; File No. SR-BATS-2013-048) Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. September 9, 2013. Pursuant to Section 19(b)(1) of...
-
2013-03-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69121; File No. SR-BATS-2013-014] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Operation of Market Orders for BATS Options March 12, 2013. Pursuant to Section 19(b...
-
2011-02-11
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63857; File No. SR-BATS-2011-004] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. February 7, 2011. Pursuant to Section 19(b)(1) of...
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2012-06-27
... Act because it helps to assure the safeguarding of securities and funds which are in its custody or... designated clearing organization; and (iii) the activity relating to the non-security clearing operations of... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67232; File No. SR-CME-2012-24] Self-Regulatory...
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2013-03-26
... Stock Loan/Hedge Program in a manner that protects the clearing system against risk through the same or... the By- Laws To Facilitate the Use of the Stock Loan/Hedge Program by Canadian Clearing Members March... the Stock Loan/Hedge Program by Canadian Clearing Members. II. Self-Regulatory Organization's...
-
2010-04-26
... to pay arbitration awards to remain in the securities industry presents regulatory risks and is...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule... Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC'' or...
-
2013-09-05
... and NYSE Amex Options Rule 900.2NY(77); and (iii) non- member organization and non-ATP Holder broker... described in Items I, II and III below, which Items have been prepared by the self-regulatory organization... Rules of the NYSE MKT Equities Rules, and ATP Holders, as that term is defined in NYSE Amex Options Rule...
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2011-10-17
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Regarding... September 28, 2011, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the Securities and Exchange... closely tailor their investment and risk management strategies and decisions. Furthermore, the Exchange...
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2010-12-08
... system (``PSX''). The text of the proposed rule change is available on the Exchange's Web site at http... the price changes upon the net fees paid by a particular market participant will depend upon a number... sizes through pricing or by operating as ``dark pools.'' C. Self-Regulatory Organization's Statement on...
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2013-06-24
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69793; File No. SR-BATS-2013-034] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. June 18, 2013. Pursuant to Section 19(b)(1) of the...
-
2010-05-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62074; File No. SR-BATS-2010-012] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. May 11, 2010. Pursuant to Section 19(b)(1) of the...
-
2013-03-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69079; File No. SR-BATS-2013-017] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. March 8, 2013. Pursuant to Section 19(b)(1) of the...
-
2013-04-01
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69238; File No. SR-BATS-2013-020] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. March 26, 2013. Pursuant to Section 19(b)(1) of the...
-
2013-02-06
... (February 22, 2012) (SR-EDGA-2012- 05) (adopting EdgeBook Cloud service); see also, Securities Exchange Act...Book Cloud service). C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule... its intent to file the proposed rule change at least five business days prior to the date of filing of...
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2011-02-10
... Executive Committee may need to make the decision. The CBOE Board is fully informed of any decision made by.... This approach simplifies the process of scheduling and conducting meetings and allows the Boards and... finding or (ii) as to which the self-regulatory organization consents, the Commission will: (A) By order...
-
2011-04-13
... Change To Provide Legal Certainty for the Trading of Futures on the CBOE Gold ETF Volatility Index April... CBOE Gold ETF Volatility Index (``GVZ Index''). II. Self-Regulatory Organization's Statement of the..., LLC (``CFE'') as an up-to-the-minute market estimate of the expected volatility of SPDR Gold Shares...
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2012-04-18
... of information barriers when running automated surveillance patterns designed to identify... Commission's Web site at www.sec.gov . II. Self-Regulatory Organization's Statement of the Purpose of, and... ``false positives'' that are identified through automated surveillance patterns by permitting FINRA to...
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2010-11-05
.... currency. NYSE Liffe US, LLC (``NYL'') is proposing to introduce for trading futures contracts on certain... established on the prior business day. However, because of time zone differences and the planned use of... of European banks and time zone differences. \\3\\ 15 U.S.C. 78q-1. (B) Self-Regulatory Organization's...
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2011-12-22
... plc as signatories. II. Self-Regulatory Organization's Statement of the Terms of Substance of the... is the recognition that CDS contracts cleared by ICC referencing broad-based securities indices are... would, among other things, decompose CDS contracts referencing broad-based [[Page 79730
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2010-05-19
... Options on the CBOE Gold ETF Volatility Index May 13, 2010. Pursuant to Section 19(b)(1) of the Securities... any option contracts on the CBOE Gold ETF Volatility Index. II. Self-Regulatory Organization's... rule change is to make clear that options on the CBOE Gold ETF Volatility Index, which is an index that...
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2010-06-08
... the requirements of Exchange Act Rule 15c3-1. The Exchange has conducted an analysis of financial.... 78a. \\3\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend Rule 6.82 by revising the minimum financial...
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2011-10-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65381; File No. SR-NASDAQ-2011-128] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates To Add Liquidity September 22, 2011. Correction In notice...
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2010-04-01
... required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this... Associations § 249.821 Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this chapter. This form shall be used by all self-regulatory...
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2011-03-07
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1..., the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange... information about the rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook...
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2010-01-19
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule... hereby given that on December 23, 2009, Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a... consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process). NASD Rule 2450...
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2010-12-03
... advance notice of the new Verification of Assets rule. \\8\\ 15 U.S.C. 78o-3(b)(6). B. Self-Regulatory... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63383; File No. SR-FINRA-2010-062] Self... in SR-FINRA-2010-042 (Verification of Assets) November 29, 2010. Pursuant to Section 19(b)(1) of the...
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2010-12-22
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 13, 2010, Financial Industry... application by their terms. For more information about the rulebook consolidation process, see Information...
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2010-07-26
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule... FINRA Rule 4320 in the Consolidated FINRA Rulebook July 20, 2010. On May 21, 2010, the Financial... application by their terms. For more information about the rulebook consolidation process, see Information...
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2012-07-18
..., and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the... Book, it will be viewed as taking liquidity. Conversely, whenever a participant posts a bid or offer... economic advantage relative to a NYSE Amex Options Market Maker's cost when trading with Customer order...
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2010-03-29
... virtually impossible in the liquid securities traded on the Exchange. \\7\\ This is similar to the method... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61756; File No. SR-NYSE-2010-24] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of...
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2013-12-11
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71004; File No. SR-Phlx-2013-101] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Regarding the Short Term Options Program December 6, 2013. I. Introduction On October 3, 2013, NASDAQ OMX PHLX LLC...
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2012-11-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68177; File No. SR-BOX-2012-003] Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change To Amend the Price Improvement Period November 7, 2012. I. Introduction On July 25, 2012, BOX Options Exchange LLC (``Exchange...
-
2011-02-15
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63875; File No. SR-Phlx-2010-183] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Expanding Its Short Term Option Program February 9, 2011. I. Introduction On December 15, 2010, NASDAQ OMX PHLX LLC...
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2010-11-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63266; File No. SR-NYSE-2010-67] Self-Regulatory Organizations; Order Approving Proposed Rule Change by New York Stock Exchange LLC Changing the NYBX Order Execution Sequence November 5, 2010. I. Introduction On September 9, 2010, the New York...
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2010-03-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61590; File No. SR-Phlx-2009-113] Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Approval of Proposed Rule Change Relating to Index Option Position Limits February 25, 2010. On December 29, 2009, NASDAQ OMX PHLX, Inc. (``Phlx'' or...
-
2011-01-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63654; File No. SR-Phlx-2010-158] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Establishing a $5 Strike Price Program January 6, 2011. I. Introduction On November 12, 2010, NASDAQ OMX PHLX LLC...
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2012-04-16
... and non- discriminatory terms. In addition, the proposed increased NYSE CSII fee and fee cap are the... Discretionary e-Quotes and verbal agency interest by floor brokers). B. Self-Regulatory Organization's Statement..., and all written communications relating to the proposed rule change between the Commission and any...
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2011-10-31
... a foreign financial institution, and as part of the corporate control transaction, the foreign... subsidiaries, both of which are U.S. non-broker-dealer financial institutions, and as part of the corporate...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate...
-
2010-05-27
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate... (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on May 4, 2010, Financial.... For more information about the rulebook consolidation process, see Information Notice, March 12, 2008...
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2010-12-08
... not the issuer of any such securities or other financial products and makes no express or implied.... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The... implies a representation or opinion by Frank Russell Company as to the attractiveness of investment in any...
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2013-03-14
..., and III below, which Items have been prepared by the self-regulatory organization. The Commission is...: (1) Clearing Member Trade Agreement (``CMTA'') information,\\5\\ and the name of the clearing ATP...\\ (iii) the exercise price; (iv) buy or sell with applicable limit or stop price or special instructions...
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2012-10-15
... two single names (The Hillshire Brands Company and DE US, Inc.). II. Self-Regulatory Organization's... the Sara Lee Corporation's successor companies, The Hillshire Brands Company and DE US, Inc. This... things, that the rules of a clearing agency be designed to promote the prompt and accurate clearance and...
-
2013-11-15
... that the size of the BBO equals the minimum quote size. Number of market makers actively quoting...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size...
-
2012-10-12
... and self-regulatory organizations to do so by submitting a single form, fingerprint card and a... identical fee for FINRA's review of a Form BD submitted by NASDAQ members that are not members of FINRA. \\8... filing, and fingerprint fees would become effective for filings or fingerprints submitted on or after...
-
2013-02-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68840; File No. SR-BX-2013-008] Self-Regulatory Organizations; NASDAQ OMS BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Routing Functionality to the NASDAQ OMX BX Equities Market February 6, 2013. Pursuant to Section 19(b)(1...
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2011-10-31
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65619, File No. SR-BATS-2011-032] Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change by BATS Exchange, Inc. To Adopt Rules Applicable to Auctions Conducted by the Exchange for Exchange-Listed Securities October 25, 2011. I. Introduction On August 22, 2011,...
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2013-09-04
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule... Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission... or manipulative motivation for the trading activity at issue.\\4\\ Specifically, proposed Supplementary...
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2011-10-14
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated... Account Statements) in the Consolidated FINRA Rulebook (``Notice''). The Notice contained incorrect...
-
2010-12-22
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63558; File No. SR-NYSEAmex-2010-100] Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Relating to Complex Orders December 16, 2010. I. Introduction On October 20, 2010, NYSE Amex LLC (``NYSE Amex'' or the ``Exchange...
-
2010-04-01
... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Service on self-regulatory... EXCHANGE ACT Miscellaneous § 1.63 Service on self-regulatory organization governing boards or committees by persons with disciplinary histories. (a) Definitions. For purposes of this section: (1) Self-regulatory...
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2010-08-11
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62655; File No. SR-FINRA-2010-042] Self... Change To Adopt FINRA Rule 4160 (Verification of Assets) August 5, 2010. Pursuant to Section 19(b)(1) of... rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...
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2013-07-16
..., contracts and transactions, and to assure the safeguarding of securities and funds which are in the custody... affect the security-based swap clearing operations of CME or any related rights or obligations of CME... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69957; File No. SR-CME-2013-10] Self-Regulatory...
-
2013-11-20
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for...
-
2010-10-25
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63132; File No. SR-Phlx-2010-118] Self-Regulatory Organizations; Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Expand the $.50 Strike Price Program October 19, 2010. On August 25, 2010, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange...
-
2013-05-15
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69545; File No. SR-ICC-2013-03] Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change Relating to Recovery and Resolution Arrangements May 9, 2013. On March 7, 2013, ICE Clear Credit LLC (``ICC'') filed with the...
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2012-04-20
...: The financial markets as a whole should benefit from [limit order display] because the price discovery... revised tier sizes and corresponding liquidity minimum amounts are in the best interest of the market for...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1...
-
2013-02-21
... in Items I, II, and III below, which Items have been prepared by the self-regulatory organization... Exchange proposes to amend the times in which certain ATP Holders are required to notify the Exchange in... to extend the time ATP Holders acting as agent for Customer orders have to notify the Exchange of a...
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Al-Namlah, Abdulrahman S.; Meins, Elizabeth; Fernyhough, Charles
2012-01-01
We investigated relations between 4- and 7-year-olds' (N=58) autobiographical memory and their use of self-regulatory private speech in a non-mnemonic context (a cognitive planning task). Children's use of self-regulatory private speech during the planning task was associated with longer autobiographical narratives which included specific rather…
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78 FR 1570 - Semiannual Regulatory Agenda
2013-01-08
... Deregulatory Priorities. Gregory H. Woods, General Counsel. Energy Efficiency and Renewable Energy--Proposed... Action 10/01/12 77 FR 59719 Regulatory Flexibility Analysis Required: Yes. Agency Contact: Stephen Witkowski, Phone: 202 586-7463, Email: stephen[email protected] . RIN: 1904-AB90 [FR Doc. 2012-31497...
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2013-11-13
... definition of ``emergency'' as that found in Section 12(k)(7) of the Act. Section 12(k)(7) defines an... NYSE so that the NYSE, as a self-regulatory organization (``SRO''), can remain operational. In essence... become a defined term under the amended rule-- shall include the authority to designate NYSE Arca to...
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2010-04-01
... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Notice by a self-regulatory... Notice by a self-regulatory organization of proposed admission to or continuance in membership or... statutory disqualification. (1) Any self-regulatory organization proposing, conditionally or unconditionally...
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2013-01-18
... securities offered or sold pursuant to crowdfunding.\\5\\ Intermediaries in transactions involving the offer or sale of securities for the account of others pursuant to the crowdfunding exemption must, among other...- regulatory organization.\\7\\ \\4\\ Public Law 112-106, 126 Stat. 306 (2012). \\5\\ In general, crowdfunding refers...
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2010-01-29
... processing accounts will be revised from a tiered structure to a flat monthly charge per account. A change...-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The purpose of the...
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2010-03-29
...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing... (Disclosure of Price and Concessions in Selling Agreements) and the deletion of NASD Rule 2770 (Disclosure of Price in Selling Agreements). FINRA Rule 5160 was approved by the Commission on January 25, 2010 \\5\\ and...
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2010-09-17
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center September 10, 2010. Pursuant...\\ notice is hereby given that on September 7, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the...
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10th Workshop on Self-Organizing Maps
Schleif, Frank-Michael; Kaden, Marika; Lange, Mandy
2014-01-01
The book collects the scientific contributions presented at the 10th Workshop on Self-Organizing Maps (WSOM 2014) held at the University of Applied Sciences Mittweida, Mittweida (Germany, Saxony), on July 2–4, 2014. Starting with the first WSOM-workshop 1997 in Helsinki this workshop focuses on newest results in the field of supervised and unsupervised vector quantization like self-organizing maps for data mining and data classification. This 10th WSOM brought together more than 50 researchers, experts and practitioners in the beautiful small town Mittweida in Saxony (Germany) nearby the mountains Erzgebirge to discuss new developments in the field of unsupervised self-organizing vector quantization systems and learning vector quantization approaches for classification. The book contains the accepted papers of the workshop after a careful review process as well as summaries of the invited talks. Among these book chapters there are excellent examples of the use of self-organizing maps in agriculture, ...
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2011-11-28
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65800; File No. SR-C2-2011-035] Self-Regulatory... Rule Change Related to a Temporary Quote Risk Monitor Mechanism Rule November 21, 2011. Pursuant to...). \\2\\ 17 CFR 240.19b-4. \\3\\ 15 U.S.C. 78s(b)(3)(A)(iii). \\4\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory...
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2013-01-22
... certainty with respect to execution fees at groups of away options exchanges. Under its flat fee structure...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange...
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2010-05-28
...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Risk Management Interface May 24, 2010. Pursuant to Section 19(b)(1) of the...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange...
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International Nuclear Information System (INIS)
2017-10-01
In the sunniest regions of France, like the Great East, the photovoltaic self-consumption market growth is supported by the national tender (450 MW of projects to allocate) and regional aids, the new tariffing order and the new regulatory framework for collective self-consumption. This document brings together the presentations given during the Regional conference dedicated to photovoltaic self-consumption held at Strasbourg (FR) in October 2017: 1 - Conference program; 2 - Introduction (Bruno Flochon - Climaxion Region Grand Est); 3 - Regulatory context (Mathilde Ducatel - DREAL); 4 - Conditions of connection to the Enedis grid (Jean Luc Spaeth, Enedis); 5 - Experience feedback and regional support (Gautier Perrin - Region Grand Est); 6 - National news (Richard Loyen - Enerplan); 7 - Regional companies (Nicolas Randria - GMPV FFB); 8 - Great East Solar Association (Sandrine Bournaison); 9 - Electro-concept of a Supermarket at Wittelsheim (Philippe Soret); 10 - Roof PV generator on the C3 building at Clemessy-Mulhouse (Dominique Bitsch)
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2013-05-17
... able to manually input and verify trade data within 10 seconds.\\18\\ One commenter asserted that the... balance between promoting the goals of increased automation and efficiency in the marketplace and... trades with a large number of securities.\\28\\ \\28\\ See FIF Letter and SIFMA Letter. FINRA responded that...
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2012-10-09
... entry of erroneous orders. In addition, the Market Access Rule requires certain regulatory risk... authorized by the broker-dealer. These regulatory risk management controls also include measures designed to...-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...
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2013-04-03
... Organizations; Chicago Mercantile Exchange Inc.; Notice of Withdrawal of Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology March 28, 2013. On December 10, 2012, Chicago Mercantile... Section 19(b)(1) of the Securities Exchange Act of 1934 \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule...
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Nes, Lise Solberg; Carlson, Charles R.; Crofford, Leslie J.; de Leeuw, Reny; Segerstrom, Suzanne C.
2011-01-01
Ability to self-regulate varies and self-regulatory strength is a limited source that can be depleted or fatigued. Research on the impact of individual differences on self-regulatory capacity is still scarce, and this study aimed to examine whether personality factors such as dispositional optimism, conscientiousness, and self-consciousness can impact or buffer self-regulatory fatigue. Participants were patients diagnosed with chronic multi-symptom illnesses (N = 50), or pain free matched con...
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2013-04-10
... an orderly way with issuers during periods of market stress. \\4\\ See Securities Exchange Act Release... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69295; File No. SR-NYSE-2013-27] Self... Exchange Act Release No. 67091 (May 31, 2012), 77 FR 33498 (June 6, 2012) (``LULD Release''). Nevertheless...
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49 CFR 28.110 - Self-evaluation.
2010-10-01
... 49 Transportation 1 2010-10-01 2010-10-01 false Self-evaluation. 28.110 Section 28.110 Transportation Office of the Secretary of Transportation ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE DEPARTMENT OF TRANSPORTATION § 28.110 Self-evaluation...
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2011-05-04
... advised by the Regulatory and Clearance Committee of the Securities Operations Section of SIFMA that...: ``Entities holding securities in custody should employ accounting practices and safekeeping procedures that... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64360; File No. SR-DTC-2011-05] Self-Regulatory...
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2013-06-27
... market and to protect investors (Rule 3100(a)(2)); a halt in a Derivative Securities Product (as defined... Release No. 67091 (May 31, 2012), 77 FR 33498 (June 6, 2012). a trading halt in a Derivative Security... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69817; File No. SR-Phlx-2013-66] Self...
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2012-11-02
... Accounting Principles (``GAAP''). Canadian clearing members that use Form 1 report the same, and in some... Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Financial... financial reporting by Canadian clearing members to reflect the Investment Industry Regulatory Organization...
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2012-01-25
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66193; File No. SR-ODD-2012-01] Self-Regulatory... to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Relative... disclosure document (``ODD'') to reflect certain changes to disclosure regarding relative performance options...
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Emotion: The Self-regulatory Sense.
Peil, Katherine T
2014-03-01
While emotion is a central component of human health and well-being, traditional approaches to understanding its biological function have been wanting. A dynamic systems model, however, broadly redefines and recasts emotion as a primary sensory system-perhaps the first sensory system to have emerged, serving the ancient autopoietic function of "self-regulation." Drawing upon molecular biology and revelations from the field of epigenetics, the model suggests that human emotional perceptions provide an ongoing stream of "self-relevant" sensory information concerning optimally adaptive states between the organism and its immediate environment, along with coupled behavioral corrections that honor a universal self-regulatory logic, one still encoded within cellular signaling and immune functions. Exemplified by the fundamental molecular circuitry of sensorimotor control in the E coli bacterium, the model suggests that the hedonic (affective) categories emerge directly from positive and negative feedback processes, their good/bad binary appraisals relating to dual self-regulatory behavioral regimes-evolutionary purposes, through which organisms actively participate in natural selection, and through which humans can interpret optimal or deficit states of balanced being and becoming. The self-regulatory sensory paradigm transcends anthropomorphism, unites divergent theoretical perspectives and isolated bodies of literature, while challenging time-honored assumptions. While suppressive regulatory strategies abound, it suggests that emotions are better understood as regulating us, providing a service crucial to all semantic language, learning systems, evaluative decision-making, and fundamental to optimal physical, mental, and social health.
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Emotion: The Self-regulatory Sense
2014-01-01
While emotion is a central component of human health and well-being, traditional approaches to understanding its biological function have been wanting. A dynamic systems model, however, broadly redefines and recasts emotion as a primary sensory system—perhaps the first sensory system to have emerged, serving the ancient autopoietic function of “self-regulation.” Drawing upon molecular biology and revelations from the field of epigenetics, the model suggests that human emotional perceptions provide an ongoing stream of “self-relevant” sensory information concerning optimally adaptive states between the organism and its immediate environment, along with coupled behavioral corrections that honor a universal self-regulatory logic, one still encoded within cellular signaling and immune functions. Exemplified by the fundamental molecular circuitry of sensorimotor control in the E coli bacterium, the model suggests that the hedonic (affective) categories emerge directly from positive and negative feedback processes, their good/bad binary appraisals relating to dual self-regulatory behavioral regimes—evolutionary purposes, through which organisms actively participate in natural selection, and through which humans can interpret optimal or deficit states of balanced being and becoming. The self-regulatory sensory paradigm transcends anthropomorphism, unites divergent theoretical perspectives and isolated bodies of literature, while challenging time-honored assumptions. While suppressive regulatory strategies abound, it suggests that emotions are better understood as regulating us, providing a service crucial to all semantic language, learning systems, evaluative decision-making, and fundamental to optimal physical, mental, and social health. PMID:24808986
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2012-12-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68368; File No. SR-ODD-2012-02] Self-Regulatory... to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Adjustments for... (``November 2012 Supplement'') to amend the options disclosure document (``ODD'') to reflect certain changes...
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2010-05-24
... second by comparing each last consolidated sale price of a security (``Trigger Trade'') during the...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Adding Rule 80C To Provide for a Trading Pause for Individual Securities When the Price Moves 10 Percent or More...
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2012-01-10
....15c3-5. Because these are NYSE Arca proprietary firms, the regulatory risk of extending the time to...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Trail System Rules, for Equity Trading Permit Holders That Are Not Financial Industry Regulatory...
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2011-01-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63711; File No. SR-ODD-2011-01] Self-Regulatory... to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Credit Default Options in, and Making Certain Technical Amendments to, the June 2007 Supplement to the Options Disclosure...
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46 CFR 28.73 - Accepted organizations.
2010-10-01
... 46 Shipping 1 2010-10-01 2010-10-01 false Accepted organizations. 28.73 Section 28.73 Shipping... INDUSTRY VESSELS General Provisions § 28.73 Accepted organizations. An organization desiring to be designated by the Commandant as an accepted organization must request such designation in writing. As a...
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2011-10-04
... clarify that 2102(e) applies to trading halts in new derivative securities, so as to not be confused with... derivative securities products when a temporary interruption occurs in the calculation or wide dissemination... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65425; File No. SR-ISE-2011-61] Self-Regulatory...
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2013-10-22
... per contract from its prior rate of $0.05 per contract. See Securities Exchange Act Release No. 69768... similar products.\\13\\ \\13\\ At least one other exchange currently trades foreign currency options. While... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70647; File No. SR-ISE-2013-50] Self-Regulatory...
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2010-08-26
...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed... costs associated with system issues that are attributable to cancelled AON orders. A Professional order... organization in order for a member organization to be assessed the Cancellation Fee (``500 Threshold''). The...
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75 FR 79049 - Final Regulatory Guide: Issuance, Availability
2010-12-17
... opened in transit. This guide also incorporates suggestions for ensuring that TIDs are properly applied..., Division of Engineering, Office of Nuclear Regulatory Research. [FR Doc. 2010-31729 Filed 12-16-10; 8:45 am...
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2013-11-25
..., with respect to index options, restrictions on exercise may be in effect until the opening of business... security of an option contract that is scheduled to be released just after the close on the business day... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70900; File No. SR-ISE-2013-58] Self-Regulatory...
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2011-01-28
... Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed... Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International... Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of...
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2012-08-28
...'s rules, the financial and regulatory risk management controls and supervisory procedures required...-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by... that broker-dealers appropriately control the risks associated with market access, so as not to...
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2013-12-02
...), 77 FR 38362 (June 27, 2012) (SR-CBOE-2012-057), which increased the CQL for Facebook to 60. The...., Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of the...
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2013-09-23
... Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed... Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International... ``Committee'') \\3\\ of the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation, and...
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Rizzo, P; Steinhausen, H C; Drechsler, D
2010-01-01
Insufficient self-regulation and reduced awareness of self-regulatory skills have been discussed as possible explanations for academic difficulties. However, instruments for assessing metacognitive knowledge of self-regulation in young school children have been lacking so far and it has been questioned whether younger school children are able to make accurate self-judgments on their regulatory skills. We present a new age-appropriate self-rating scale for the assessment of self-regulatory ski...
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2013-07-25
... improperly shared (except with persons in senior management who are involved in exercising general managerial... senior management who are involved in exercising general managerial oversight of one or both entities... ultimately benefits market participants and does not impose a burden on competition. C. Self-Regulatory...
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2011-08-11
... proprietary traders. The Series 56 examination program is shared by NASDAQ and the following self-regulatory..., experience and competence for members and their associated persons, in particular, by offering a new...
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2012-08-28
... financial and regulatory risk management controls and supervisory procedures required by Rule 15c3-5 under...-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by... that broker-dealers appropriately control the risks associated with market access, so as not to...
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2013-11-05
... FINRA members and not just ADF Participants.\\37\\ FINRA counters that the fixed ADF Deposit Amount is not... would also codify other current requirements into a single rule. See id., 78 FR at 46654. ADF Deposit... that the member anticipates submitting to the ADF; (ii) agree to submit the ADF Deposit Amount \\23\\ in...
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2013-07-08
... eliminate references in Sections E.1 and E.8 to ``Derivative Securities Products'' (``DSPs'') and ``Non-Derivative Securities Products'' (``Non-DSPs'') and to eliminate references in Section E.1 to ``Regular... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69903; File No. SR-CHX-2013-12] Self-Regulatory...
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2013-12-26
... Tapes, eliminated the distinction between Derivative Securities Products and Non-Derivative Securities... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71137; File No. SR-CHX-2013-22] Self-Regulatory...) \\1\\ of the Securities Exchange Act of 1934 (``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is...
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2010-11-04
... system developed by IBM in the early 1980s to move large amounts of data through the Internet. \\7\\ Some... Change To Implement a Disincentive Fee Associated With the Deposit Automation Management System October... certain deposits made through DTC's Deposit Automation Management (``DAM'') system. II. Self-Regulatory...
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2013-12-20
... financial system because it will enhance the transparency of OCC's governance arrangements. The advance...-Regulatory Organizations; The Options Clearing Corporation; Advance Notice Concerning the Governance... Advance Notice This advance notice concerns the charter of the Governance Committee (``GC Charter'') of...
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International Nuclear Information System (INIS)
Idawati; Haryanto
2002-01-01
Organic matter in soil plays very important roles in agriculture, especially in highly weathered soil like most soils in Indonesia. Inorganic fertilizer which is an instant N source, is still required, to supply plant demand. Combination of organic matter and inorganic N fertilizer would be the best solution to achieve high agricultural product. To study organic matter addition in combination with N fertilizer in upland rice cultivation, two experiments were conducted in The Agricultural Research Station, Citayam. One experiment was a field experiment and the other was a pot experiment conducted in the field in which the field experiment was performed, by installing pots in the center of plot experiment 15N technique was applied in the pot experiment The experiments were designed with Randomized Block Design. Prior to the experiment. N soil was extracted by planting blanket plant. i.e. corn. The treatments for field and pot experiments were the same, i.e.: 0 as Control I (without organic matter, without N fertilizer); N as Control 2 (without organic matter, 45 kg N/ha at planting + 45 kg N/ha a month after planting); GN-I (Gliricidia at planting; 45 kg N/ha at planting + 22,5 kg N/ha a month after planting); GN-2 (Gliricidia at planting + Gliricidia a month after planting; 45 kg N/ha at planting); GN-3 (Gliricidia at planting; 22,5 kg N/ha at planting + 22,5 kg N/ha a month after planting); JN-I (rice straw at planting; 90 kg N/ha at planting); JN-2 (rice straw at planting; 45 kg N/ha a planting + 45 kg N/ha a month after planting); JN-3 (rice straw at planting; 45 kg N/ha at planting + 22,5 kg N/ba month after planting); KN-I(long bean residue at planting; 45 kg N/ha at planting + 22,5 kg N/ha a month after planting); KN-2 (long bean residue at planting; 22,5 kg N/ha at planting + 22,5 kg N/ha a month after planting). Soil N was successfully depleted by blanket plant showed by very low rice production and N uptake of Control I. Result of the pot experiment
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2010-09-08
...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The proposed rule change will amend DTC rules to provide that any officer having a rank of Managing Director or higher is... Organization's Statement on Burden on Competition DTC does not believe that the proposed rule change will...
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2013-11-08
..., contracts, and transactions, to assure the safeguarding of securities and funds which are in the custody or... mixed swaps; and (b) does not significantly affect any securities clearing operations of CME or any... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70801; File No. SR-CME-2013-25] Self-Regulatory...
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2013-02-15
....0022/share in all Derivative Securities Products priced $1.00/share or more executed in the Regular....0022/share in all Derivative Securities Products priced $1.00/share or more executed in the Regular... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68894; File No. SR-CHX-2013-06] Self-Regulatory...
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2012-10-12
... principal office of the Exchange, and at the Commission's Public Reference Room. II. Self-Regulatory... proprietary positions. For example, an LMM may have an incentive to lean their fair value determination in a... filing also will be available for inspection and copying at the principal office of the Exchange. All...
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2013-12-23
... transactions, to assure the safeguarding of securities and funds which are in the custody or control of the... securities clearing operations of CME or any rights or obligations of CME with respect to securities clearing... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71088; File No. SR-CME-2013-32] Self-Regulatory...
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2013-10-22
... changes contribute to the safeguarding of securities and funds in CME's custody or control or for which... securities clearing operations of CME or any rights or obligations of CME with respect to securities clearing... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70605; File No. SR-CME-2013-21] Self-Regulatory...
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2010-10-28
...-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Sales Value Fee October 22, 2010. Pursuant to Section 19(b... hereby given that, on October 14, 2010, the International Securities Exchange, LLC (the ``Exchange'' or...
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2010-10-13
...-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on October 4, 2010, International Securities...
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2010-01-19
...-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 31, 2009, the International...
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2011-03-11
..., Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on... Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC...-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and...
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2013-11-06
..., Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on... Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC...-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and...
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N-body simulations for f(R) gravity using a self-adaptive particle-mesh code
Zhao, Gong-Bo; Li, Baojiu; Koyama, Kazuya
2011-02-01
We perform high-resolution N-body simulations for f(R) gravity based on a self-adaptive particle-mesh code MLAPM. The chameleon mechanism that recovers general relativity on small scales is fully taken into account by self-consistently solving the nonlinear equation for the scalar field. We independently confirm the previous simulation results, including the matter power spectrum, halo mass function, and density profiles, obtained by Oyaizu [Phys. Rev. DPRVDAQ1550-7998 78, 123524 (2008)10.1103/PhysRevD.78.123524] and Schmidt [Phys. Rev. DPRVDAQ1550-7998 79, 083518 (2009)10.1103/PhysRevD.79.083518], and extend the resolution up to k˜20h/Mpc for the measurement of the matter power spectrum. Based on our simulation results, we discuss how the chameleon mechanism affects the clustering of dark matter and halos on full nonlinear scales.
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2013-07-16
... securities and funds which are in the custody or control of the clearing agency and, in general, help to...-based swap clearing operations of CME or any related rights or obligations of CME security-based swap... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69956; File No. SR-CME-2013-09] Self-Regulatory...
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77 FR 7968 - Semiannual Regulatory Agenda
2012-02-13
... Regulation Sequence No. Title Identifier No. 392 Non-Federal Oil and Gas 1024-AD78 Rights. National Park.... Timetable: Action Date FR Cite NPRM 07/00/12 Regulatory Flexibility Analysis Required: Yes. Agency Contact... anaconda, and Beni anaconda. Timetable: Action Date FR Cite ANPRM 01/31/08 73 FR 5784 ANPRM Comment Period...
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2010-08-04
... Derivative Security products under NSX Rule 15.9. Proposed Rule 11.1(c) provides for the benefit of ETP... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62601; File No. SR-NSX-2010-09] Self-Regulatory... Hours July 29, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act...
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2013-08-29
... safeguarding of securities and funds which are in the custody or control of the clearing agency or for which it... operations of CME or any rights or obligations of CME with respect to securities clearing or persons using... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70247; File No. SR-CME-2013-16] Self-Regulatory...
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2012-04-18
... existence of information barriers when running automated surveillance patterns designed to identify... Commission's Public Reference Room, and the Commission's Web site at www.sec.gov . II. Self-Regulatory... ``false positives'' that are identified through automated surveillance patterns by permitting FINRA to...
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2012-11-09
... Rules provide updates related to anti-money laundering legislation applicable to customers, clarify... proposed rule change will have any impact or impose any burden on competition. C. Self-Regulatory...
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2012-07-31
... change. All such Regulatory Bulletins will contain information regarding changes to the risk settings in...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule... Applicable to the Market Maker Risk Limitation Mechanism Will Be Between One and 100 Executions per Second...
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2013-08-27
... believes that the change will provide members with an additional tool for managing the book of [[Page 52995... Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...
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2010-04-01
... boards and various committees. (a) Definitions. For purposes of this section: (1) Disciplinary committee... defined in § 3.1(a); (D) Net positions held at that self-regulatory organization in “customer” accounts... member has unique or special expertise, knowledge or experience in the matter under consideration. (iii...
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2012-05-01
... settings via Regulatory Bulletin. The Mechanism protects Market Makers from the risk associated with an...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 928NY Specifying That the Potential Range for the Settings Applicable to the Market Maker Risk...
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2013-08-09
... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange... managing their orders in the event of symbol changes and changes in listing venue, by cancelling open...
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2012-08-29
...-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership in The NASDAQ Stock Market LLC August 23, 2012. Pursuant to Section... is hereby given that on August [[Page 52374
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2013-09-03
...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed..., Interactive Data Online Properties, Inc. (collectively ``IDC''), whereby the Exchange will make available... the Private Labeled Products and who first subscribe as a result of the Exchange's marketing...
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2010-08-18
...-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule.... * * * '' The rule includes an exception for any matter that is ``clearly distinguishable as paid advertising... beyond paid advertising to also include compensation paid in connection with research reports and...
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2011-05-19
... Participant's required deposit being fixed by FICC in accordance with formulas as specified in the Rules...-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Granting Accelerated..., the Fixed Income Clearing Corporation (``FICC'') filed with the Securities and Exchange Commission...
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2013-08-05
...-regulatory organizations and broker-dealers increased authority and flexibility to offer new and unique..., providing virtually limitless opportunities for entrepreneurs who wish to produce and distribute their own...
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2011-03-25
... trading in each UTP Derivative Security contain applicable trading hours for the UTP Derivative Security... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64105; File No. SR-BX-2011-016] Self-Regulatory... Starting Time March 22, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act...
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2010-08-05
...-Floating Rate Normal ITS issued by U.S. Bancorp Capital IX, each with a liquidation amount of $1,000 (the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62607; File No. SR-ISE-2010-80] Self-Regulatory... Securities Exchange, LLC That Constitutes a Stated Interpretation With Respect to the Meaning, Administration...
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2010-04-01
... disciplinary sanctions or summary suspensions by a self-regulatory organization. 240.19d-2 Section 240.19d-2... summary suspensions by a self-regulatory organization. If any self-regulatory organization imposes any... the appropriate regulatory agency may file with the Commission a written motion for a stay of...
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2010-08-18
...-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... as paid advertising.'' EDGA agrees with FINRA's reasoning for proposing changes to its Rule 5230... exceptions in the rule beyond paid advertising to also include compensation paid in connection with research...
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2010-05-06
...-025, The NASDAQ Stock Market LLC (``NASDAQ Exchange'') sought and received Commission approval to... requirements apply to elections of directors and were not amended. Each share of common stock has one vote,\\8...-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate...
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2013-01-17
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Disapproving Proposed Rule Change To Establish ``Benchmark Orders'' Under NASDAQ Rule 4751(f) January 11, 2013. I. Introduction On May 1, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and Exchange Commission...
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2013-09-18
...-AB20 Children's Online Privacy Protection Rule Safe Harbor Proposed Self-Regulatory Guidelines; kidSAFE... proposed self-regulatory guidelines submitted by the kidSAFE Seal Program (``kidSAFE''), owned and operated... enabling industry groups or others to submit to the Commission for approval self-regulatory guidelines that...
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Directory of Open Access Journals (Sweden)
Fan eSu
2016-03-01
Full Text Available A valuable strategy to improve crop yield consists in the use of plant growth-promoting rhizobacteria (PGPRs. However, the influence of PGPR colonization on plant physiology is largely unknown. PGPR Burkholderia phytofirmans strain PsJN (Bp PsJN colonized only Arabidopsis thaliana roots after seed or soil inoculation. Foliar bacteria were detected only after leaf infiltration. Since different bacterial times of presence and/or locations in host plant could lead to different plant physiological responses, photosynthesis and metabolite profiles in A. thaliana leaves were thus investigated following leaf, root or seed inoculation with Bp PsJN. Only Bp PsJN leaf colonization transiently decreased cyclic electron transport and effective quantum yield of photosystem I (PSI, and prevented a decrease in net photosynthesis and stomatal opening compared to the corresponding control. Metabolomic analysis revealed that soluble sugars, amino acids or their derivatives accumulated differently in all Bp PsJN-inoculated plants. Octanoic acid accumulated only in case of inoculated plants. Modifications in vitamin, organic acid such as tricarboxylic acid intermediates, and hormone amounts were dependent on bacterial time of presence and location. Additionally, a larger array of amino acids and hormones (auxin, cytokinin, abscisic acid were modified by seed inoculation with Bp PsJN. Our work thereby provides evidence that relative short-term inoculation with Bp PsJN altered physiological status of A.thaliana leaves, whereas long-term bacterization triggered modifications on a larger set of metabolites. Our data highlighted the changes displayed during this plant-microbe interaction to trigger physiological and metabolic responses that could explain the increase in plant growth or stress tolerance conferred by the presence of Bp PsJN.
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Self-regulatory failure and intimate partner violence perpetration.
Finkel, Eli J; DeWall, C Nathan; Slotter, Erica B; Oaten, Megan; Foshee, Vangie A
2009-09-01
Five studies tested the hypothesis that self-regulatory failure is an important predictor of intimate partner violence (IPV) perpetration. Study 1 participants were far more likely to experience a violent impulse during conflictual interaction with their romantic partner than they were to enact a violent behavior, suggesting that self-regulatory processes help individuals refrain from perpetrating IPV when they experience a violent impulse. Study 2 participants high in dispositional self-control were less likely to perpetrate IPV, in both cross-sectional and residualized-lagged analyses, than were participants low in dispositional self-control. Study 3 participants verbalized more IPV-related cognitions if they responded immediately to partner provocations than if they responded after a 10-s delay. Study 4 participants whose self-regulatory resources were experimentally depleted were more violent in response to partner provocation (but not when unprovoked) than were nondepleted participants. Finally, Study 5 participants whose self-regulatory resources were experimentally bolstered via a 2-week training regimen exhibited less violent inclinations than did participants whose self-regulatory resources had not been bolstered. These findings hint at the power of incorporating self-regulation dynamics into predictive models of IPV perpetration. (c) 2009 APA, all rights reserved).
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2011-01-19
...-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees for the NASDAQ Options Market January 12, 2011. Pursuant to... is hereby given that on January 6, 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange...
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2011-12-16
...-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed... November 30, 2011. The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and... Change The NASDAQ Stock Market LLC proposes to amend Rule 7056 entitled ``NASDAQ Options Fee Disputes...
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2013-08-20
... exchange without incurring losses from such routing. The Exchange believes that its flat fee structure for... with respect to execution fees at groups of away options exchanges. Under its flat fee structure...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...
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2012-08-20
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Establish ``Benchmark Orders'' Under NASDAQ Rule 4751(f) August 14, 2012. I. Introduction On May 1, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange...
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Kliemann, Nathalie; Vickerstaff, Victoria; Croker, Helen; Johnson, Fiona; Nazareth, Irwin; Beeken, Rebecca J
2017-09-05
Habit-interventions are designed to promote the automaticity of healthy behaviours and may also enhance self-regulatory skills during the habit-formation process. A recent trial of habit-based advice for weight loss (10 Top Tips; 10TT), found that patients allocated to 10TT lost significantly more weight over 3 months than those allocated to usual care, and reported greater increases in automaticity for the target behaviours. The current study aimed to test the hypothesis that i) 10TT increased self-regulatory skills more than usual care, and ii) that self-regulatory skills and automaticity changes mediated the effect of 10TT on weight loss. 537 obese patients from 14 primary care practices in the UK were randomized to receive 10TT or usual care. Patients in the 10TT group received a leaflet containing tips for weight loss and healthy habits formation, a self-monitoring log book and a wallet-sized shopping guide on how to read food labels. Patients were weighed and completed validated questionnaires for self-regulation and automaticity at baseline and 3-month follow-up. Within-group and Between-group effects were explored using Paired T-test and ANCOVA, respectively. Mediation was assessed using bootstrapping to estimate indirect effects and the sobel test. Over 3 months patients who were given 10TT reported greater increases in self-regulatory skills (Mean difference: .08; 95% CI .01; .15) than those who received usual care. Changes in self-regulatory skills and automaticity over 3 months mediated the effect of the intervention on weight loss (β = .52, 95% Bias Corrected CI .17; .91). As hypothesised, 10TT enhanced self-regulatory skills and changes in self-regulatory skills and automaticity mediated the effect of the intervention on weight loss. This supports the proposition that self-regulatory training and habit formation are important features of weight loss interventions. This study was prospectively registered with the International Standard Randomised
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2013-08-30
... Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change... Proprietary Trader Program (S501) Continuing Education Regulatory Element Session on the BOX Market LLC (``BOX'') options facility. While changes to the fee schedule pursuant to this proposal will be effective upon...
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2010-03-18
...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange... suggests or implies a representation or opinion by Frank Russell Company as to the attractiveness of... Russell Company is not the issuer of any such securities or other financial products and makes no express...
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2011-05-11
... equitable in that it is designed to incentivize Members to use the RDOT or RDOX routing strategies to... pricing structure designed to incent market participants to direct their order flow to the Exchange. The...-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...
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2013-08-20
... believes that its flat fee structure for orders routed to various venues is a fair and equitable approach... exchanges. Under its flat fee structure, taking all costs to the Exchange into account, the Exchange may...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...
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2013-12-17
... routing orders to such exchanges. The Exchange believes that its flat fee structure for orders routed to... execution fees at groups of away options exchanges. Under its flat fee structure, taking all costs to the...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed...
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2013-06-04
... certain locked- in trade sources in the future based on volumes and processing costs. \\9\\ Designated...-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing Proposed Rule Change to Include trueEX LLC as a Designated Locked-In Trade Source Pursuant to the Rulebook of the Government Securities...
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2013-10-22
...-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed... it is not proposing to modify any of the existing rebates or fees or the percentage thresholds at... will qualify for, providing Members with an increased certainty as to their monthly cost for trades...
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2013-05-08
... affiliate relationship between NASDAQ and NOS, its member, raises the issue of an exchange's affiliation... unfair competitive advantage and potential conflicts of interest between an exchange's self-regulatory... regarding the potential for conflicts of interest in instances where a member firm is affiliated with an...
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Discussion of Regulatory Guide 7.10, emphasizing the graded approach for establishing QA programs
International Nuclear Information System (INIS)
Gordon, L.; Lake, W.H.
1983-01-01
To assist applicants in establishing an acceptable QA program to meet the programmatic elements of Appendix E to 10 CFR Part 71, Regulatory Guide 7.10 was developed. Regulatory Guide 7.10 is organized in three self-contained ANNEXES. Guidance applicable to designer/fabricators, to users, and users of radiographic devices are in separate annexes. QA programs for packaging to transport radioactive material are similar in regard to the various operations a licensee may be involved in. However, the appropriate QA/QC effort to verify the program elements may vary significantly. This is referred to as the graded approach. Appendix A in the guide addresses the graded approach
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2011-03-02
...-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols February 24, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4...
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2011-04-05
...-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols March 30, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), \\1\\ and Rule 19b-4...
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2010-08-04
... Educational Services Inc 280 TSL Trina Solar Ltd 332 NKE NIKE Inc 282 EWW iShares MSCI Mexico 335 FIS Fidelity...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed...\\ notice is hereby given that on July 26, 2010, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'') filed...
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2010-08-06
..../The 331 ESI ITT Educational Services Inc. 280 TSL Trina Solar Ltd. 332 NKE NIKE Inc. 282 EWW iShares...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed..., notice is hereby given that on July 22, 2010, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange'') filed with...
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2012-01-11
... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options January 5, 2012...,\\2\\ notice is hereby given that on December 28, 2011, the International Securities Exchange, LLC (the...
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2013-10-22
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Assume... Authority and Supervision September 30, 2013. On July 31, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or...) Manipulation patterns that monitor solely NASDAQ activity, including patterns that monitor the Exchange's...
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2011-07-12
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... June 27, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the Securities... NASDAQ Options Market (``NOM'') to amend Chapter VI, Trading Systems, Section 11, Order Routing, to...
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2011-06-14
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...,\\2\\ notice is hereby given that on May 26, 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or... telecommunication, inter-cabinet connectivity, connectivity to NASDAQ and market data connectivity related to an...
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2011-07-22
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Stock Market Equities Trading Rules 4757 and 4758 and NASDAQ Options... NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the Securities and Exchange...
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2010-02-05
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... given that on January 29, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or the ``Exchange'') filed with... markets. Such assessments consider factors such as a destination's latency, fill rates, reliability, and...
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2013-05-16
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that on April 30, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange... ``Options Pricing,'' at Section 2 governing pricing for NASDAQ members using the NASDAQ Options Market...
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2013-02-06
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule... alert are different. During the order exposure period, those orders are, in effect, advertising in a... liquidity, because they are adding liquidity to the advertised orders. Accordingly, the Exchange believes...
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2012-10-25
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change...Tree Trust October 19, 2012. I. Introduction On August 15, 2012, The NASDAQ Stock Market LLC (``Nasdaq... temporary defensive strategies that are inconsistent with its investment strategies, the Fund's ability to...
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2011-10-19
...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange is... connection with prior filings, the Commission has expressed concern that the affiliation of an exchange with...-100). Recognizing that the Commission has previously expressed concern regarding the potential for...
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2012-08-14
... Underlying Securities) of the NASDAQ Options Market rules.\\11\\ Additionally, the Target Component's and the...\\ Additionally, the Target Component's and the Benchmark Component's trading volume (in all markets in which the...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change Relating to the...
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2012-03-14
... troubling trend of reduced participation in the equity markets by individual investors, and that nearly 30... different asset classes within a single strategy. NASDAQ also notes that cash equities and options markets...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...
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2010-03-03
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for the NASDAQ Options Market (``NOM'') February 24, 2010. Pursuant... thereunder,\\2\\ notice is hereby given that, on January 27, 2010, The NASDAQ Stock Market LLC (``NASDAQ...
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2011-08-03
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... that, on July 22, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the...'') a proposal for the NASDAQ Options Market (``NOM'') to amend Chapter VI, Trading Systems, Section 1...
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2012-02-23
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... February 13, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and... Change The NASDAQ Stock Market LLC proposes to modify Chapter XV, Section 2, governing pricing for NASDAQ...
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2012-03-29
...-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of..., 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and Exchange... halt, there is a 15-minute Display-Only Period during which market participants may enter quotes and...
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2013-11-27
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on November 8, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange''), filed... service. This new low latency service decreases the time individual orders are processed and market data...
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2011-11-16
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... November 1, 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and... Change The NASDAQ Stock Market LLC proposes to create a new Rule 7056 entitled ``NASDAQ Options Fee...
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2013-05-24
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of..., 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange'') filed with the Securities and... shall include: (1)-(14) No change. (15) ``Market Maker Peg Order'' is a limit order that, upon entry...
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2013-05-10
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a..., 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and Exchange... for which the Exchange is the listing market, the System shall determine whether a transaction in a...
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2013-08-13
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on July 25, 2013 The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with... market data is transmitted by these new switches. The Exchange's proposal provides the co-located client...
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2013-01-16
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that on January 4, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange... historical latency of the member firm's order messages sent to and from the NASDAQ Market Center (``System...
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2011-08-08
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that, on July 27, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ... NASDAQ Stock Market and the NASDAQ Options Market. Currently, a member that provides shares of liquidity...
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2011-08-08
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... given that on July 26, 2011, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the Securities and... Nasdaq for connectivity to systems operated by NASDAQ, including the Nasdaq Market Center, the FINRA...
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2010-09-24
...--NYSE Amex Equities (Anti-Money Laundering Compliance Program) replaced old Rule 445--NYSE Amex Equities...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... solicited or received with respect to the proposed rule change. III. Date of Effectiveness of the Proposed...
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2011-09-06
...-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To Adopt Rules for the...-4 thereunder,\\2\\ a proposed rule change to adopt rules for the qualification, listing, and delisting... the Proposal The Exchange proposes rules to adopt a program for the qualification, listing, and...
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2011-01-27
...-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading Shares of the AdvisorShares Active Bear ETF January 19, 2011. I. Introduction On... of the security or investment in the portfolio. \\14\\ Under accounting procedures followed by the Fund...
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2012-05-09
... \\21\\ routing strategy but that execute in the Nasdaq Market Center. Accordingly, such orders will be...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... given that on April 25, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the...
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2013-06-26
... of the Proposed Rule Change The Exchange proposes to delay the implementation of its new Options... waiving the 30-day operative delay, the Commission has considered the proposed rule's impact on efficiency...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule...
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2010-12-15
... last-sale price disseminated by a network processor over a five-minute rolling period measured...-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...
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2010-08-05
...'') for any and all of the 1,250,000 outstanding 6.189% Fixed-to-Floating Rate Normal ITS issued by U.S... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62610; File No. SR-NYSEArca-2010-73] Self... Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on July 28...
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2012-07-02
... (i) ``ATP Holders,'' as that term is defined in Rule 900.2NY(5); (ii) Sponsored Participants, as that term is defined in Rule 900.2NY(77); and (iii) non-ATP Holder broker-dealers and vendors that request... change as described in Items I, II, and III below, which Items have been prepared by the self-regulatory...
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2013-03-11
...-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Adopting... paragraph (d) it contains a provision establishing how the transition period from NYSE Rule 477 will work... to announce the effective date of the new rules at least 30 days in advance in an Information...
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2011-07-28
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To... change should provide NOM Participants assistance in effectively managing their quotations. \\6\\ 15 U.S.C...,\\2\\ a proposed rule change to adopt a new risk monitor mechanism. The proposed rule change was...
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2013-08-09
...-cancelled orders. Phlx believes that this change will assist market participants in managing their orders...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Rule Governing Modification of Orders on NASDAQ OMX PSX in the Event of an Issuer...
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2012-04-11
... Commission Chairman on what she viewed as a troubling trend of reduced participation in the equity markets by... investment strategy. NASDAQ also notes that cash equities and options markets are linked, with liquidity and...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...
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2010-03-15
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets March 5, 2010. Pursuant...,\\2\\ notice is hereby given that on March 2, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or...
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2010-04-22
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center April 16, 2010. Pursuant to... is hereby given that on April 13, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the...
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2011-03-04
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Market Data to the Public at No Charge February 25, 2011. Pursuant to Section... hereby given that, on February 24, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ...
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2010-10-14
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on October 1, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange'') filed... has received approval to launch NASDAQ OMX PSX (``PSX'') \\3\\ as a new platform for trading NMS stocks...
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2010-12-16
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that on December 9, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange... market and a national market system, and, in general, to protect investors and the public interest. The...
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2010-04-13
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center April 6, 2010. Pursuant to... is hereby given that on March 30, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the...
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2010-05-26
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center May 19, 2010. Pursuant to... is hereby given that on May 14, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the...
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2010-03-08
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on February 24, 2010, The NASDAQ Stock Market LLC (``Nasdaq'') filed with the... impediments to and perfect the mechanism of a free and open market and a national market system, and, in...
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2010-12-10
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of..., notice is hereby given that on December 3, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or ``Exchange...) Pricing Obligations. For NMS stocks (as defined in Rule 600 under Regulation NMS) a Market Maker shall...
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2011-10-20
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on October 6, 2011, the NASDAQ Stock Market, LLC (``NASDAQ'' or ``Exchange'') filed... experience a significant percentage price increase or decline. Once a stock is halted pursuant to the rule, a...
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2010-06-15
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center June 9, 2010. Pursuant to... is hereby given that on June 1, 2010, The NASDAQ Stock Market LLC (``NASDAQ'') filed with the...
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2011-06-20
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Order Spread Protection Feature June 14, 2011. Pursuant to Section... hereby given that on June 8, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed...
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2011-06-14
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that, on May 25, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ... markets in a large number of stocks and that contribute to price discovery by posting attributable quotes...
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2011-08-15
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to NASDAQ Options Market Rules August 9, 2011. Pursuant to... is hereby given that on August 2, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ...
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2012-08-15
... entering new orders at inferior prices. This occurs because the current process directs the order to NASDAQ...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Amend Rule... June 14, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange''), filed with the Securities and...
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2011-01-14
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission.... Introduction On June 18, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or the ``Exchange'') filed with the... change. The Commission may extend the period for issuing an order approving or disapproving the proposed...
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2011-12-09
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Transaction Execution Fee and Credit Schedule in Rule 7018 December... 19b-4 thereunder,\\2\\ notice is hereby given that on November 30, 2011, The NASDAQ Stock Market LLC...
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2010-10-14
... availability of the credit to only DLPs providing displayed liquidity through the Nasdaq Market Center. A... market in ETFs and ILSs. As currently written, however, Rule 7018(i) provides a credit for any type of...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...
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2013-05-17
... actively in the NASDAQ Market Center justifiably earn the higher credit of $0.0005 per share executed. This...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Pilot Restrictions From NASDAQ's Qualified Market Maker and NBBO Setter...
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2010-05-06
...-Point Passive Liquidity Order (``MPL Order''). The text of the proposed rule change is available on the...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Mid- Point Passive Liquidity Order April 29, 2010. Pursuant to Section 19(b)(1) \\1...
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2013-10-22
... Fund of First Trust Exchange-Traded Fund VII October 9, 2013. I. Introduction On August 16, 2013, The... for the provision of custody, transfer agency, and accounting agent services with the same or with...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change...
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2011-04-14
...-Regulatory Organizations; NASDAQ Stock Market, LLC; Order Approving Proposed Rule Change To Amend The NASDAQ OMX Group, Inc. By- Laws April 8, 2011. I. Introduction On February 8, 2011, The NASDAQ Stock Market... vote cast either ``for'' or ``against'' that director's election. In its filing, NASDAQ noted that...
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2011-12-02
... rule change by December 31, 2011, Phlx will submit a further proposed rule change to reflect such delay...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of a Recently Effective Modification to the Operation of the Minimum...
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2011-04-08
... each consolidated last-sale price disseminated by a network processor over a five minute rolling period...-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...
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2013-06-26
... subtracting an LRP value to a security's last sale price. The Exchange sets and disseminates a specific LRP... Exchange is increasing the highest price per share at which automatic execution is available, the Exchange...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of...
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2012-06-13
... option fails to achieve greater than 200 Average National Daily Customer Contracts. For these reasons...-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... (``Commission'') the proposed rule change as described in Items I, II, and III below, which Items have been...
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2011-08-24
... communications relating to the proposed rule change between the Commission and any person, other than those that...-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... Ahead of Customer Orders With Certain Exceptions (Commonly Known as the Manning Rule) August 18, 2011...
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2011-12-05
...-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change The Exchange... executions, executions by symbol, add versus remove, buy versus sell, display versus non-display, number of... QView service is similar to the services offered by the BATS exchange through its online member portal...
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2010-04-01
... filing with respect to proposed rule changes by self-regulatory organizations under Section 19(b)(7)(A... proposed rule changes by self-regulatory organizations under Section 19(b)(7)(A) of the Securities Exchange Act of 1934. This form shall be used by self-regulatory organizations, as defined in section 3(a)(25...
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2013-02-14
... PHLX. BX, NASDAQ, PHLX and NES are affiliates. Accordingly, the affiliate relationship between PHLX and... conflicts of interest between an exchange's self-regulatory obligations and its commercial interests.\\7\\ \\7...). Recognizing that the Commission has previously expressed concern regarding the potential for conflicts of...
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2011-09-09
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of...,\\2\\ notice is hereby given that, on August 31, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or... perfect the mechanism of a free and open market and a national market system, and, in general to protect...
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2012-01-30
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... hereby given that on January 11, 2012, The NASDAQ Stock Market LLC (``Nasdaq'') filed with the Securities... impediments to and perfect the mechanism of a free and open market and a national market system, and, in...
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2010-12-10
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... is hereby given that on November 24, 2010, The NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange..., assesses fees for its real time market data. In general, a customer that receives a data feed directly from...
-
2010-07-26
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... given that on June 30, 2010, The NASDAQ Stock Market LLC (``Nasdaq'' or the ``Exchange'') filed with the... mechanism of a free and open market and a national market system, and, in general, to protect investors and...
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2012-08-08
... proposed rule change to make certain amendments that, in part, clarified the operation of the new Market... equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market...-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change, as Modified by...
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2010-09-24
... relevant part, old Rules 342.30(d) and (e) and Rule Interpretation 311(b)(5); Rule 3310 (Anti-Money...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of... to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for...
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2012-03-22
... Liquidity in Section I of the Exchange's Fee Schedule. The text of the proposed rule change is available on...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Certain Select Symbols From the Rebates and Fees for Adding and Removing Liquidity in...
-
2012-06-13
...-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Amending NYSE Rule 107B To Add a Class of Supplemental Liquidity Providers That Are Registered as Market... proposed rule change to amend NYSE Rule 107B to add a class of Supplemental Liquidity Providers (``SLP...
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2012-06-18
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Participant Categories, Rebates and Fees for Adding and Removing Liquidity in... Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 \\2\\ thereunder, notice is hereby given that, on May 31...
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2011-07-07
...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Exchange Act of 1934, as amended (the ``Act''). Upon effectiveness of a plan filed pursuant to Rule 17d-2...(a) through 9.25, which concern advertising and sales literature, would be deleted and the text of...
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2013-03-20
... the locking or crossing market center. LIST is a routing strategy that is used by firms that wish for...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a... March 1, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and...
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2013-08-14
... market center. LIST is a routing strategy that is used by firms that wish for their orders to participate...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a... hereby given that on August 5, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with...
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2012-06-12
... Rule Change The Exchange proposes a rule change to delay the implementation date for its Excess Order...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for its Excess Order Fee June 6, 2012. Pursuant to Section 19(b...
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2012-08-07
... Proposed Rule Change The Exchange proposes a rule change to delay the implementation date for its rule...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of Non-Display of Primary Pegged Orders With an Offset Amount August 1...
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2010-08-10
... Gap Inc/The 331 ESI ITT Educational Services Inc. 280 TSL Trina Solar Ltd......... 332 NKE NIKE Inc...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... hereby given that on July 20, 2010, NYSE Arca, Inc. (``NYSE Arca'' or the ``Exchange'') filed with the...
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2012-11-16
... ``Benchmark Orders'' Under NASDAQ Rule 4751(f) November 9, 2012. On May 1, 2012, The NASDAQ Stock Market LLC...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission... proposed rule change to establish various ``Benchmark Orders'' under NASDAQ Rule 4751(f). The proposed rule...
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2011-08-08
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend Fees Assessed for Use of NASDAQ Pre-Trade Risk Management August 3, 2011. Pursuant...\\ notice is hereby given that, on July 25, 2011, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ...
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2013-05-08
...\\ Accordingly, the affiliate relationship between Phlx and NOS, its member, raises the issue of an exchange's... unfair competitive advantage and potential conflicts of interest between an exchange's self-regulatory... potential for conflicts of interest in instances where a member firm is affiliated with an exchange of which...
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2013-05-21
...\\ Accordingly, the affiliate relationship between BX and NOS, its member, raises the issue of an exchange's... unfair competitive advantage and potential conflicts of interest between an exchange's self-regulatory... potential for conflicts of interest in instances where a member firm is affiliated with an exchange of which...
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2012-04-25
... Traded TBA April 18, 2012. I. Introduction On March 1, 2012, the Financial Industry Regulatory Authority... (``MBS'') traded ``to be announced'' or ``TBA.'' The proposed rule change was published for comment in... TBA (``MBS TBA'') are a specific type of Asset-Backed Security.\\6\\ FINRA has proposed to amend its...
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2012-06-29
... marketable non-displayed interest, the Market Maker would be required to re-enter a quotation for purposes of...-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Adding New... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to add new...
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2013-06-19
... market quality by allowing it to set or join the NBBO, the NBBO Setter Incentive credit would be paid...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a... Credits June 13, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1...
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2013-08-19
...-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... for a 40 Gigabit Liquidity Center Network Connection August 13, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is...
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2012-01-09
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Rebates and Fees for Adding and Removing Liquidity in Select Symbols January 3, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''), \\1\\ and Rule 19b-4...
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2013-08-19
...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Provide for a 40 Gigabit Liquidity Center Network Connection August 13, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is...
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2012-05-17
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols May 11, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice...
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2012-02-01
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Rebates and Fees for Adding and Removing Liquidity in Select Symbols January 26, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\, and Rule 19b-4...
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2010-01-11
...)(iv). Finally, because DMMs no longer act as agent for orders on the Display Book under the rules of... the Policy would not be in violation the Order Display rule \\8\\ and/or the Firm Quote rule \\9\\ under...-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Rescinding...
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2010-01-11
...(a)(iv). Finally, because DMMs no longer act as agent for orders on the Display Book under the rules... fails to follow the Policy would not be in violation the Order Display rule \\8\\ and/or the Firm Quote...-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Rescinding NYSE Information...
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2010-01-19
... market activity altogether. In today's evolving regulatory climate, the Exchange believes that the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61326; File No. SR-Phlx-2009-113] Self... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on...
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2012-05-24
...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Liquidity in Penny Pilot Issues May 18, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on May 8, 2012, NYSE Arca...
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Ehlers, Shawna L.; Patten, Christi A.; Gastineau, Dennis A.
2015-01-01
Background Self-regulatory fatigue may play an important role in a complex medical illness. Purpose Examine associations between self-regulatory fatigue, quality of life, and health behaviors in patients pre- (N=213) and 1-year post-hematopoietic stem cell transplantation (HSCT; N=140). Associations between self-regulatory fatigue and coping strategies pre-HSCT were also examined. Method Pre- and 1-year post-HSCT data collection. Hierarchical linear regression modeling. Results Higher self-regulatory fatigue pre-HSCT associated with lower overall, physical, social, emotional, and functional quality of life pre- (p’sself-regulatory fatigue pre-HSCT relating to decreased quality of life and health behaviors, and predicting changes in these variables 1-year post-HSCT. PMID:24802991
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2013-08-21
... limitation and voting limitation, such person must deliver notice of such person's intention to own or vote... books and records of any of the U.S. Regulated Subsidiaries; and (2) the self-regulatory function of the... information) contained in the books and records of the European Market Subsidiaries, and not use such...
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2012-04-09
..., specifically SPDR S&P 500 (SPY), Apple, Inc. (AAPL), SPDR Gold Trust (GLD), Google Inc. (GOOG), and Amazon.com...), and Amazon.com Inc. (AMZN) for all expirations applicable to 100 share options in each class. The... available at the Exchange, www.nyse.com , and the Commission's Public Reference Room. II. Self-Regulatory...
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International Nuclear Information System (INIS)
Fang Zhilai
2011-01-01
The in situ self-organization of three-dimensional n-GaN islands of distinct sidewall faceting was realized by initial low V/III ratio growth under high reactor pressure followed by variations of the V/III ratio and reactor pressure. The naturally formed faceted islands with top and sidewall facets of various specific polar angles may serve as an ideal template for self-regulated growth of the InGaN/GaN multiple quantum wells (MQWs), i.e. the growth behavior is specific polar angle dependent. Further, the growth behavior and luminescence properties of the InGaN/GaN MQWs on various facets of different specific polar angles are directly compared and discussed. Tetrachromatic white emissions (blue, cyan, green, and red) from single-chip phosphor-free InGaN/GaN MQWs are realized by color tuning through island shaping, shape variations, and self-regulated growth of the InGaN/GaN MQWs.
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2013-10-22
... million, shares of liquidity during the month, which is a higher rate than the base rate of $0.0007 per... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70655; File No. SR-BX-2013-054] Self-Regulatory... Exchange Rule 7018(a) With Respect to Transactions in Securities Priced at $1 per Share or Greater October...
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2012-04-12
... provide information regarding, for example, volume metrics, number of MQP Market Makers in target...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish the Market Quality Program April 6, 2012. Pursuant to...
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SELF-REGULATORY ABILITIES IN PROFESSIONAL ACTIVITY
Directory of Open Access Journals (Sweden)
G V Ozhiganova
2016-12-01
Full Text Available The self-regulation is considered by the author as a general ability of the person. The levels of self-regulation relating to any professional activity, and corresponding to these levels self-regulatory capacities are distinguished: 1 psychophysiological - the ability for self-regulation of emotional and psycho- physiological states; 2 socio-psychological - the ability for self-regulation in the process of social interaction; 3 psychological (the ability to regulate activities; the capacity for personal self-control;spiritual - the highest capacity for self-regulation due to the higher values and meanings of existence. Self-regulation at the highest spiritual level is considered in this research in connection with the actualization of higher self-regulatory capacities, leading to self-realization of the person including professional activity. Processes, levels, components of self-regulation, associated with different conditions of professional activities (for example, in extreme situations, as well as with different types of professions (teachers, sales managers, etc. are described. A particular attention is given to self- regulation in the teaching activities: levels, techniques of teachers’ self-regulatory skills are presented; the importance of teachers’ personal self-regulation is emphasized, because it determines self-development, self-improvement and self-fulfillment in their chosen profession, and is associated with the manifestation of higher self-regulatory capacities. It is noted that in the process of professional activities different levels and types of self-regulation are demanded. The self-regulation in professional activities is carried out due to various self-regulatory capabilities - from simple to complex, including the highest.
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10 CFR 4.510 - Self-evaluation.
2010-01-01
... 10 Energy 1 2010-01-01 2010-01-01 false Self-evaluation. 4.510 Section 4.510 Energy NUCLEAR... Programs or Activities Conducted by the U.S. Nuclear Regulatory Commission § 4.510 Self-evaluation. (a) The... representing handicapped persons, to participate in the self-evaluation process by submitting comments (both...
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2012-07-02
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Establish ``Benchmark Orders'' Under NASDAQ Rule 4751(f) June 26, 2012. On May 1, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the...
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2013-03-18
...-regulatory organization has prepared summaries, set forth in Sections A, B, and C below, of the most... Plan's goal to address extraordinary market volatility. Accordingly, when the underlying security is in... theory, the liquidity provided by requiring Market Makers to continue to quote during a Limit or Straddle...
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2011-06-13
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Risk Monitor Mechanism June 7, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of... NASDAQ Stock Market LLC (``NASDAQ'') filed with the Securities and Exchange Commission (``Commission...
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2010-04-01
... filing with respect to proposed rule changes by all self-regulatory organizations. 249.819 Section 249..., SECURITIES EXCHANGE ACT OF 1934 Forms for Self-Regulatory Organization Rule Changes and Forms for....819 Form 19b-4, for electronic filing with respect to proposed rule changes by all self-regulatory...
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2011-08-03
... reduce the credit risk to the parties involved in the transaction. Failure to cancel or offset the stock... Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Amend Article... Cancellation of the Stock Leg of Stock- Option Transactions Done on the Exchange July 28, 2011. Pursuant to...
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Segerstrom, Suzanne C; Geiger, Paul J; Combs, Hannah L; Boggero, Ian A
2016-09-01
Socioemotional selectivity theory predicts that when perceived time in life is limited, people will prefer emotionally close social partners over less emotionally rewarding partners. Regulating social choices with regard to time perspective can make the best use of time with regard to well-being. However, doing so may depend on the self-regulatory capacity of the individual. Two studies, 1 with younger adults (N = 101) and 1 with younger (N = 42) and older (N = 39) adults, experimentally tested the effects of time perspective and self-regulatory fatigue on preferences for emotionally close partners and knowledgeable partners. In both studies and across younger and older adults, when self-regulatory fatigue was low, the perception of limited time resulted in a greater preference for close social partners relative to knowledgeable social partners. However, this shift was eliminated by self-regulatory fatigue. In Study 2, when fatigued, younger adults preferred close social partners to knowledgeable partners across time perspectives; older adults preferred close and knowledgeable partners more equally across time perspectives. These findings have implications for social decision-making and satisfaction among people who experience chronic self-regulatory fatigue. They also contradict previous suggestions that only younger adults are susceptible to self-regulatory fatigue. (PsycINFO Database Record (c) 2016 APA, all rights reserved).
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2013-12-12
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the...\\ notice is hereby given that on November 27, 2013, The NASDAQ Stock Market LLC (``Nasdaq'' or ``Exchange... to vote generally in the election of directors (the ``Voting Stock''), voting together as a single...
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2012-09-11
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Withdrawal of Proposed Rule Change To Modify Exchange Rule 3307 To Institute a Five Millisecond Delay in the Execution Time of Marketable Orders on... millisecond delay in the execution time of marketable orders on NASDAQ OMX PSX. Notice of the proposed rule...
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Burkholderia phytofirmans PsJN reduces damages to freezing temperature in Arabidopsis thaliana
Directory of Open Access Journals (Sweden)
Fan eSU
2015-10-01
Full Text Available Several plant growth-promoting rhizobacteria (PGPR are known to improve plant tolerance to multiple stresses, including low temperatures. However, mechanisms underlying this protection are still poorly understood. The aim of this study was to evaluate the role of the endophytic PGPR, Burkholderia phytofirmans strain PsJN (Bp PsJN, on Arabidopsis thaliana cold tolerance using photosynthesis parameters as physiological markers.Under standard conditions, our results indicated that Bp PsJN inoculation led to growth promotion of Arabidopsis plants without significant modification on photosynthesis parameters and chloroplast organization. However, bacterial colonization induced a cell wall strengthening in the mesophyllImpact of inoculation modes (either on seeds or by soil irrigation and their effects overnight at 0, -1 or -3°C, were investigated by following photosystem II (PSII activity and gas exchanges. Following low temperatures stress, a decrease of photosynthesis parameters was observed. In addition, during three consecutive nights or days at -1°C, PSII activity was monitored. Pigment contents, RuBisCO protein abundance, expression of several genes including RbcS, RbcL, CBF1, CBF2, CBF3, ICE1, COR15a, and COR78 were evaluated at the end of exposure. To assess the impact of the bacteria on cell ultrastructure under low temperatures, microscopic observations were achieved. Results indicated that freezing treatment induced significant changes in PSII activity as early as the first cold day, whereas the same impact on PSII activity was observed only during the third cold night. The significant effects conferred by PsJN were differential accumulation of pigments, and reduced expression of RbcL and COR78. Microscopical observations showed an alteration/disorganization in A. thaliana leaf mesophyll cells independently of the freezing treatments. The presence of bacteria during the three successive nights or days did not significantly improved A
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Rizzo, Patrizia; Steinhausen, Hans-Christoph; Drechsler, Renate
2010-01-01
Insufficient self-regulation and reduced awareness of self-regulatory skills have been discussed as possible explanations for academic difficulties. However, instruments for assessing metacognitive knowledge of self-regulation in young school children have been lacking so far and it has been questioned whether younger school children are able to…
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2010-03-04
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the... February 24, 2010, The NASDAQ Stock Market LLC (the ``Exchange'' or ``NASDAQ'') filed with the Securities... of the votes at any election of directors at which a quorum is present is duly elected to the Board...
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Quemaduras por frío: Revisión de 10 Años
EULUFÍ M, ALEX; PIÑEROS B, JOSÉ LUIS; CALDERÓN O, WILFREDO; CUADRA C, ÁLVARO; DANILLA E, STEFAN; LÉNIZ M, PATRICIO; ROCO M, HÉCTOR; ROA G, RICARDO; EULUFÍ M, CHRISTIAN
2006-01-01
La injuria por frío ha sido objeto de estudio desde la década de 1960, Este trabajo entrega los resultados de una revisión retrospectiva de un grupo de 10 pacientes ingresados al Hospital del Trabajador de Santiago (HTS) en un periodo de 10 años producto de accidentes laborales de distintas etiologías. Cabe señalar que solo encontramos reportes aislados de casos en la literatura revisada. Se revisaron retrospectivamente las fichas clínicas de 10 pacientes en el periodo 1993-2003. Las edades f...
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2010-10-01
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on September 14, 2010, The NASDAQ Stock Market... voting on the election of a member of the board of directors of an issuer (except for a vote with respect...
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2011-02-11
... rules (e.g., proprietary traders). See Notice, p. 16; 75 FR 80091, at 80095. See also Securities... register with ISE every associated person acting in the capacity of a sole proprietor, officer, partner...\\ Proposed Supplementary Material to Rule 313.07 exempts members that are sole proprietors from this...
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Self-organization of polymerizable bolaamphiphiles bearing diacetylene mesogenic group.
Yin, Shouchun; Song, Bo; Liu, Guanqing; Wang, Zhiqiang; Zhang, Xi
2007-05-22
We report herein the synthesis of a series of polymerizable bolaamphiphiles containing a diacetylene group and mesogenic unit and their self-organization behaviors in bulk and at interface. The polymerizable bolaamphiphiles are noted as DPDA-n, where n refers to the spacer length of alkyl chain. DPDA-10 with suitable spacer length can self-organize into stable cylindrical micellar nanostructures, and these nanostructures have preferred orientation regionally when adsorbed at the mica/water interface. It is confirmed that the micellar nanostructure of DPDA-10 can be polymerized both in the bulk solution and in the film by UV irradiation. The emission property of DPDA-10 after UV irradiation has been significantly enhanced in comparison to that before polymerization, which may be due to the extension of the conjugated system arising from the transformation of the diacetylene group into polydiacetylene upon polymerization. In addition, the self-organization of DPDA-n is dependent on the spacer length. DPDA-7 with a short spacer length forms an irregular flat sheet structure with many defects; DPDA-15 with a long spacer length forms rodlike micellar structures. Thus, this work may provide a new approach for designing and fabricating organic functional nanostructured materials.
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2013-08-16
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change to Assume... NASDAQ Stock Market LLC (``NASDAQ'' or the ``Exchange'') filed with the Securities and Exchange...: Manipulation patterns that monitor solely NASDAQ activity, including patterns that monitor the Exchange's...
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McAuley, Edward; Mullen, Sean P; Szabo, Amanda N; White, Siobhan M; Wójcicki, Thomas R; Mailey, Emily L; Gothe, Neha P; Olson, Erin A; Voss, Michelle; Erickson, Kirk; Prakash, Ruchika; Kramer, Arthur F
2011-09-01
Self-efficacy and the use of self-regulatory strategies are consistently associated with physical activity behavior. Similarly, behavioral inhibition and cognitive resource allocation-indices of executive control function-have also been associated with this health behavior. The purpose of this study was to examine the hypothesis that self-efficacy mediates the relationship between self-regulatory processes, such as executive function, and sustained exercise behavior. Older adults (N=177, mean age=66.44 years) completed measures of executive function, self-reported use of self-regulatory strategies, and self-efficacy prior to and during the first month of a 12-month exercise intervention. Percentage of exercise classes attended over the following 11 months was used to represent adherence. Data were collected from 2007 to 2010 and analyzed in 2010-2011. Structural equation models were tested examining the effect of executive function and strategy use on adherence via efficacy. As hypothesized, results showed significant direct effects of two elements of executive function and of strategy use on self-efficacy and of efficacy on adherence. In addition, there were significant indirect effects of strategy use and executive function on adherence via self-efficacy. Higher levels of executive function and use of self-regulatory strategies at the start of an exercise program enhance beliefs in exercise capabilities, which in turn leads to greater adherence. Copyright © 2011 American Journal of Preventive Medicine. Published by Elsevier Inc. All rights reserved.
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2010-03-22
... to handle the additional traffic associated with the listing and trading of $1 strikes where the...-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change To Establish Strike... 1012 (Series of Options Open for Trading) to establish strike-price intervals for options on Index...
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2012-04-24
.... Further, to address concerns about the potential manipulation of lower priced stocks to meet the initial...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting..., 2012. I. Introduction On January 3, 2012, The NASDAQ Stock Market LLC (``Exchange'' or ``Nasdaq...
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Tseng, Min-Chen; Chen, Chia-Cheng
2017-06-01
This study investigated the self-regulatory behaviors of arts students, namely memory strategy, goal-setting, self-evaluation, seeking assistance, environmental structuring, learning responsibility, and planning and organizing. We also explored approaches to learning, including deep approach (DA) and surface approach (SA), in a comparison between students' professional training and English learning. The participants consisted of 344 arts majors. The Academic Self-Regulation Questionnaire and the Revised Learning Process Questionnaire were adopted to examine students' self-regulatory behaviors and their approaches to learning. The results show that a positive and significant correlation was found in students' self-regulatory behaviors between professional training and English learning. The results indicated that increases in using self-regulatory behaviors in professional training were associated with increases in applying self-regulatory behaviors in learning English. Seeking assistance, self-evaluation, and planning and organizing were significant predictors for learning English. In addition, arts students used the deep approach more often than the surface approach in both their professional training and English learning. A positive correlation was found in DA, whereas a negative correlation was shown in SA between students' self-regulatory behaviors and their approaches to learning. Students with high self-regulation adopted a deep approach, and they applied the surface approach less in professional training and English learning. In addition, a SEM model confirmed that DA had a positive influence; however, SA had a negative influence on self-regulatory behaviors.
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48 CFR 28.308 - Self-insurance.
2010-10-01
... REQUIREMENTS BONDS AND INSURANCE Insurance 28.308 Self-insurance. (a) When it is anticipated that 50 percent or... risks, limits of coverage, assignments of safety and loss control, and legal service responsibilities... projected average loss; and (10) A disclosure of all captive insurance company and re-insurance agreements...
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2012-06-27
... copper market is the third largest metals market in terms of physical volume. Much of the copper traded...-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of iShares Copper Trust Pursuant to NYSE Arca Equities Rule 8.201 June 22, 2012. Pursuant to Section...
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2010-10-20
...-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Y-Exchange Rules To Conform to the Current Rules of BATS Exchange October 13, 2010. Pursuant to Section 19(b... hereby given that on October 4, 2010, BATS Y-Exchange, Inc. (the ``Exchange'' or ``BYX'') filed with the...
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2010-08-25
... recent outsourcing of surveillance and other regulatory functions to FINRA.\\8\\ Specifically, to have... with NASD IM-1013-1 or NASD IM-1013-2, including limiting its business operations to ``permitted floor... NASD IM-1013-2 establish a waive-in membership application process for certain firms to become FINRA...
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2011-09-16
... MILLENNIUM CHALLENGE CORPORATION [MCC FR 11-08] Sunshine Act Meeting; Notice of the September 28, 2011, Millennium Challenge Corporation Board of Directors Meeting AGENCY: Millennium Challenge Corporation. TIME AND DATE: 10 a.m. to 12 p.m., Wednesday, September 28, 2011. PLACE: Department of State...
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Investigation of self-organized quantum dots in InGaN alloys for photovoltaic devices
Energy Technology Data Exchange (ETDEWEB)
Yuan, Jinshe; Wang, Mingyue [Chongqing Normal Univ. (China). Dept. of Physics
2008-07-01
The self-organized quantum dots in InGaN alloys grown by metal organic chemical vapor deposition for photovoltaic devices were investigated using photoluminescence spectra, x-ray diffraction and atomic force microscopy measurements. The AFM view of the alloy shows the island-like microstructure appearing to be composed of granular-crystalline in nanometer scale. By analysis of the PL, it has been found that the narrow 493nm emission peak with 490nm and 487nm shoulder peaks was originated from InGaN self-organized quantum dots, which provide a candidate for realizing high efficiencies photovoltaic devices. (orig.)
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2012-05-02
... Distributors more than Internal Distributors because of higher administrative costs associated with monitoring... business to its competitors.\\14\\ \\13\\ See Securities Exchange Act Release No. 51808 (June 9, 2006), 70 FR...
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2010-04-05
... in the U.S. market (sometimes referred to as ``dematerialization''),\\5\\ DTC initiated a program of... information on dematerialization, see Securities Exchange Act Release No. 49405 (March 11, 2004), 69 FR 12922...
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Reduced thermal quenching in indium-rich self-organized InGaN/GaN quantum dots
Elafandy, Rami T.; Bhattacharya, Pallab K.; Cha, Dong Kyu; Ng, Tien Khee; Ooi, Boon S.; Zhang, Meng
2012-01-01
Differences in optical and structural properties of indium rich (27), indium gallium nitride (InGaN) self-organized quantum dots (QDs), with red wavelength emission, and the two dimensional underlying wetting layer (WL) are investigated. Temperature
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2012-05-31
... reference to the implied volatility of the 1-year option on the 10-year USD LIBOR swap rate and the historical volatility of the 10-year USD LIBOR swap rate. It is expected that GSD will provide its Members... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67059; File No. SR-FICC-2012-04] Self...
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2012-10-09
..., regulatory and other risks of this business activity. These controls include financial risk management... entry of erroneous orders. In addition, the Market Access Rule requires certain regulatory risk... authorized by the broker-dealer. These regulatory risk management controls also include measures designed to...
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2012-07-09
...-year USD LIBOR swap rate and the historical volatility of the 10-year USD LIBOR swap rate. It is... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67336; File No. SR-FICC-2012-04] Self... the Ability of the Government Securities Division To Use Implied Volatility Indicators as Part of the...
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76 FR 59066 - Notice of Regulatory Review Plan
2011-09-23
... [No. 2011-N-10] Notice of Regulatory Review Plan AGENCY: Federal Housing Finance Agency. ACTION... of and requesting comments on the FHFA interim regulatory review plan for review of existing... comments on all aspects of the interim regulatory review plan, including legal and policy considerations...
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MYCN-driven regulatory mechanisms controlling LIN28B in neuroblastoma
Beckers, Anneleen; Van Peer, Gert; Carter, Daniel R.; Gartlgruber, Moritz; Herrmann, Carl; Agarwal, Saurabh; Helsmoortel, Hetty H.; Althoff, Kristina; Molenaar, Jan J.; Cheung, Belamy B.; Schulte, Johannes H.; Benoit, Yves; Shohet, Jason M.; Westermann, Frank; Marshall, Glenn M.; Vandesompele, Jo; De Preter, Katleen; Speleman, Frank
2016-01-01
LIN28B has been identified as an oncogene in various tumor entities, including neuroblastoma, a childhood cancer that originates from neural crest-derived cells, and is characterized by amplification of the MYCN oncogene. Recently, elevated LIN28B expression levels were shown to contribute to neuroblastoma tumorigenesis via let-7 dependent de-repression of MYCN. However, additional insight in the regulation of LIN28B in neuroblastoma is lacking. Therefore, we have performed a comprehensive analysis of the regulation of LIN28B in neuroblastoma, with a specific focus on the contribution of miRNAs. We show that MYCN regulates LIN28B expression in neuroblastoma tumors via two distinct parallel mechanisms. First, through an unbiased LIN28B-3′UTR reporter screen, we found that miR-26a-5p and miR-26b-5p regulate LIN28B expression. Next, we demonstrated that MYCN indirectly affects the expression of miR-26a-5p, and hence regulates LIN28B, therefor establishing a MYCN-miR-26a-5p-LIN28B regulatory axis. Second, we provide evidence that MYCN regulates LIN28B expression via interaction with the LIN28B promotor, establishing a direct MYCN-LIN28B regulatory axis. We believe that these findings mark LIN28B as an important effector of the MYCN oncogenic phenotype and underlines the importance of MYCN-regulated miRNAs in establishing the MYCN-driven oncogenic process. PMID:26123663
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N-body simulations for f(R) gravity using a self-adaptive particle-mesh code
International Nuclear Information System (INIS)
Zhao Gongbo; Koyama, Kazuya; Li Baojiu
2011-01-01
We perform high-resolution N-body simulations for f(R) gravity based on a self-adaptive particle-mesh code MLAPM. The chameleon mechanism that recovers general relativity on small scales is fully taken into account by self-consistently solving the nonlinear equation for the scalar field. We independently confirm the previous simulation results, including the matter power spectrum, halo mass function, and density profiles, obtained by Oyaizu et al.[Phys. Rev. D 78, 123524 (2008)] and Schmidt et al.[Phys. Rev. D 79, 083518 (2009)], and extend the resolution up to k∼20 h/Mpc for the measurement of the matter power spectrum. Based on our simulation results, we discuss how the chameleon mechanism affects the clustering of dark matter and halos on full nonlinear scales.
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76 FR 24538 - Draft Regulatory Guide: Issuance, Availability
2011-05-02
... with the motor starter for electric motors on motor-operated valves. This method would ensure that the..., Division of Engineering, Office of Nuclear Regulatory Research. [FR Doc. 2011-10561 Filed 4-29-11; 8:45 am...
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Self-discrepancy and regulatory fit in avatar-based exergames.
Jin, Seung-A Annie
2012-12-01
Drawing from Higgins's self-discrepancy theory and regulatory focus theory, this study examined the use of activated selves and regulatory foci in health games. Utilizing the Wii's avatar-creating and exergaming features, a 2 (activated self: actual self versus ideal self) x 2 (regulatory focus: promotion versus prevention) x 2 (efficacy appeals: self-efficacy versus response-efficacy) between-subjects experiment tested the interactions of activated selves, regulatory foci, and efficacy appeals on low-calorie dieting intentions after health game playing. Results from an experiment with 156 participants demonstrated that a fit between regulatory focus and efficacy appeals induced greater dieting intentions when the actual self was activated while the opposite effect occurred when the ideal self was activated. Theoretical contributions to basic and applied social psychology as well as managerial implications for consumer behavior research are considered.
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2012-09-10
... option, derivative, security-based swap, or other financial instrument overlying a security that is the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67774; File No. SR-FINRA-2012-025] Self... National Association of Securities Dealers, Inc. (``NASD'')) filed with the Securities and Exchange...
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2011-01-20
... a ``member organization'' shall mean a corporation, partnership (general or limited), limited liability partnership, limited liability company, business trust or similar organization, transacting... or partnership that has the status of a member organization. \\7\\ See NASDAQ OMX PHLX Rule 1(n) which...
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2011-03-17
... and other derivative securities. As of December 31, 2010, the following were characteristics of the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64075; File No. SR-Phlx-2011-28] Self... and Traded March 11, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act...
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2010-10-06
...-ROM, DVD, portable hard drive, laptop computer, disc, diskette, or any other portable device for... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63016; File No. SR-FINRA-2010-021] Self... to Amend FINRA Rule 8210 to Require Information Provided via Portable Media Device be Encrypted...
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Heart rate variability reflects self-regulatory strength, effort, and fatigue.
Segerstrom, Suzanne C; Nes, Lise Solberg
2007-03-01
Experimental research reliably demonstrates that self-regulatory deficits are a consequence of prior self-regulatory effort. However, in naturalistic settings, although people know that they are sometimes vulnerable to saying, eating, or doing the wrong thing, they cannot accurately gauge their capacity to self-regulate at any given time. Because self-regulation and autonomic regulation colocalize in the brain, an autonomic measure, heart rate variability (HRV), could provide an index of self-regulatory strength and activity. During an experimental manipulation of self-regulation (eating carrots or cookies), HRV was elevated during high self-regulatory effort (eat carrots, resist cookies) compared with low self-regulatory effort (eat cookies, resist carrots). The experimental manipulation and higher HRV at baseline independently predicted persistence at a subsequent anagram task. HRV appears to index self-regulatory strength and effort, making it possible to study these phenomena in the field as well as the lab.
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Cary, Miranda Ashley; Gyurcsik, Nancy C; Brawley, Lawrence R
2015-01-01
Exercising for ≥ 150 min/week is a recommended strategy for self-managing arthritis. However, exercise nonadherence is a problem. Arthritis pain anxiety may interfere with regular exercise. According to the fear-avoidance model, individuals may confront their pain anxiety by using adaptive self-regulatory responses (eg, changing exercise type or duration). Furthermore, the anxiety-self-regulatory responses relationship may vary as a function of individuals' pain acceptance levels. To investigate pain acceptance as a moderator of the pain anxiety-adaptive self-regulatory responses relationship. The secondary objective was to examine whether groups of patients who differed in meeting exercise recommendations also differed in pain-related and self-regulatory responses. Adults (mean [± SD] age 49.75 ± 13.88 years) with medically diagnosed arthritis completed online measures of arthritis pain-related variables and self-regulatory responses at baseline, and exercise participation two weeks later. Individuals meeting (n=87) and not meeting (n=49) exercise recommendations were identified. Hierarchical multiple regression analysis revealed that pain acceptance moderated the anxiety-adaptive self-regulatory responses relationship. When pain anxiety was lower, greater pain acceptance was associated with less frequent use of adaptive responses. When anxiety was higher, adaptive responses were used regardless of pain acceptance level. MANOVA findings revealed that participants meeting the recommended exercise dose reported significantly lower pain and pain anxiety, and greater pain acceptance (Pself-regulatory capacity to cope with additional challenges to exercise adherence (eg, busy schedule).
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McKee, Heather C; Ntoumanis, Nikos
2014-12-01
We aimed to investigate whether a self-regulatory skills intervention can improve weight loss-related outcomes. Fifty-five participants (M BMI = 32.60 ± 4.86) were randomized into self-regulation training and advice groups and received two training workshops and weekly practice tasks. The self-regulation training group was trained to use six self-regulatory skills: Delayed gratification, thought control, goal setting, self-monitoring, mindfulness, and coping. The advice group received dietary and physical activity advice for weight loss. Physical, self-regulatory, and psychological measures were taken at baseline, end of intervention (week 8) and at follow-up (week 12). Using intention-to-treat analysis, weight, waist circumference, body fat and body mass index (BMI) were significantly reduced at follow-up for both groups. There were significant increases in all six self-regulatory skills and the psychological measures of self-efficacy, self-regulatory success, and physical self-worth for both groups. Results indicate that self-regulatory skills training might be as effective as dietary and physical activity advice in terms of weight loss and related outcomes.
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2011-07-14
... organization could not trade in an index-based or derivative security (e.g., a right or warrant) that is quoted... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64844; File No. SR-NYSEAmex-2011-34] Self... Premises in Certain OTC Bulletin Board and OTC Markets Securities July 8, 2011. I. Introduction On May 11...
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2010-07-13
... investment and risk management strategies and decisions to the movement of the underlying security... risk management objectives. \\8\\ See Securities Exchange Act Release Nos. 57478 (March 12, 2008), 73 FR..., and risk management purposes. Finally, the proposal also corrects an internal rule reference in...
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46 CFR 28.205 - Fireman's outfits and self-contained breathing apparatus.
2010-10-01
... 46 Shipping 1 2010-10-01 2010-10-01 false Fireman's outfits and self-contained breathing apparatus... the Boundary Lines or With More Than 16 Individuals On Board, or for Fish Tender Vessels Engaged in the Aleutian Trade § 28.205 Fireman's outfits and self-contained breathing apparatus. (a) Each vessel...
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77 FR 71609 - Self-Help Homeownership Opportunity Program (SHOP) Grant Monitoring
2012-12-03
... DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT [Docket No. FR-5603-N-89] Self-Help Homeownership Opportunity Program (SHOP) Grant Monitoring AGENCY: Office of the Chief Information Officer, HUD. ACTION... electronic submission of responses. This notice also lists the following information: Title of Proposed: Self...
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2013-01-30
... of higher administrative costs associated with monitoring External Distributors ongoing reporting, as... competitors.\\23\\ \\21\\ See Securities Exchange Act Release No. 51808 (June 9, 2006), 70 FR 37496 (June 29, 2005... alternatives. Thus, as the fees are consistent with those charged by the Exchange's competitors, EdgeBook...
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Albouza Y; d'Arripe-Longueville F; Corrion K
2017-01-01
This study examined whether athletes’ values are related to aggressiveness through self-regulatory mechanisms. Athletes (N=225) completed four questionnaires to assess their values, resistive self-regulatory efficacy, moral disengagement and aggressiveness. The results of structural equation modeling showed a good fit to the data and illustrated that: (a) The status and moral values were indirectly associated with aggressiveness through the mediating roles of resistive self-regulatory efficac...
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2012-11-15
... importance and expense of the Exchange's regulatory efforts and competitive pricing pressures and to ensure... Exchange participates in a highly competitive market in which regulatory costs are continually increasing...
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76 FR 4266 - New Mexico Regulatory Program
2011-01-25
... Requirements, Permit Eligibility, definitions of Ownership and Control, the AVS, Alternative Enforcement (65 FR 79582); and October 28, 1994, Use of the AVS in Surface Coal Mining Reclamation Permit Approval...