Sample records for act exchange functions

  1. 78 FR 20581 - Patient Protection and Affordable Care Act; Exchange Functions: Standards for Navigators and Non...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-05

    ... Protection and Affordable Care Act; Exchange Functions: Standards for Navigators and Non-Navigator Assistance..., training and certification, and meaningful access standards applicable to Navigators and non-Navigator assistance personnel in Federally- facilitated Exchanges, including State Partnership Exchanges, and to non...

  2. 45 CFR 155.705 - Functions of a SHOP.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.705 Functions of a SHOP. (a) Exchange...

  3. 45 CFR 155.705 - Functions of a SHOP.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.705 Functions of a SHOP. (a) Exchange...

  4. 45 CFR 155.260 - Privacy and security of personally identifiable information.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... AFFORDABLE CARE ACT General Functions of an Exchange § 155.260 Privacy and security of personally... information to the extent such information is necessary: (i) For the Exchange to carry out the functions described in § 155.200; (ii) For the Exchange to carry out other functions not described in paragraph (a)(1...

  5. Harnessing Private-Sector Innovation to Improve Health Insurance Exchanges.

    PubMed

    Gresenz, Carole Roan; Hoch, Emily; Eibner, Christine; Rudin, Robert S; Mattke, Soeren

    2016-05-09

    Overhauling the individual health insurance market-including through the creation of health insurance exchanges-was a key component of the Patient Protection and Affordable Care Act's multidimensional approach to addressing the long-standing problem of the uninsured in the United States. Despite succeeding in enrolling millions of Americans, the exchanges still face several challenges, including poor consumer experience, high operational and development costs, and incomplete market penetration. In light of these challenges, analysts considered a different model for the exchanges-privately facilitated exchanges-which could address these challenges and deepen the Affordable Care Act's impact. In this model, the government retains control over sovereign exchange functions but allows the private sector to assume responsibility for more-peripheral exchange functions, such as developing and sustaining exchange websites. Although private-sector entities have already undertaken exchange-related functions on a limited basis, privately facilitated exchanges could conceivably relieve the government of its responsibility for front-end website operations and consumer decision-support functions entirely. A shift to privately facilitated exchanges could improve the consumer experience, increase enrollment, and lower costs for state and federal governments. A move to such a model requires, nonetheless, managing its risks, such as reduced consumer protection, increased consumer confusion, and the possible lack of a viable revenue base for privately facilitated exchanges, especially in less populous states. On net, the benefits are large enough and the risks sufficiently manageable to seriously consider such a shift. This paper provides background information and more detail on the analysts' assessment.

  6. Harnessing Private-Sector Innovation to Improve Health Insurance Exchanges

    PubMed Central

    Gresenz, Carole Roan; Hoch, Emily; Eibner, Christine; Rudin, Robert S.; Mattke, Soeren

    2016-01-01

    Abstract Overhauling the individual health insurance market—including through the creation of health insurance exchanges—was a key component of the Patient Protection and Affordable Care Act's multidimensional approach to addressing the long-standing problem of the uninsured in the United States. Despite succeeding in enrolling millions of Americans, the exchanges still face several challenges, including poor consumer experience, high operational and development costs, and incomplete market penetration. In light of these challenges, analysts considered a different model for the exchanges—privately facilitated exchanges—which could address these challenges and deepen the Affordable Care Act's impact. In this model, the government retains control over sovereign exchange functions but allows the private sector to assume responsibility for more-peripheral exchange functions, such as developing and sustaining exchange websites. Although private-sector entities have already undertaken exchange-related functions on a limited basis, privately facilitated exchanges could conceivably relieve the government of its responsibility for front-end website operations and consumer decision-support functions entirely. A shift to privately facilitated exchanges could improve the consumer experience, increase enrollment, and lower costs for state and federal governments. A move to such a model requires, nonetheless, managing its risks, such as reduced consumer protection, increased consumer confusion, and the possible lack of a viable revenue base for privately facilitated exchanges, especially in less populous states. On net, the benefits are large enough and the risks sufficiently manageable to seriously consider such a shift. This paper provides background information and more detail on the analysts' assessment. PMID:28083414

  7. 76 FR 72467 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65779; File No. SR-Phlx-2011-152] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality November 17, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\...

  8. 76 FR 72486 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65780; File No. SR-BX-2011-076] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality November 17, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\...

  9. 45 CFR 155.260 - Privacy and security of personally identifiable information.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... AFFORDABLE CARE ACT General Functions of an Exchange § 155.260 Privacy and security of personally... information to the extent such information is necessary to carry out the functions described in § 155.200 of...: (1) Gain access to personally identifiable information submitted to an Exchange; or (2) Collect, use...

  10. Echanges, interventions et actes de langage dans la structure de la conversation (Exchanges, Turns at Talk and Speech Acts in the Structure of Conversation).

    ERIC Educational Resources Information Center

    Roulet, Eddy

    1981-01-01

    Attempts to show how the surface structure of conversation can be described by means of a few principles and simple categories, regardless of its level of complexity. Accordingly, proposes a model that emphasizes the pragmatic functions of certain connectors and markers in the context of conversation exchanges. Societe Nouvelle Didier Erudition,…

  11. 75 FR 55310 - Performance of Registration Functions by National Futures Association With Respect to Retail...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-10

    ... CFTC Reauthorization Act of 2008 (``CRA'') with regard to off-exchange retail forex transactions.\\2... forex contracts, who pool customer money for the purpose of trading off-exchange currency contracts or... retail forex typically registered as FCMs, even though they may not have engaged in exchange-traded...

  12. The Na+/Ca2+, K+ exchanger NCKX4 is required for efficient cone-mediated vision.

    PubMed

    Vinberg, Frans; Wang, Tian; De Maria, Alicia; Zhao, Haiqing; Bassnett, Steven; Chen, Jeannie; Kefalov, Vladimir J

    2017-06-26

    Calcium (Ca 2+ ) plays an important role in the function and health of neurons. In vertebrate cone photoreceptors, Ca 2+ controls photoresponse sensitivity, kinetics, and light adaptation. Despite the critical role of Ca 2+ in supporting the function and survival of cones, the mechanism for its extrusion from cone outer segments is not well understood. Here, we show that the Na + /Ca 2+ , K + exchanger NCKX4 is expressed in zebrafish, mouse, and primate cones. Functional analysis of NCKX4-deficient mouse cones revealed that this exchanger is essential for the wide operating range and high temporal resolution of cone-mediated vision. We show that NCKX4 shapes the cone photoresponse together with the cone-specific NCKX2: NCKX4 acts early to limit response amplitude, while NCKX2 acts late to further accelerate response recovery. The regulation of Ca 2+ by NCKX4 in cones is a novel mechanism that supports their ability to function as daytime photoreceptors and promotes their survival.

  13. 45 CFR 155.1040 - Transparency in coverage.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ....1040 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Certification of Qualified Health Plans § 155.1040 Transparency in coverage. (a) General...

  14. 45 CFR 155.730 - Application standards for SHOP.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 155.730 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.730 Application standards for SHOP...

  15. 45 CFR 155.405 - Single streamlined application.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 155.405 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions in the Individual Market: Enrollment in Qualified Health Plans § 155.405 Single...

  16. 45 CFR 155.710 - Eligibility standards for SHOP.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 155.710 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.710 Eligibility standards for SHOP...

  17. 45 CFR 155.430 - Termination of coverage.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions in the Individual Market: Enrollment in Qualified Health Plans § 155.430 Termination of coverage...

  18. 45 CFR 155.405 - Single streamlined application.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 155.405 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions in the Individual Market: Enrollment in Qualified Health Plans § 155.405 Single...

  19. 45 CFR 155.710 - Eligibility standards for SHOP.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 155.710 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.710 Eligibility standards for SHOP...

  20. 45 CFR 155.1000 - Certification standards for QHPs.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 155.1000 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Certification of Qualified Health Plans § 155.1000 Certification standards for QHPs. (a...

  1. 45 CFR 155.430 - Termination of coverage.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions in the Individual Market: Enrollment in Qualified Health Plans § 155.430 Termination of coverage...

  2. 45 CFR 155.715 - Eligibility determination process for SHOP.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ....715 Section 155.715 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.715 Eligibility...

  3. 45 CFR 155.1010 - Certification process for QHPs.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 155.1010 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Certification of Qualified Health Plans § 155.1010 Certification process for QHPs. (a...

  4. 45 CFR 155.715 - Eligibility determination process for SHOP.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ....715 Section 155.715 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.715 Eligibility...

  5. 45 CFR 155.725 - Enrollment periods under SHOP.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ....725 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.725 Enrollment periods under SHOP. (a) General...

  6. Small employer perspectives on the Affordable Care Act's premiums, SHOP exchanges, and self-insurance.

    PubMed

    Gabel, Jon R; Whitmore, Heidi; Pickreign, Jeremy; Satorius, Jennifer L; Stromberg, Sam

    2013-11-01

    Beginning January 1, 2014, small businesses having no more than fifty full-time-equivalent workers will be able to obtain health insurance for their employees through Small Business Health Options Program (SHOP) exchanges in every state. Although the Affordable Care Act intended the exchanges to make the purchasing of insurance more attractive and affordable to small businesses, it is not yet known how they will respond to the exchanges. Based on a telephone survey of 604 randomly selected private firms having 3-50 employees, we found that both firms that offered health coverage and those that did not rated most features of SHOP exchanges highly but were also very price sensitive. More than 92 percent of nonoffering small firms said that if they were to offer coverage, it would be "very" or "somewhat" important to them that premium costs be less than they are today. Eighty percent of offering firms use brokers who commonly perform functions of benefit managers--functions that the SHOP exchanges may assume. Twenty-six percent of firms using brokers reported discussing self-insuring with their brokers. An increase in the number of self-insured small employers could pose a threat to SHOP exchanges and other small-group insurance reforms.

  7. 45 CFR 155.400 - Enrollment of qualified individuals into QHPs.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ....400 Section 155.400 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions in the Individual Market: Enrollment in Qualified Health Plans § 155.400...

  8. 45 CFR 155.720 - Enrollment of employees into QHPs under SHOP.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ....720 Section 155.720 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.720 Enrollment of employees...

  9. 45 CFR 155.720 - Enrollment of employees into QHPs under SHOP.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ....720 Section 155.720 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.720 Enrollment of employees...

  10. 45 CFR 155.410 - Initial and annual open enrollment periods.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ....410 Section 155.410 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions in the Individual Market: Enrollment in Qualified Health Plans § 155.410...

  11. 45 CFR 155.1020 - QHP issuer rate and benefit information.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... Section 155.1020 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Certification of Qualified Health Plans § 155.1020 QHP issuer rate and benefit...

  12. 45 CFR 155.400 - Enrollment of qualified individuals into QHPs.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ....400 Section 155.400 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions in the Individual Market: Enrollment in Qualified Health Plans § 155.400...

  13. 45 CFR 155.700 - Standards for the establishment of a SHOP.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... Section 155.700 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.700 Standards for the establishment...

  14. 45 CFR 155.700 - Standards for the establishment of a SHOP.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... Section 155.700 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.700 Standards for the establishment...

  15. 45 CFR 155.410 - Initial and annual open enrollment periods.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ....410 Section 155.410 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions in the Individual Market: Enrollment in Qualified Health Plans § 155.410...

  16. The Na+/Ca2+, K+ exchanger NCKX4 is required for efficient cone-mediated vision

    PubMed Central

    Vinberg, Frans; Wang, Tian; De Maria, Alicia; Zhao, Haiqing; Bassnett, Steven; Chen, Jeannie; Kefalov, Vladimir J

    2017-01-01

    Calcium (Ca2+) plays an important role in the function and health of neurons. In vertebrate cone photoreceptors, Ca2+ controls photoresponse sensitivity, kinetics, and light adaptation. Despite the critical role of Ca2+ in supporting the function and survival of cones, the mechanism for its extrusion from cone outer segments is not well understood. Here, we show that the Na+/Ca2+, K+ exchanger NCKX4 is expressed in zebrafish, mouse, and primate cones. Functional analysis of NCKX4-deficient mouse cones revealed that this exchanger is essential for the wide operating range and high temporal resolution of cone-mediated vision. We show that NCKX4 shapes the cone photoresponse together with the cone-specific NCKX2: NCKX4 acts early to limit response amplitude, while NCKX2 acts late to further accelerate response recovery. The regulation of Ca2+ by NCKX4 in cones is a novel mechanism that supports their ability to function as daytime photoreceptors and promotes their survival. DOI: http://dx.doi.org/10.7554/eLife.24550.001 PMID:28650316

  17. 45 CFR 155.415 - Allowing issuer application assisters to assist with eligibility applications.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... with eligibility applications. 155.415 Section 155.415 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES REQUIREMENTS RELATING TO HEALTH CARE ACCESS EXCHANGE ESTABLISHMENT STANDARDS AND OTHER RELATED STANDARDS UNDER THE AFFORDABLE CARE ACT Exchange Functions in the Individual Market: Enrollment in Qualified...

  18. 78 FR 42823 - Patient Protection and Affordable Care Act; Exchange Functions: Standards for Navigators and Non...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-17

    ...This final rule addresses various requirements applicable to Navigators and non-Navigator assistance personnel in Federally- facilitated Exchanges, including State Partnership Exchanges, and to non-Navigator assistance personnel in State Exchanges that are funded through federal Exchange Establishment grants. It finalizes the requirement that Exchanges must have a certified application counselor program. It creates conflict-of-interest, training and certification, and meaningful access standards; clarifies that any licensing, certification, or other standards prescribed by a state or Exchange must not prevent application of the provisions of title I of the Affordable Care Act; adds entities with relationships to issuers of stop loss insurance to the list of entities that are ineligible to become Navigators; and clarifies that the same ineligibility criteria that apply to Navigators apply to certain non-Navigator assistance personnel. The final rule also directs that each Exchange designate organizations which will then certify their staff members and volunteers to be application counselors that assist consumers and facilitate enrollment in qualified health plans and insurance affordability programs, and provides standards for that designation.

  19. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  20. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  1. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  2. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  3. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  4. 17 CFR 240.3b-2 - Definition of “officer”.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Definition of âofficerâ. 240... Securities Exchange Act of 1934 Definitions § 240.3b-2 Definition of “officer”. The term officer means a... accounting officer, and any person routinely performing corresponding functions with respect to any...

  5. 78 FR 39493 - Patient Protection and Affordable Care Act; Exchange Functions: Eligibility for Exemptions...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-01

    ...This final rule implements certain functions of the Affordable Insurance Exchanges (``Exchanges''). These specific statutory functions include determining eligibility for and granting certificates of exemption from the individual shared responsibility payment described in section 5000A of the Internal Revenue Code. Additionally, this final rule implements the responsibilities of the Secretary of Health and Human Services, in coordination with the Secretary of the Treasury, to designate other health benefits coverage as minimum essential coverage by providing that certain coverage be designated as minimum essential coverage. It also outlines substantive and procedural requirements that other types of individual coverage must fulfill in order to be certified as minimum essential coverage.

  6. Patient Protection and Affordable Care Act; Exchange functions: standards for Navigators and non-Navigator assistance personnel; consumer assistance tools and programs of an Exchange and certified application counselors. Final rule.

    PubMed

    2013-07-17

    This final rule addresses various requirements applicable to Navigators and non-Navigator assistance personnel in Federally-facilitated Exchanges, including State Partnership Exchanges, and to non-Navigator assistance personnel in State Exchanges that are funded through federal Exchange Establishment grants. It finalizes the requirement that Exchanges must have a certified application counselor program. It creates conflict-of-interest, training and certification, and meaningful access standards; clarifies that any licensing, certification, or other standards prescribed by a state or Exchange must not prevent application of the provisions of title I of the Affordable Care Act; adds entities with relationships to issuers of stop loss insurance to the list of entities that are ineligible to become Navigators; and clarifies that the same ineligibility criteria that apply to Navigators apply to certain non-Navigator assistance personnel. The final rule also directs that each Exchange designate organizations which will then certify their staff members and volunteers to be application counselors that assist consumers and facilitate enrollment in qualified health plans and insurance affordability programs, and provides standards for that designation.

  7. 76 FR 39927 - Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-07

    ... generally subject to certain antifraud and anti-manipulation provisions under the Exchange Act. This is... specific antifraud and anti-manipulation provisions (including Exchange Act section 10(b)).\\25\\ Accordingly... application of those Exchange Act antifraud and anti-manipulation provisions, as well as Securities Act...

  8. 76 FR 51201 - Patient Protection and Affordable Care Act; Exchange Functions in the Individual Market...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-17

    ... standards, eligibility determination process, and applicant information verification process. a. Definitions... section 4(d) of the Indian Self-Determination and Education Assistance Act (ISDEAA) (Pub. L. 93-638, 88... attestation may be made by the applicant (self-attestation), an application filer, or in cases in which an...

  9. Don't bother to wrap it: online Giftgiver and Bugchaser newsgroups, the social impact of gift exchanges and the 'carnivalesque'.

    PubMed

    Graydon, Michael

    2007-01-01

    At online internet newsgroups, members who self-identify as Giftgivers and Bugchasers post messages describing exchanging HIV as a gift, as the Gift. Using the literature on the social function of gift exchanges, this paper considers how Giftgiver and Bugchaser messages mobilize the language of gifts. In doing so, newsgroup members generate an ontological narrative wherein HIV, as the Gift, promotes social bonds, the creation and maintenance of self identity and social roles, and the meeting of particular goals. Thus the Gift appears to fulfill (at least discursively) many of the social functions of gift exchanges as described in the literature. Online newsgroups function as fora for the expression of a contrarian, transgressive HIV/AIDS narrative and act as 'carnivalesque' spaces in which normative social roles and meaning are inverted in the establishment of a realm whereby HIV becomes a gift.

  10. 76 FR 76793 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65869; File No. SR-Phlx-2011-161] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality December 2, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...

  11. 76 FR 76797 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65867; File No. SR-BX-2011-080] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality December 2, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...

  12. 17 CFR 14.4 - Violation of Commodity Exchange Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Violation of Commodity Exchange Act. 14.4 Section 14.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION... Exchange Act. The Commission may deny, temporarily or permanently, the privilege of appearing or practicing...

  13. 75 FR 25892 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-10

    ... acting as a Market Maker or functioning in any capacity involving market-making responsibilities in the... employee associated therewith, may act in a market making capacity, other than as a Market Maker in the... market making capacities if they have established, and obtained the Exchange's approval of, appropriate...

  14. 47 CFR 0.91 - Functions of the Bureau.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... services and facilities). The Bureau will, among other things: (a) Develop and recommend policy goals.... (e) Develop and administer rules and policies relating to incumbent local exchange carrier accounting... Commission policy. (m) Carry out the functions of the Commission under the Communications Act of 1934, as...

  15. 12 CFR 265.7 - Functions delegated to Director of Division of Banking Supervision and Regulation.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 3(a) and 4(c)(8) of the Bank Holding Company Act (12 U.S.C. 1842(a), 1843(c)(8)) on the Change in... Act (12 U.S.C. 1831i) and subpart H of Regulation Y (12 CFR part 225), provided that no senior officer... member bank for exemption from registration under section 12(h) of the Securities Exchange Act (15 U.S.C...

  16. 75 FR 8760 - Order Granting Application for Exemption Pursuant to Section 36(a) of the Exchange Act by BATS...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-25

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61534] Order Granting Application for Exemption Pursuant to Section 36(a) of the Exchange Act by BATS Exchange, Inc. From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference February 18, 2010. BATS Exchange, Inc. (``BATS...

  17. Employers and the exchanges under the small business health options program: examining the potential and the pitfalls.

    PubMed

    Jost, Timothy S

    2012-02-01

    The health insurance exchange is the centerpiece of the insurance reforms created by the Affordable Care Act. The Small Business Health Options Program (SHOP) is intended to create a marketplace for small, and perhaps eventually large, employers to purchase health insurance for their employees. This paper introduces a collection of articles that illuminate the need for small-business exchanges and discuss how they will function. The paper also describes the difficulties these exchanges will face, as well as the opportunities they will offer to states, employers, and individuals. The success or failure of small-business exchanges may well hinge on how states choose to address these challenges.

  18. 75 FR 39599 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-09

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62437; File No. SR-EDGX-2010-06] Self... Schedule To Impose Fees for Physical Ports Used To Connect to EDGX Exchange July 1, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'' or ``Exchange Act'') \\1\\ and Rule 19b-4...

  19. 75 FR 39600 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-09

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62436; File No. SR-EDGA-2010-06] Self... Schedule To Impose Fees for Physical Ports Used To Connect to EDGA Exchange July 1, 2010. Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'' or ``Exchange Act'') \\1\\ and rule 19b-4...

  20. 17 CFR 229.801 - Securities Act industry guides.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Securities Act industry guides. 229.801 Section 229.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.801 Securities Act industry...

  1. 17 CFR 229.801 - Securities Act industry guides.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Securities Act industry guides. 229.801 Section 229.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.801 Securities Act industry...

  2. 17 CFR 229.801 - Securities Act industry guides.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Securities Act industry guides. 229.801 Section 229.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.801 Securities Act industry...

  3. 17 CFR 229.801 - Securities Act industry guides.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Securities Act industry guides. 229.801 Section 229.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.801 Securities Act industry...

  4. 17 CFR 240.12h-1 - Exemptions from registration under section 12(g) of the Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemptions from registration under section 12(g) of the Act. 240.12h-1 Section 240.12h-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  5. 76 FR 67784 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Approving Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-02

    ... connection with this reclassification, the Exchange has proposed certain voting rights,\\4\\ transfer... Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend... Exchange Act Release No. 65299 (September 8, 2011), 76 FR 56833 (September 14, 2011) (``Notice''). II...

  6. Self responses along cingulate cortex reveal quantitative neural phenotype for high functioning autism

    PubMed Central

    Chiu, Pearl H.; Kayali, M. Amin; Kishida, Kenneth T.; Tomlin, Damon; Klinger, Laura G.; Klinger, Mark R.; Montague, P. Read

    2014-01-01

    Summary Attributing behavioral outcomes correctly to oneself or to other agents is essential for all productive social exchange. We approach this issue in high-functioning males with autism spectrum disorder (ASD) using two separate fMRI paradigms. First, using a visual imagery task, we extract a basis set for responses along the cingulate cortex of control subjects that reveals an agent-specific eigenvector (self eigenmode) associated with imagining oneself executing a specific motor act. Second, we show that the same self eigenmode arises during one's own decision (the self phase) in an interpersonal exchange game (iterated trust game). Third, using this exchange game, we show that ASD males exhibit a severely diminished self eigenmode when playing the game with a human partner. This diminished response covaries parametrically with their behaviorally assessed symptom severity suggesting its value as an objective endophenotype. These findings may provide a quantitative assessment tool for high functioning ASD. PMID:18255038

  7. 17 CFR 201.550 - Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... to Exchange Act Section 12(k)(1)(A). 201.550 Section 201.550 Commodity and Securities Exchanges... Suspensions § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). (a) Petition for termination of suspension. Any person adversely affected by a suspension pursuant to Section 12(k)(1)(A) of...

  8. 17 CFR 201.550 - Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... to Exchange Act Section 12(k)(1)(A). 201.550 Section 201.550 Commodity and Securities Exchanges... Suspensions § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). (a) Petition for termination of suspension. Any person adversely affected by a suspension pursuant to Section 12(k)(1)(A) of...

  9. 17 CFR 201.550 - Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... to Exchange Act Section 12(k)(1)(A). 201.550 Section 201.550 Commodity and Securities Exchanges... Suspensions § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). (a) Petition for termination of suspension. Any person adversely affected by a suspension pursuant to Section 12(k)(1)(A) of...

  10. 17 CFR 201.550 - Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... to Exchange Act Section 12(k)(1)(A). 201.550 Section 201.550 Commodity and Securities Exchanges... Suspensions § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). (a) Petition for termination of suspension. Any person adversely affected by a suspension pursuant to Section 12(k)(1)(A) of...

  11. 77 FR 46134 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-02

    ... Volatility July 27, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act... Market Volatility.'' The text of the proposed rule change is available at the Exchange's Web site at http... Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Securities Exchange Act of 1934...

  12. 76 FR 44073 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-22

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64904; File No. SR-NYSE-2011-34] Self... Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 July 18, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4...

  13. 17 CFR 210.5-01 - Application of §§ 210.5-01 to 210.5-04.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Application of §§ 210.5-01 to 210.5-04. 210.5-01 Section 210.5-01 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  14. Patient Protection and Affordable Care Act; establishment of exchanges and qualified health plans; exchange standards for employers. Final rule, Interim final rule.

    PubMed

    2012-03-27

    This final rule will implement the new Affordable Insurance Exchanges ("Exchanges"), consistent with title I of the Patient Protection and Affordable Care Act of 2010 as amended by the Health Care and Education Reconciliation Act of 2010, referred to collectively as the Affordable Care Act. The Exchanges will provide competitive marketplaces for individuals and small employers to directly compare available private health insurance options on the basis of price, quality, and other factors. The Exchanges, which will become operational by January 1, 2014, will help enhance competition in the health insurance market, improve choice of affordable health insurance, and give small businesses the same purchasing clout as large businesses.

  15. 77 FR 59061 - Extension of Temporary Registration of Municipal Advisors

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-26

    ... SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 240 and 249 [Release No. 34-67901; File No. S7-19... Exchange Commission. ACTION: Final rule; extension. SUMMARY: The Securities and Exchange Commission... registration of municipal advisors under the Securities Exchange Act of 1934 (``Exchange Act''), as amended by...

  16. 77 FR 30595 - Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-23

    ...In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), the Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, the ``Commissions''), in consultation with the Board of Governors of the Federal Reserve System (``Board''), are adopting new rules and interpretive guidance under the Commodity Exchange Act (``CEA''), and the Securities Exchange Act of 1934 (``Exchange Act''), to further define the terms ``swap dealer,'' ``security-based swap dealer,'' ``major swap participant,'' ``major security-based swap participant,'' and ``eligible contract participant.''

  17. 17 CFR 5.25 - Applicability of the Act.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Applicability of the Act. 5.25 Section 5.25 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.25 Applicability of the Act. Except as otherwise specified in this part and...

  18. 78 FR 58364 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70427; File No. SR-BOX-2013-43] Self-Regulatory... Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on September 5, 2013, BOX Options Exchange LLC (the ``Exchange'') filed with the Securities and Exchange...

  19. 77 FR 28416 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66941; File No. SR-CME-2012-06] Self-Regulatory... On March 9, 2012, Chicago Mercantile Exchange (``CME'') filed with the Securities and Exchange... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder.\\2\\ The proposed rule change was...

  20. 78 FR 76664 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71073; File No. SR-CBOE-2013-102] Self..., Incorporated (``Exchange'' or ``CBOE'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...

  1. 78 FR 79534 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71178; File No. SR-CBOE-2013-107] Self..., Incorporated (the ``Exchange'' or ``CBOE'') filed with the Securities and Exchange Commission (the ``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4...

  2. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  3. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  4. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  5. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  6. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  7. 78 FR 69921 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-21

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70885; File No. SR-TOPAZ-2013-11] Self..., 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule... ISE Gemini) (the ``Exchange'' or ``Topaz'') filed with the Securities and Exchange Commission...

  8. 77 FR 18309 - Patient Protection and Affordable Care Act; Establishment of Exchanges and Qualified Health Plans...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-27

    ...This final rule will implement the new Affordable Insurance Exchanges (``Exchanges''), consistent with title I of the Patient Protection and Affordable Care Act of 2010 as amended by the Health Care and Education Reconciliation Act of 2010, referred to collectively as the Affordable Care Act. The Exchanges will provide competitive marketplaces for individuals and small employers to directly compare available private health insurance options on the basis of price, quality, and other factors. The Exchanges, which will become operational by January 1, 2014, will help enhance competition in the health insurance market, improve choice of affordable health insurance, and give small businesses the same purchasing clout as large businesses.

  9. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  10. 17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up...

  11. 17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up...

  12. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  13. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  14. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  15. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  16. 17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up...

  17. 17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up...

  18. 76 FR 23838 - Notice Pursuant to the National Cooperative Research and Production Act of 1993-Petroleum...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-28

    ... Production Act of 1993--Petroleum Industry Data Exchange, Inc. Notice is hereby given that, on March 21, 2011... seq. (``the Act''), Petroleum Industry Data Exchange, Inc. (``PIDX'') has filed written notifications... organization is: Petroleum Industry Data Exchange, Inc., Houston, TX. The nature and scope of PIDX's standards...

  19. 78 FR 71015 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70917; File No. SR-CME-2013-24] Self-Regulatory... Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 15, 2013, Chicago Mercantile Exchange Inc. (``CME'') filed with the Securities and Exchange Commission...

  20. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  1. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  2. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  3. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  4. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  5. Minimum Value of Eligible Employer-Sponsored Plans and Other Rules Regarding the Health Insurance Premium Tax Credit. Final regulations.

    PubMed

    2015-12-18

    This document contains final regulations on the health insurance premium tax credit enacted by the Patient Protection and Affordable Care Act and the Health Care and Education Reconciliation Act of 2010, as amended by the Medicare and Medicaid Extenders Act of 2010, the Comprehensive 1099 Taxpayer Protection and Repayment of Exchange Subsidy Overpayments Act of 2011, and the Department of Defense and Full-Year Continuing Appropriations Act, 2011. These final regulations affect individuals who enroll in qualified health plans through Affordable Insurance Exchanges (Exchanges, sometimes called Marketplaces) and claim the health insurance premium tax credit, and Exchanges that make qualified health plans available to individuals and employers.

  6. The intracellular Na(+)/H(+) exchanger NHE7 effects a Na(+)-coupled, but not K(+)-coupled proton-loading mechanism in endocytosis.

    PubMed

    Milosavljevic, Nina; Monet, Michaël; Léna, Isabelle; Brau, Frédéric; Lacas-Gervais, Sandra; Feliciangeli, Sylvain; Counillon, Laurent; Poët, Mallorie

    2014-05-08

    Vesicular H(+)-ATPases and ClC-chloride transporters are described to acidify intracellular compartments, which also express the highly conserved Na(+)/H(+) exchangers NHE6, NHE7, and NHE9. Mutations of these exchangers cause autism-spectrum disorders and neurodegeneration. NHE6, NHE7, and NHE9 are hypothesized to exchange cytosolic K(+) for H(+) and alkalinize vesicles, but this notion has remained untested in K(+) because their intracellular localization prevents functional measurements. Using proton-killing techniques, we selected a cell line that expresses wild-type NHE7 at the plasma membrane, enabling measurement of the exchanger's transport parameters. We found that NHE7 transports Li(+) and Na(+), but not K(+), is nonreversible in physiological conditions and is constitutively activated by cytosolic H(+). Therefore, NHE7 acts as a proton-loading transporter rather than a proton leak. NHE7 mediates an acidification of intracellular vesicles that is additive to that of V-ATPases and that accelerates endocytosis. This study reveals an unexpected function for vesicular Na(+)/H(+) exchangers and provides clues for understanding NHE-linked neurological disorders. Copyright © 2014 The Authors. Published by Elsevier Inc. All rights reserved.

  7. 17 CFR 210.12-13 - Investments other than securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Investments other than... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Form and Content of Schedules...

  8. 17 CFR 210.12-13 - Investments other than securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Investments other than... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Form and Content of Schedules...

  9. 17 CFR 210.6A-03 - Statements of financial condition.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Employee Stock Purchase... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Statements of financial...

  10. 75 FR 79992 - End-User Exception to Mandatory Clearing of Security-Based Swaps

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-21

    ...In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), the Securities and Exchange Commission (``Commission'') is proposing new Rule 3Cg-1 under the Securities Exchange Act of 1934 (``Exchange Act'') governing the exception to mandatory clearing of security-based swaps available for counterparties meeting certain conditions. The Commission is requesting comments on the proposed rule and related matters.

  11. 77 FR 4845 - Order Granting Application by BOX Options Exchange LLC for a Conditional Exemption Pursuant to...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-31

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66241] Order Granting Application by BOX Options Exchange LLC for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act From Certain Requirements of Rules 6a-1 and 6a-2 Under the Exchange Act January 26, 2012. I. Introduction On December 19, 2011, BOX Options Exchange LLC (the `...

  12. 77 FR 25007 - Order Temporarily Exempting Broker-Dealers From the Recordkeeping, Reporting, and Monitoring...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-26

    ... the Securities Exchange Act of 1934 (``Exchange Act'') concerning large trader reporting to assist the... persons are referred to as ``large traders'').\\1\\ \\1\\ See Securities Exchange Act Release No. 64976 (July... person is a large trader: (1) Any transaction that is part of an offering of securities by or on behalf...

  13. 40 CFR 22.52 - Information exchange and discovery.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... Procedure Act § 22.52 Information exchange and discovery. Respondent's information exchange pursuant to § 22.19(a) shall include information on any economic benefit resulting from any activity or failure to act... 40 Protection of Environment 1 2010-07-01 2010-07-01 false Information exchange and discovery. 22...

  14. 17 CFR 229.1004 - (Item 1004) Terms of the transaction.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...

  15. 17 CFR 229.1004 - (Item 1004) Terms of the transaction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...

  16. 17 CFR 229.1004 - (Item 1004) Terms of the transaction.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...

  17. Andrographolide derivatives inhibit guanine nucleotide exchange and abrogate oncogenic Ras function

    PubMed Central

    Hocker, Harrison J.; Cho, Kwang-Jin; Chen, Chung-Ying K.; Rambahal, Nandini; Sagineedu, Sreenivasa Rao; Shaari, Khozirah; Stanslas, Johnson; Hancock, John F.; Gorfe, Alemayehu A.

    2013-01-01

    Aberrant signaling by oncogenic mutant rat sarcoma (Ras) proteins occurs in ∼15% of all human tumors, yet direct inhibition of Ras by small molecules has remained elusive. Recently, several small-molecule ligands have been discovered that directly bind Ras and inhibit its function by interfering with exchange factor binding. However, it is unclear whether, or how, these ligands could lead to drugs that act against constitutively active oncogenic mutant Ras. Using a dynamics-based pocket identification scheme, ensemble docking, and innovative cell-based assays, here we show that andrographolide (AGP)—a bicyclic diterpenoid lactone isolated from Andrographis paniculata—and its benzylidene derivatives bind to transient pockets on Kirsten-Ras (K-Ras) and inhibit GDP–GTP exchange. As expected for inhibitors of exchange factor binding, AGP derivatives reduced GTP loading of wild-type K-Ras in response to acute EGF stimulation with a concomitant reduction in MAPK activation. Remarkably, however, prolonged treatment with AGP derivatives also reduced GTP loading of, and signal transmission by, oncogenic mutant K-RasG12V. In sum, the combined analysis of our computational and cell biology results show that AGP derivatives directly bind Ras, block GDP–GTP exchange, and inhibit both wild-type and oncogenic K-Ras signaling. Importantly, our findings not only show that nucleotide exchange factors are required for oncogenic Ras signaling but also demonstrate that inhibiting nucleotide exchange is a valid approach to abrogating the function of oncogenic mutant Ras. PMID:23737504

  18. 45 CFR 155.715 - Eligibility determination process for SHOP.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 45 Public Welfare 1 2014-10-01 2014-10-01 false Eligibility determination process for SHOP. 155... ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.715 Eligibility determination process for SHOP. (a) General requirement. Before permitting the purchase of coverage in a QHP...

  19. 17 CFR 210.12-12A - Investments-securities sold short.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Investments-securities sold... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Form and Content of Schedules...

  20. 17 CFR 210.12-12A - Investments-securities sold short.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Investments-securities sold... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Form and Content of Schedules...

  1. 77 FR 69517 - Order Granting Exmeptions From Specified Provisions of the Securities Exchange Act and the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-19

    ..., 2012: Investment Company Act of 1940; Release No. 30261/November 14, 2012] Order Granting Exmeptions From Specified Provisions of the Securities Exchange Act and the Investment Company Act and Certain...(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions From Specified...

  2. 76 FR 44059 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-22

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64906; File No. SR-NYSEArca-2011-49] Self... Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 July 18, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and...

  3. 76 FR 44071 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-22

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64905; File No. SR-NYSEArca-2011-50] Self... Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 July 18, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and...

  4. 26 CFR 301.6316-1 - Payment of income tax in foreign currency.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Cultural Exchange Act of 1961, as amended (22 U.S.C. 2451); (2) Constitute either a grant made for... Mutual Educational and Cultural Exchange Act of 1961, as amended; or are paid from grants made to such... Educational and Cultural Exchange Act of 1961, as amended, or section 104 (h), (j), (k), (o), or (p) of the...

  5. Private Health Insurance Exchanges

    PubMed Central

    Buttorff, Christine; Nowak, Sarah; Syme, James; Eibner, Christine

    2017-01-01

    Abstract Private health insurance exchanges offer employer health insurance, combining online shopping, increased plan choice, benefit administration, and cost-containment strategies. This article examines how private exchanges function, how they may affect employers and employees, and the possible implications for the Affordable Care Act's (ACA's) Small Business Health Options Program (SHOP) Marketplaces. The authors found that private exchanges could encourage employees to select less-generous plans. This could expose employees to higher out-of-pocket costs, but premium contributions would drop substantially, so net spending would decrease. On the other hand, employee spending may increase if, in moving to private exchanges, employers decrease their health insurance contributions. Most employers can avoid the ACA's “Cadillac tax” by reducing the generosity of the plans they offer, regardless of whether they move to a private exchange. There is not yet enough evidence to determine whether the private exchanges will become prominent in the insurance market and how they will affect employers and their employees. PMID:28845340

  6. 17 CFR 240.15g-100 - Schedule 15G-Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  7. 17 CFR 240.15g-100 - Schedule 15G-Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  8. 17 CFR 240.15g-100 - Schedule 15G-Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  9. 78 FR 10218 - Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68864; File No. S7-27-11] Order Extending.... Introduction On July 1, 2011, the Securities and Exchange Commission (``Commission'') issued an order granting... security-based swaps (``Exchange Act Exemptive Order'').\\1\\ Certain temporary exemptions contained in the...

  10. 75 FR 30889 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-02

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62170; File No. SR-CBOE-2010-048] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...

  11. 78 FR 17982 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-25

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69174; File No. SR-NYSEMKT-2013-26] Self... Securities March 19, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (``Act... MKT'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed...

  12. 77 FR 43879 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-26

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67481; File No. SR-CBOE-2012-068] Self...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is... ``CBOE'') filed with the Securities and Exchange Commission (the [[Page 43880

  13. 76 FR 62126 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-06

    ... Change To Eliminate Certain References to the Exchange Acting as the Designated Examining Authority... Rule Change CHX proposes to amend its rules to eliminate certain references to the Exchange acting as... references and the Exchange plans on eliminating those in a subsequent proposal to conform our rules with...

  14. 78 FR 55130 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-09

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70302; File No. SR-CBOE-2013-082] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate... Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2...

  15. 78 FR 56960 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70357; File No. SR-MIAX-2013-42] Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate... provisions of Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...

  16. 78 FR 76684 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71063; File No. SR-CBOE-2013-116] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate...)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...

  17. 78 FR 56955 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70360; File No. SR-BATS-2013-049] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby...

  18. 78 FR 58354 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70424; File No. SR-CBOE-2013-088] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...

  19. 78 FR 76693 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71062; File No. SR-EDGX-2013-45] Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...

  20. 78 FR 69714 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70873; File No. SR-ISE-2013-56] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed... Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that...

  1. 78 FR 69718 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70872; File No. SR-ISE-2013-57] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed... Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that...

  2. 78 FR 76685 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71061; File No. SR-EDGA-2013-36] Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...

  3. 76 FR 63693 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65499; File No. SR-ISE-2011-64] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed... Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that...

  4. 17 CFR 240.19g2-1 - Enforcement of compliance by national securities exchanges and registered securities associations...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... national securities exchanges and registered securities associations with the Act and rules and regulations... Enforcement of compliance by national securities exchanges and registered securities associations with the Act... associated with its members, a national securities exchange or registered securities association is not...

  5. 78 FR 69923 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-21

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70884; File No. SR-ISE-2013-59] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed... November 15, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1...

  6. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND...

  7. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND...

  8. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND...

  9. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND...

  10. 17 CFR 210.12-25 - Supplementary profit and loss information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Supplementary profit and loss information. 210.12-25 Section 210.12-25 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY...

  11. 76 FR 50783 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65087; File No. SR-ISE-2011-47] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed... August 10, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1...

  12. 77 FR 2708 - Performance of Registration Functions by National Futures Association With Respect To Swap...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-19

    ... standards established by the Commodity Exchange Act (CEA) and the Commission's regulations issued thereunder...: January 19, 2012. FOR FURTHER INFORMATION CONTACT: Barbara S. Gold, Associate Director, Christopher W... Background In a separate document published elsewhere in today's Federal Register, the Commission is issuing...

  13. 20 CFR 655.4 - Definitions of terms used in this subpart.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... functions. Certifying Officer (CO) means the OFLC official designated by the Administrator, OFLC with making...-Peyser Act to administer public labor exchange delivered through the State's one-stop delivery system in... by means normally assuring next-day delivery, and will end on the day that the employer sends...

  14. 17 CFR 1.59 - Activities of self-regulatory organization employees, governing board members, committee members...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 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... governors of a self-regulatory organization. (3) Committee member means a member, or functional equivalent...

  15. 17 CFR 1.59 - Activities of self-regulatory organization employees, governing board members, committee members...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 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... governors of a self-regulatory organization. (3) Committee member means a member, or functional equivalent...

  16. 17 CFR 1.59 - Activities of self-regulatory organization employees, governing board members, committee members...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 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... governors of a self-regulatory organization. (3) Committee member means a member, or functional equivalent...

  17. 45 CFR 155.260 - Privacy and security of personally identifiable information.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 45 Public Welfare 1 2013-10-01 2013-10-01 false Privacy and security of personally identifiable... AFFORDABLE CARE ACT General Functions of an Exchange § 155.260 Privacy and security of personally... must establish and implement privacy and security standards that are consistent with the following...

  18. 78 FR 54069 - Patient Protection and Affordable Care Act; Program Integrity: Exchange, SHOP, and Eligibility...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-30

    ... Parts 147, 153, 155, et al. Patient Protection and Affordable Care Act; Program Integrity: Exchange... 147, 153, 155, and 156 [CMS-9957-F] RIN 0938-AR82 Patient Protection and Affordable Care Act; Program... Affordable Care Act and the Health Care and Education Reconciliation Act of 2010 (collectively referred to as...

  19. 76 FR 44069 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-22

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64907; File No. SR-NYSEAmex-2011-53] Self... Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 July 18, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4...

  20. 76 FR 44065 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-22

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64908; File No. SR-NYSEAmex-2011-52] Self... Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 July 18, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4...

  1. 17 CFR 270.14a-2 - Exemption from section 14(a) of the Act for certain registered separate accounts and their...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from section 14(a... Section 270.14a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.14a-2 Exemption from section 14(a) of the Act...

  2. 20 CFR 652.205 - May funds authorized under the Act be used to supplement funding for labor exchange programs...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... supplement funding for labor exchange programs authorized under separate legislation? 652.205 Section 652.205... § 652.205 May funds authorized under the Act be used to supplement funding for labor exchange programs... under sections 7(a) or 7(b) of the Act to supplement funding of any workforce activity carried out under...

  3. 76 FR 34277 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-13

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting [[Page 34278

  4. Rules regarding the health insurance premium tax credit. Final and temporary regulations.

    PubMed

    2014-07-28

    This document contains final and temporary regulations relating to the health insurance premium tax credit enacted by the Patient Protection and Affordable Care Act and the Health Care and Education Reconciliation Act of 2010, as amended by the Medicare and Medicaid Extenders Act of 2010, the Comprehensive 1099 Taxpayer Protection and Repayment of Exchange Subsidy Overpayments Act of 2011, and the Department of Defense and Full-Year Continuing Appropriations Act of 2011 and the 3% Withholding Repeal and Job Creation Act. These regulations affect individuals who enroll in qualified health plans through Affordable Insurance Exchanges (Exchanges) and claim the premium tax credit, and Exchanges that make qualified health plans available to individuals. The text of the temporary regulations in this document also serves as the text of proposed regulations set forth in a notice of proposed rulemaking (REG-104579-13) on this subject in the Proposed Rules section in this issue of the Federal Register.

  5. 77 FR 46533 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Order...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-03

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67533; File No. SR-CME-2012-31] Self-Regulatory.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder...'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change described in...

  6. 75 FR 43211 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62523; File No. SR-ISE-2010-73] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to... Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on...

  7. 78 FR 3952 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-17

    .... For Select Symbols (excluding SPY), the Exchange currently provides a base rebate of $0.34 per... SPY), the Exchange currently provides a base rebate of $0.34 per contract, per leg, for Priority... Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that...

  8. 76 FR 45898 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-01

    ... over the Internet); Securities Exchange Act Release No. 63197 (October 27, 2010), 75 FR 67791 (November... $200 to $600 per Internet port that is used to deliver market data); Securities Exchange Act Release No... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64964; File No. SR-EDGA-2011-22] Self...

  9. 76 FR 20430 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-12

    ... Volatility April 6, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act... Market Volatility.'' The text of the proposed rule change is available at the Exchange's Web site at http... mechanism to address extraordinary market volatility, if adopted, applies. On October 4, 2010, the Exchange...

  10. 78 FR 76665 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71059; File No. SR-EDGA-2013-37] Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2...

  11. 78 FR 79530 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71172; File No. SR-MIAX-2013-58] Self...) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby...'') filed with the Securities and Exchange Commission (``Commission'') a proposed rule change as described...

  12. 78 FR 56967 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-16

    ... SECURITIES AND EXCHANGE COMMISSION Release No. 34-70364; File No. SR-EDGA-2013-26] Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change...)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...

  13. 78 FR 55128 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-09

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70301; File No. SR-C2-2013-032] Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed... the Securities Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby...

  14. 78 FR 71002 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70909; File No. SR-NYSE-2013-72] Self... 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3...'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described...

  15. 78 FR 58359 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-23

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70426; File No. SR-Topaz-2013-04] Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule... Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on...

  16. 78 FR 76667 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71066; File No. SR-ISE-2013-66] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...

  17. 78 FR 69723 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70875; File No. SR-CBOE-2013-110] Self... Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on... the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in...

  18. 78 FR 56957 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70363; File No. SR-EDGX-2013-33] Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2...

  19. 78 FR 76682 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71058; File No. SR-EDGX-2013-46] Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2...

  20. 26 CFR 1.872-2 - Exclusions from gross income of nonresident alien individuals.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... certain exchange or training programs—(1) Exclusion from income. Compensation paid to a nonresident alien... “exchange visitor” under section 201 of the U.S. Information and Educational Exchange Act of 1948 (22 U.S.C. 1446), which section was repealed by section 111 of the Mutual Education and Cultural Exchange Act of...

  1. 26 CFR 1.872-2 - Exclusions from gross income of nonresident alien individuals.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... certain exchange or training programs—(1) Exclusion from income. Compensation paid to a nonresident alien... “exchange visitor” under section 201 of the U.S. Information and Educational Exchange Act of 1948 (22 U.S.C. 1446), which section was repealed by section 111 of the Mutual Education and Cultural Exchange Act of...

  2. 26 CFR 1.872-2 - Exclusions from gross income of nonresident alien individuals.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... certain exchange or training programs—(1) Exclusion from income. Compensation paid to a nonresident alien... “exchange visitor” under section 201 of the U.S. Information and Educational Exchange Act of 1948 (22 U.S.C. 1446), which section was repealed by section 111 of the Mutual Education and Cultural Exchange Act of...

  3. 78 FR 36810 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change for...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67956; File No. SR-Phlx-2013-42] Self... PHLX LLC (``Exchange'' or ``PHLX'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...

  4. 78 FR 36800 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69755; File No. SR-NASDAQ-2013-070] Self... (``Exchange'' or ``NASDAQ'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a...

  5. 78 FR 31996 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-28

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69613; File No. SR-EDGA-2013-13] Self... 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3... with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described...

  6. 78 FR 19352 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69233; File No. SR-NASDAQ-2013-028] Self... NASDAQ Stock Market LLC (``Exchange'' or ``NASDAQ'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b...

  7. 78 FR 31994 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-28

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69614; File No. SR-EDGX-2013-17] Self... 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3... with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described...

  8. 78 FR 19337 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change for...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69229; File No. SR-Phlx-2013-15] Self... (``Exchange'' or ``PHLX'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a...

  9. 78 FR 26820 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69499; File No. SR-NASDAQ-2013-070] Self.... May 2, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2... LLC (the ``Exchange'' or ``Nasdaq'') filed with the Securities and Exchange Commission (the...

  10. 77 FR 63399 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68010; File No. SR-CBOE-2012-096] Self...(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice...'' or ``CBOE'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule...

  11. 78 FR 13915 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-01

    ....'' The Exchange further understands that limitations in order management systems and routing networks... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68975; File No. SR-BYX-2013-008] Self..., 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule...

  12. 78 FR 7824 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-04

    ... of ``Retail Order.'' The Exchange further understands that limitations in order management systems... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68747; File No. SR-NYSE-2013-08] Self.... Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4...

  13. Diazonium cation-exchanged clay: an efficient, unfrequented route for making clay/polymer nanocomposites.

    PubMed

    Salmi, Zakaria; Benzarti, Karim; Chehimi, Mohamed M

    2013-11-05

    We describe a simple, off-the-beaten-path strategy for making clay/polymer nanocomposites through tandem diazonium salt interface chemistry and radical photopolymerization. Prior to photopolymerization, sodium montmorillonite (MMT) was ion exchanged with N,N'-dimethylbenzenediazonium cation (DMA) from the tetrafluoroborate salt precursor. DMA acts as a hydrogen donor for benzophenone in solution; this pair of co-initiators permits us to photopolymerize glycidyl methacrylate (GMA) between the lamellae of the diazonium-modified clay, therefore providing intercalated MMT-PGMA nanocomposites with an onset of exfoliation. This work conclusively provides a new approach for bridging reactive and functional polymers to layered nanomaterials via aryl diazonium salts in a simple, fast, efficient cation-exchange approach.

  14. 77 FR 45721 - Consolidated Audit Trail

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-01

    ...The Securities and Exchange Commission (``Commission'') is adopting Rule 613 under the Securities Exchange Act of 1934 (``Exchange Act'' or ``Act'') to require national securities exchanges and national securities associations (``self-regulatory organizations'' or ``SROs'') to submit a national market system (``NMS'') plan to create, implement, and maintain a consolidated order tracking system, or consolidated audit trail, with respect to the trading of NMS securities, that would capture customer and order event information for orders in NMS securities, across all markets, from the time of order inception through routing, cancellation, modification, or execution.

  15. Responding to the Affordable Care Act: a leadership opportunity for social workers in employee assistance programs.

    PubMed

    Frauenholtz, Susan

    2014-08-01

    Until recently, estimates indicated that more than half of Americans obtain health insurance through their employers. Yet the employer-based system leaves many vulnerable populations, such as low-wage and part-time workers, without coverage. The changes authorized by the Affordable Care Act (2010), and in particular the Health Insurance Marketplace (also known as health insurance exchanges), which became operational in 2014, are projected to have a substantial impact on the provision of employer-based health care coverage. Because health insurance is so intricately woven with employment, social workers in employee assistance programs (EAPs) are positioned to assume an active leadership role in guiding and developing the needed changes to employer-based health care that will occur as the result of health care reform. This article describes the key features and functions of the Health Insurance Marketplace and proposes an innovative role for EAP social workers in implementing the exchanges within their respective workplaces and communities. How EAP social workers can act as educators, advocates, and brokers of the exchanges, and the challenges they may face in their new roles, are discussed, and the next steps EAP social workers can take to prepare for health reform-related workplace changes are delineated.

  16. 17 CFR 230.133 - Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Definition for purposes of... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer...

  17. 77 FR 70858 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68268; File No. SR-BX-2012-072] Self-Regulatory... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 15, 2012, NASDAQ OMX BX, Inc. (``BX'' or the ``Exchange'') filed with the Securities and Exchange...

  18. 17 CFR 240.12f-5 - Exchange rules for securities to which unlisted trading privileges are extended.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... to which unlisted trading privileges are extended. 240.12f-5 Section 240.12f-5 Commodity and... EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Unlisted Trading § 240.12f-5 Exchange rules for securities to which unlisted trading privileges are extended. A national...

  19. 76 FR 60108 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-28

    ... SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market-Maker Trade Prevention Order September 22, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19...

  20. 76 FR 77878 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    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...

  1. 78 FR 76691 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71056; File No. SR-BOX-2013-56] Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change... Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 3...

  2. 78 FR 60941 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-02

    ... of Regulation NMS under the Act (the ``Limit Up- Limit Down Plan'' or the ``Plan'').\\7\\ The Exchange... Limit Up-Limit Down Plan. \\5\\ Securities Exchange Act Release No. 62886 (September 10, 2010), 75 FR... (May 31, 2012), 77 FR 33498 (June 6, 2012) (the ``Limit Up-Limit Down Release''); see also Exchange...

  3. 78 FR 48510 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-08

    ... Securities Exchange Act of 1934 (the ``Act'').\\3\\ The Plan is primarily designed to, among other things... primarily designed for equity markets, the Exchange believed it would impact the options markets as well... the type of order described in Exchange Rule 6.12(h), ``No-Bid Series'' orders, from a previous day...

  4. 78 FR 17729 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-22

    ... Rule Change To Amend Its Rules Related to Mini Options Traded on the Exchange March 15, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4... rule change as described in Items I and II, which items have been prepared by the Exchange. The...

  5. 77 FR 63367 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68009; File No. SR-C2-2012-035] Self-Regulatory... Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that... Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I, II...

  6. 77 FR 62558 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68020; File No. SR-CBOE-2012-094] Self... Change To Update Its Rule 31.10--Corporate Governance--in Order To Comply With New Rule 10C- 1 Under the Securities Exchange Act of 1934 October 9, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act...

  7. 17 CFR 240.12f-5 - Exchange rules for securities to which unlisted trading privileges are extended.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... to which unlisted trading privileges are extended. 240.12f-5 Section 240.12f-5 Commodity and... EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Unlisted Trading § 240.12f-5 Exchange rules for securities to which unlisted trading privileges are extended. A national...

  8. 17 CFR 240.12f-5 - Exchange rules for securities to which unlisted trading privileges are extended.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... to which unlisted trading privileges are extended. 240.12f-5 Section 240.12f-5 Commodity and... EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Unlisted Trading § 240.12f-5 Exchange rules for securities to which unlisted trading privileges are extended. A national...

  9. 17 CFR 240.12f-5 - Exchange rules for securities to which unlisted trading privileges are extended.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... to which unlisted trading privileges are extended. 240.12f-5 Section 240.12f-5 Commodity and... EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Unlisted Trading § 240.12f-5 Exchange rules for securities to which unlisted trading privileges are extended. A national...

  10. 76 FR 27674 - PennantPark Investment Corporation, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-12

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29665; 812-13772] PennantPark Investment Corporation, et al.; Notice of Application May 6, 2011. AGENCY: Securities and Exchange... Investment Company Act of 1940 (the ``Act'') for an exemption from sections 18(a) and 61(a) of the Act...

  11. Patient Protection and Affordable Care Act; program integrity: Exchange, SHOP, and eligibility appeals. Final rule.

    PubMed

    2013-08-30

    This final rule implements provisions of the Patient Protection and Affordable Care Act and the Health Care and Education Reconciliation Act of 2010 (collectively referred to as the Affordable Care Act). Specifically, this final rule outlines Exchange standards with respect to eligibility appeals, agents and brokers, privacy and security, issuer direct enrollment, and the handling of consumer cases. It also sets forth standards with respect to a State's operation of the Exchange and Small Business Health Options Program (SHOP). It generally is finalizing previously proposed policies without change.

  12. 78 FR 42439 - Retail Foreign Exchange Transactions

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-16

    ... a retail forex business, provided that the broker-dealer complies with the Securities Exchange Act...) of which the broker-dealer is a member insofar as they are applicable to retail forex transactions... Exchange Act, to permit a registered broker or dealer (``broker-dealer'') to engage in retail forex...

  13. 17 CFR 210.6A-01 - Application of §§ 210.6A-01 to 210.6A-05.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Employee Stock Purchase... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Application of §§ 210.6A-01...

  14. 75 FR 7297 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-18

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange... environmental, social, and governance disclosure and on financial reform legislation, and discussion of next...

  15. 78 FR 58354 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-23

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange... to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the...

  16. 78 FR 55128 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-09

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange... the Commissioners, the Secretary to the Commission, and recording secretaries will attend the Closed...

  17. 75 FR 75187 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-02

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange... liquidity, investor impact, self-regulation, accounting and Build America Bonds. The panel discussion and...

  18. pH-Dependent isotope exchange and hydrogenation catalysed by water-soluble NiRu complexes as functional models for [NiFe]hydrogenases.

    PubMed

    Kure, Bunsho; Matsumoto, Takahiro; Ichikawa, Koji; Fukuzumi, Shunichi; Higuchi, Yoshiki; Yagi, Tatsuhiko; Ogo, Seiji

    2008-09-21

    The pH-dependent hydrogen isotope exchange reaction between gaseous isotopes and medium isotopes and hydrogenation of the carbonyl compounds have been investigated with water-soluble bis(mu-thiolate)(mu-hydride)NiRu complexes, Ni(II)(mu-SR)(2)(mu-H)Ru(II) {(mu-SR)(2) = N,N'-dimethyl-N,N'-bis(2-mercaptoethyl)-1,3-propanediamine}, as functional models for [NiFe]hydrogenases. In acidic media (at pH 4-6), the mu-H ligand of the Ni(II)(mu-SR)(2)(mu-H)Ru(II) complexes has H(+) properties, and the complexes catalyse the hydrogen isotope exchange reaction between gaseous isotopes and medium isotopes. A mechanism of the hydrogen isotope exchange reaction between gaseous isotopes and medium isotopes through a low-valent Ni(I)(mu-SR)(2)Ru(I) complex is proposed. In contrast, in neutral-basic media (at pH 7-10), the mu-H ligand of the Ni(II)(mu-SR)(2)(mu-H)Ru(II) complexes acts as H(-), and the complexes catalyse the hydrogenation of carbonyl compounds.

  19. 78 FR 78969 - Agency Information Collection Activities: Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-27

    ... utility of the proposed information collection for the proper performance of the agency's functions; (2... 1412 of the Affordable Care Act and 45 CFR part 155 subpart D, an Exchange makes an advance... the individual meets the income and other requirements for advance payments and the amount of the...

  20. 45 CFR 155.740 - SHOP employer and employee eligibility appeals requirements.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 45 Public Welfare 1 2014-10-01 2014-10-01 false SHOP employer and employee eligibility appeals... AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.740 SHOP employer... that provides for the establishment of a SHOP pursuant to § 155.100 must provide an eligibility appeals...

  1. 45 CFR 155.740 - SHOP employer and employee eligibility appeals requirements.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 45 Public Welfare 1 2013-10-01 2013-10-01 false SHOP employer and employee eligibility appeals... AFFORDABLE CARE ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.740 SHOP employer... that provides for the establishment of a SHOP pursuant to § 155.100 must provide an eligibility appeals...

  2. 45 CFR 155.720 - Enrollment of employees into QHPs under SHOP.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 45 Public Welfare 1 2014-10-01 2014-10-01 false Enrollment of employees into QHPs under SHOP. 155... ACT Exchange Functions: Small Business Health Options Program (SHOP) § 155.720 Enrollment of employees into QHPs under SHOP. (a) General requirements. The SHOP must process the SHOP single employee...

  3. 17 CFR 1.59 - Activities of self-regulatory organization employees, governing board members, committee members...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... COMMODITY EXCHANGE ACT Miscellaneous § 1.59 Activities of self-regulatory organization employees, governing...) Self-regulatory organization means “self-regulatory organization,” as defined in § 1.3(ee), and... member, or functional equivalent thereof, of the board of governors of a self-regulatory organization. (3...

  4. 17 CFR 1.59 - Activities of self-regulatory organization employees, governing board members, committee members...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... COMMODITY EXCHANGE ACT Miscellaneous § 1.59 Activities of self-regulatory organization employees, governing...) Self-regulatory organization means “self-regulatory organization,” as defined in § 1.3(ee), and... member, or functional equivalent thereof, of the board of governors of a self-regulatory organization. (3...

  5. 78 FR 7348 - Patient Protection and Affordable Care Act; Exchange Functions: Eligibility for Exemptions...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-01

    ... se and those that may apply for recognition are neither group health insurance coverage nor.... 156.602) c. Requirements for Recognition as Minimum Essential Coverage for Coverage Not Otherwise... recognition that they meet the standards under section 5000A(d)(2)(B) of the Code. We also received...

  6. 75 FR 20737 - Proposed Amendments to Rule 610 of Regulation NMS

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-20

    ...The Commission is publishing for comment proposed amendments to Rule 610 under the Securities Exchange Act of 1934 (``Exchange Act'') relating to access to quotations in listed options as well as fees for such access. The proposed rule would prohibit an exchange from imposing unfairly discriminatory terms that inhibit efficient access to quotations in a listed option on its exchange and establish a limit on access fees that an exchange would be permitted to charge for access to its best bid and offer for listed options on its exchange.

  7. 75 FR 47056 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-04

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62588; File No. SR-EDGA-2010-08] Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.12 July 29, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...

  8. 75 FR 47040 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-04

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62587; File No. SR-EDGX-2010-08] Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.12 July 29, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...

  9. 75 FR 25899 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-10

    ... Factor of 1 May 3, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1... factor of 1. The Exchange is not proposing any rule text changes. The rule proposal is available on the... would apply a scaling factor of 10 to the underlying index. The Exchange proposed the use of the scaling...

  10. 75 FR 66811 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-29

    ... Law 111-203, to prohibit fraud, manipulation, and deception in connection with security-based swaps. 3... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange...

  11. 76 FR 41534 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-14

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange.... Comverse is a New York corporation that provides a variety of services in the telecommunications industry...

  12. 76 FR 44057 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-22

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange... (DTC). DTC operates an automated, centralized system for book-entry movement of securities positions in...

  13. 75 FR 3948 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-25

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange... matters relating to climate change. At times, changes in Commission priorities require alterations in the...

  14. LAT region factors mediating differential neuronal tropism of HSV-1 and HSV-2 do not act in trans.

    PubMed

    Bertke, Andrea S; Apakupakul, Kathleen; Ma, AyeAye; Imai, Yumi; Gussow, Anne M; Wang, Kening; Cohen, Jeffrey I; Bloom, David C; Margolis, Todd P

    2012-01-01

    After HSV infection, some trigeminal ganglion neurons support productive cycle gene expression, while in other neurons the virus establishes a latent infection. We previously demonstrated that HSV-1 and HSV-2 preferentially establish latent infection in A5+ and KH10+ sensory neurons, respectively, and that exchanging the latency-associated transcript (LAT) between HSV-1 and HSV-2 also exchanges the neuronal preference. Since many viral genes besides the LAT are functionally interchangeable between HSV-1 and HSV-2, we co-infected HSV-1 and HSV-2, both in vivo and in vitro, to determine if trans-acting viral factors regulate whether HSV infection follows a productive or latent pattern of gene expression in sensory neurons. The pattern of HSV-1 and HSV-2 latent infection in trigeminal neurons was no different following co-infection than with either virus alone, consistent with the hypothesis that a trans-acting viral factor is not responsible for the different patterns of latent infection of HSV-1 and HSV-2 in A5+ and KH10+ neurons. Since exchanging the LAT regions between the viruses also exchanges neuronal preferences, we infected transgenic mice that constitutively express 2.8 kb of the LAT region with the heterologous viral serotype. Endogenous expression of LAT did not alter the pattern of latent infection after inoculation with the heterologous serotype virus, demonstrating that the LAT region does not act in trans to direct preferential establishment of latency of HSV-1 and HSV-2. Using HSV1-RFP and HSV2-GFP in adult trigeminal ganglion neurons in vitro, we determined that HSV-1 and HSV-2 do not exert trans-acting effects during acute infection to regulate neuron specificity. Although some neurons were productively infected with both HSV-1 and HSV-2, no A5+ or KH10+ neurons were productively infected with both viruses. Thus, trans-acting viral factors do not regulate preferential permissiveness of A5+ and KH10+ neurons for productive HSV infection and preferential establishment of latent infection.

  15. LAT Region Factors Mediating Differential Neuronal Tropism of HSV-1 and HSV-2 Do Not Act in Trans

    PubMed Central

    Bertke, Andrea S.; Apakupakul, Kathleen; Ma, AyeAye; Imai, Yumi; Gussow, Anne M.; Wang, Kening; Cohen, Jeffrey I.; Bloom, David C.; Margolis, Todd P.

    2012-01-01

    After HSV infection, some trigeminal ganglion neurons support productive cycle gene expression, while in other neurons the virus establishes a latent infection. We previously demonstrated that HSV-1 and HSV-2 preferentially establish latent infection in A5+ and KH10+ sensory neurons, respectively, and that exchanging the latency-associated transcript (LAT) between HSV-1 and HSV-2 also exchanges the neuronal preference. Since many viral genes besides the LAT are functionally interchangeable between HSV-1 and HSV-2, we co-infected HSV-1 and HSV-2, both in vivo and in vitro, to determine if trans-acting viral factors regulate whether HSV infection follows a productive or latent pattern of gene expression in sensory neurons. The pattern of HSV-1 and HSV-2 latent infection in trigeminal neurons was no different following co-infection than with either virus alone, consistent with the hypothesis that a trans-acting viral factor is not responsible for the different patterns of latent infection of HSV-1 and HSV-2 in A5+ and KH10+ neurons. Since exchanging the LAT regions between the viruses also exchanges neuronal preferences, we infected transgenic mice that constitutively express 2.8 kb of the LAT region with the heterologous viral serotype. Endogenous expression of LAT did not alter the pattern of latent infection after inoculation with the heterologous serotype virus, demonstrating that the LAT region does not act in trans to direct preferential establishment of latency of HSV-1 and HSV-2. Using HSV1-RFP and HSV2-GFP in adult trigeminal ganglion neurons in vitro, we determined that HSV-1 and HSV-2 do not exert trans-acting effects during acute infection to regulate neuron specificity. Although some neurons were productively infected with both HSV-1 and HSV-2, no A5+ or KH10+ neurons were productively infected with both viruses. Thus, trans-acting viral factors do not regulate preferential permissiveness of A5+ and KH10+ neurons for productive HSV infection and preferential establishment of latent infection. PMID:23300908

  16. 17 CFR 210.8-02 - Annual financial statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Annual financial statements... AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE... ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Article 8 Financial Statements of...

  17. 78 FR 56953 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-16

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange... headquarters building, to hear oral argument in an appeal by Montford and Company, Inc., d/b/a Montford...

  18. 77 FR 4604 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66218; File No. SR-NYSE-2012-01] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish an NYBX Immediate-or-Cancel Order January 24, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4...

  19. [Chronic obstructive pulmonary disease (COPD). Current concepts and new therapeutic options].

    PubMed

    Klemmer, A; Greulich, T; Koczulla, A R; Vogelmeier, C F

    2014-04-01

    Chronic obstructive pulmonary disease (COPD) is a very common chronic disease with increasing prevalence. Inhaled particles and gases (in particular tobacco smoke) induce chronic inflammation of the airways accompanied by a not fully reversible airflow limitation. Destruction of lung tissue and deterioration of gas exchange may follow. In parallel, several comorbidities can be observed. The COPD assessment was revised and now takes into account lung function, the patients' symptoms, and history of exacerbations. More recently, several new long-acting bronchodilators received approval. Combination products, consisting of long-acting β2-agonists and long-acting anticholinergics, and a new combination of a long-acting β-agonist and an inhaled corticosteroid will follow in the near future. Smoking cessation is of central importance.

  20. 77 FR 65431 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-26

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68076; File No. SR-FINRA-2012-047] Self.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder..., Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the...

  1. 77 FR 48572 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67621; File No. SR-FICC-2012-05] Self... Corporation (``FICC'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change SR-FICC-2012-05 pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'').\\1...

  2. 75 FR 75518 - Order Extending Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 in...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-03

    ... things, that transactions in security-based swaps be cleared through a clearing agency that is registered... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63390; File No. S7-17-09] Order Extending Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on...

  3. 78 FR 62842 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... Rule 5270 defines the term ``related financial instrument'' as ``any option, derivative, security-based... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70625; File No. SR-EDGA-2013-29] Self...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...

  4. 78 FR 78424 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    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...

  5. 76 FR 80430 - Rio Tinto plc and Rio Tinto Limited; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-23

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29889; 812-13777] Rio Tinto plc and Rio Tinto Limited; Notice of Application December 19, 2011. AGENCY: Securities and Exchange... Company Act of 1940 (the ``Act''). SUMMARY: Summary of Application: Rio Tinto plc (``RTP'') and Rio Tinto...

  6. 75 FR 6231 - Securities Act of 1933; Securities Exchange Act of 1934; Order Regarding Review of FASB...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-08

    ... Financial Accounting Standards Board (``FASB'') and its parent organization, the Financial Accounting... recognizing the FASB's financial accounting and reporting standards as ``generally accepted'' under Section...; Securities Exchange Act of 1934; Order Regarding Review of FASB Accounting Support Fee for 2010 Under Section...

  7. 75 FR 18247 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-09

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on April 14, 2010 at 10 a.m., in the Auditorium, Room L-002. [[Page...

  8. 76 FR 67233 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-31

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on November 2, 2011 at 9 a.m., in the Auditorium, Room L-002, to hear...

  9. 75 FR 30078 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-28

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold a market structure roundtable on Wednesday, June 2, 2010 at 9:30 a.m., in the Auditorium...

  10. 78 FR 20960 - Sunshine Act Meetings

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-08

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, April 10, 2013 at 10:00 a.m., in the Auditorium, Room L...

  11. 77 FR 40922 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-11

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on July 11, 2012 at 10 a.m., in the Auditorium, Room L-002. The subject...

  12. 78 FR 63528 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-24

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, October 23, 2013 at 10:00 a.m., in the Auditorium, Room L...

  13. 76 FR 63333 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-12

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, October 12, 2011 at 10 a.m., in the Auditorium, Room L-002...

  14. 78 FR 25495 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-01

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, May 1, 2013 at 10:00 a.m., in the Auditorium, Room L-002...

  15. 75 FR 39593 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-09

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on July 14, 2010 at 10 a.m., in the Auditorium, Room L-002. The...

  16. 76 FR 3182 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-19

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on January 20, 2011 at 10 a.m., in the Auditorium, Room L-002. The...

  17. 76 FR 57772 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-16

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on September 19, 2011 at 10 a.m., in the Auditorium, Room L-002. The...

  18. 77 FR 51073 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-23

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on August 29, 2012 at 10 a.m., in the Auditorium, Room L-002. The...

  19. 78 FR 57422 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-18

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, September 18, 2013 at 10:00 a.m., in the Auditorium, Room...

  20. 75 FR 55835 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-14

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on September 17, 2010 at 10 a.m., in the Auditorium, Room L-002. The...

  1. 75 FR 33374 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-11

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on June 16, 2010 at 10 a.m., in the Auditorium, Room L-002. The subject...

  2. 76 FR 37382 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-27

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on June 29, 2011 at 10 a.m., in the Auditorium, Room L-002. The subject...

  3. 75 FR 75187 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-02

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on December 3, 2010 at 10 a.m., in the Auditorium, Room L-002. The...

  4. 76 FR 65758 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-24

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, October 26, 2011 at 10 a.m., in the Auditorium, Room L-002...

  5. 75 FR 8416 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-24

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on February 24, 2010 at 10 a.m., in the Auditorium, Room L-002...

  6. 77 FR 63902 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-17

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, October 17, 2012 at 10:00 a.m., in the Auditorium, Room L...

  7. 76 FR 22939 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-25

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on April 27, 2011 at 10 a.m., in the Auditorium, Room L-002. The subject...

  8. 77 FR 23521 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-19

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, April 18, 2012 at 10 a.m., in the Auditorium, Room L-002...

  9. 76 FR 28247 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-16

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on May 18, 2011 at 10 a.m., in the Auditorium, Room L-002. The subject...

  10. 77 FR 1095 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-09

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, January 11, 2012 at 10 a.m., in the Auditorium, Room L-002...

  11. 78 FR 33134 - Sunshine Act Meetings

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-03

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, June 5, 2013 at 10:00 a.m., in the Auditorium, Room L-002...

  12. 75 FR 51854 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-23

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on August 25, 2010 at 10 a.m., in the Auditorium, Room L-002. The...

  13. 76 FR 6499 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-04

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on February 9, 2011 at 10 a.m., in the Auditorium, Room L-002. The...

  14. 17 CFR 210.8-08 - Age of financial statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Age of financial statements... AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE... ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Article 8 Financial Statements of...

  15. 78 FR 76662 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-18

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange... rules and forms related to the offer and sale of securities pursuant to Section 3(b) of the Securities...

  16. 75 FR 5814 - ShariahShares Exchange-Traded Fund Trust, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-04

    ... have aggregate investment characteristics, fundamental characteristics, and liquidity measures similar... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29127; 812-13559] Shariah... the Investment Company Act of 1940 (the ``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22...

  17. 17 CFR 240.17Ad-15 - Signature guarantees.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Securities Exchange Act of 1934 Supervised Investment Bank Holding Company Rules § 240.17Ad-15 Signature... Securities Exchange Act of 1934; (2) Eligible Guarantor Institution means: (i) Banks (as that term is defined... the transfer agent maintains a list of people authorized to act on behalf of that guarantor...

  18. 17 CFR 42.2 - Compliance with Bank Secrecy Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Compliance with Bank Secrecy Act. 42.2 Section 42.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION ANTI-MONEY LAUNDERING, TERRORIST FINANCING General Provisions § 42.2 Compliance with Bank Secrecy Act. Every...

  19. Gene transfer agents: phage-like elements of genetic exchange

    PubMed Central

    Lang, Andrew S.; Zhaxybayeva, Olga; Beatty, J. Thomas

    2013-01-01

    Horizontal gene transfer is important in the evolution of bacterial and archaeal genomes. An interesting genetic exchange process is carried out by diverse phage-like gene transfer agents (GTAs) that are found in a wide range of prokaryotes. Although GTAs resemble phages, they lack the hallmark capabilities that define typical phages, and they package random pieces of the producing cell’s genome. In this Review, we discuss the defining characteristics of the GTAs that have been identified to date, along with potential functions for these agents and the possible evolutionary forces that act on the genes involved in their production. PMID:22683880

  20. Interactivite, relations entre interlocuteurs et constitution d'unites conversationnelles (Interaction Processes, Participants' Relationships and Definition of Conversation Units).

    ERIC Educational Resources Information Center

    Zenone, Anna

    1981-01-01

    Analyzes a type of conversational exchange where the participants focus on a given subject or theme contributing personal views to the discussion. Characterizes the relationship among the participants as a "cooperative conflict," examining the internal structure of speech acts and their illocutory functions, particularly the initiatory…

  1. 77 FR 70213 - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-23

    ...In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), the Securities and Exchange Commission (``Commission''), pursuant to the Securities Exchange Act of 1934 (``Exchange Act''), is proposing capital and margin requirements for security-based swap dealers (``SBSDs'') and major security-based swap participants (``MSBSPs''), segregation requirements for SBSDs, and notification requirements with respect to segregation for SBSDs and MSBSPs. The Commission also is proposing to increase the minimum net capital requirements for broker-dealers permitted to use the alternative internal model-based method for computing net capital (``ANC broker-dealers'').

  2. 75 FR 39069 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-07

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62416; File No. SR-FINRA-2010-033] Self.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder.... (``FINRA'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as...

  3. 77 FR 70866 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68267; File No. SR-Phlx-2012-133] Self...) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby... Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II...

  4. 76 FR 70198 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-10

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65690; File No. SR-CBOE-2011-103] Self... Effectiveness of a Proposed Rule Change To Clarify the Process for the Qualification of the Customer Large Trade Discount November 4, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act...

  5. 17 CFR 1.9 - Regulation of mixed swaps.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Regulation of mixed swaps. 1.9... UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.9 Regulation of mixed swaps. (a) In general. The term mixed swap has the meaning set forth in section 1a(47)(D) of the Commodity Exchange Act. (b) Regulation...

  6. 17 CFR 1.9 - Regulation of mixed swaps.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Regulation of mixed swaps. 1.9... UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.9 Regulation of mixed swaps. (a) In general. The term mixed swap has the meaning set forth in section 1a(47)(D) of the Commodity Exchange Act. (b) Regulation...

  7. 77 FR 22372 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-13

    ... Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of... Organizations April 9, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of Terms of Substance of the...

  8. 78 FR 70992 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change to...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70910; File No. SR-NYSEMKT-2013-91] Self... the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is hereby... and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II below...

  9. 78 FR 56967 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70358; File No. SR-FINRA-2013-031] Self...'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend...

  10. 78 FR 69728 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70876; File No. SR-FINRA-2013-048] Self... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on... and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II, and III...

  11. 77 FR 70500 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-26

    ... account in which a Member acting as a registered Market Maker, directly or indirectly, controls trading... the Exchange, or any act, condition, or cause beyond the reasonable control of the Exchange or its... FINRA members applicable to inverse, leveraged, and inverse leveraged securities and options on such...

  12. 78 FR 19059 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-28

    ... Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2... rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit [[Page 19060

  13. 76 FR 73753 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65806; File No. SR-NYSEArca-2011-88] Self.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder... Arca'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as...

  14. 75 FR 18248 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-09

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61831; File No. SR-NYSEArca-2010-20] Self... Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2... with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described...

  15. 76 FR 73750 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65805; File No. SR-NYSEAmex-2011-89] Self... to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2...'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described...

  16. 75 FR 66426 - Determination of Foreign Exchange Swaps and Forwards

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-28

    ... Commodity Exchange Act (``CEA''), as amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer... Act in violation of any rule promulgated by the Commodity Futures Trading Commission (``CFTC'').\\6\\ \\2...) an exchange of 2 different currencies on a specific date at a fixed rate that is agreed upon on the...

  17. 76 FR 27707 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64424; File No. SR-FINRA-2011-023] Self... the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given... Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items...

  18. 76 FR 11829 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-03

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63960; File No. SR-FINRA-2011-008] Self... Public Quotation in an OTC Equity Security February 24, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given...

  19. 77 FR 2592 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66134; File No. SR-NYSE-2011-68] Self... Proposed Rule Change Amending NYSE Rule 80C, Which Provides for Trading Pauses in Individual Securities Due... January 11, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1...

  20. 78 FR 1290 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68561; File No. SR-NYSEMKT-2012-86] Self... Market (``Nasdaq'') Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges January 2, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act...

  1. 78 FR 62855 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... option, derivative, security-based swap, or other financial instrument overlying a security, the value of... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70626; File No. SR-EDGX-2013-36] Self...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...

  2. 77 FR 3527 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-24

    ... order management systems which permit them to share information about orders or transactions being... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66177; File No. SR-CHX-2012-02] Self-Regulatory.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...

  3. 75 FR 22874 - Claymore Exchange-Traded Fund Trust 3, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-30

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29256; File No. 812-13534... the Investment Company Act of 1940 (``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22(d... management investment companies to issue shares (``Shares'') redeemable in large aggregations only...

  4. 76 FR 58319 - Order Granting Temporary Exemption of Kroll Bond Rating Agency, Inc. From the Conflict of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-20

    ... Exchange Act of 1934 (``Exchange Act'') prohibits a nationally recognized statistical rating organization... traditionally has operated mainly under the ``subscriber-paid'' business model, in which the NRSRO derives its... Act'') as set forth in the Report of the Senate Committee on Banking, Housing, and Urban Affairs...

  5. 78 FR 79519 - IndexIQ ETF Trust, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-30

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30844; 812-14153] IndexIQ ETF Trust, et al.; Notice of Application December 23, 2013. AGENCY: Securities and Exchange Commission... Company Act of 1940 (the ``1940 Act'') for exemptions from sections 12(d)(1)(A), (B), and (C) of the 1940...

  6. 78 FR 33233 - Patient Protection and Affordable Care Act; Establishment of Exchanges and Qualified Health Plans...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-04

    ... would affect the ability of employers to offer stand-alone pediatric dental coverage in the FF- SHOP... Patient Protection and Affordable Care Act; Establishment of Exchanges and Qualified Health Plans; Small... rule. SUMMARY: This final rule implements provisions of the Patient Protection and Affordable Care Act...

  7. 17 CFR 229.1007 - (Item 1007) Source and amount of funds or other consideration.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Mergers and.... Disclose any alternative financing arrangements or alternative financing plans in the event the primary...

  8. 17 CFR 229.1007 - (Item 1007) Source and amount of funds or other consideration.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Mergers and.... Disclose any alternative financing arrangements or alternative financing plans in the event the primary...

  9. 17 CFR 229.1007 - (Item 1007) Source and amount of funds or other consideration.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Mergers and.... Disclose any alternative financing arrangements or alternative financing plans in the event the primary...

  10. 17 CFR 229.1007 - (Item 1007) Source and amount of funds or other consideration.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Mergers and.... Disclose any alternative financing arrangements or alternative financing plans in the event the primary...

  11. 78 FR 48729 - Aspiriant Global Equity Trust and Aspiriant, LLC; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-09

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30640; File No. 812-14155] Aspiriant Global Equity Trust and Aspiriant, LLC; Notice of Application August 5, 2013. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application under section 6(c) of the Investment Company Act of 1940 (``Act'')...

  12. 78 FR 22580 - Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-16

    ... security for inclusion in the Fund's portfolio to have aggregate investment characteristics, fundamental... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30459; File No. 812-13887... an order under section 6(c) of the Investment Company Act of 1940 (the ``Act'') for an exemption from...

  13. 78 FR 2700 - First Trust Exchange-Traded Fund, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-14

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30345; File No. 812-13895...)(J) of the Investment Company Act of 1940 (the ``1940 Act'') for exemptions from sections 12(d)(1)(A... certain registered open-end management investment companies that operate as ``funds of funds'' to acquire...

  14. 77 FR 60484 - PowerShares Exchange-Traded Fund Trust, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-03

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30222; 812-13820] Power... 12(d)(1)(J) of the Investment Company Act of 1940 (the ``Act'') for exemptions from sections 12(d)(1... certain registered open-end management investment companies that operate as ``funds of funds'' to acquire...

  15. 76 FR 55427 - Horizon Technology Finance Corporation, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-07

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29777; 812-13876] Horizon Technology Finance Corporation, et al.; Notice of Application August 31, 2011. AGENCY: Securities and Exchange Commission (Commission). ACTION: Notice of an application for an order under section 6(c) of the Investment Company Act of 1940 (the ``Act'...

  16. Spatial variation in sediment-water exchange of phosphorus in Florida Bay: AMP as a model organic compound.

    PubMed

    Huang, Xiao-Lan; Zhang, Jia-Zhong

    2010-10-15

    Dissolved organic phosphorus (DOP) has been recognized as dominant components in total dissolved phosphorus (TDP) pools in many coastal waters, and its exchange between sediment and water is an important process in biogeochemical cycle of phosphorus. Adenosine monophosphate (AMP) was employed as a model DOP compound to simulate phosphorus exchange across sediment-water interface in Florida Bay. The sorption data from 40 stations were fitted to a modified Freundlich equation and provided a detailed spatial distribution both of the sediment's zero equilibrium phosphorus concentration (EPC(0-T)) and of the distribution coefficient (K(d-T)) with respect to TDP. The K(d-T) was found to be a function of the index of phosphorus saturation (IPS), a molar ratio of the surface reactive phosphorus to the surface reactive iron oxide content in the sediment, across the entire bay. However, the EPC(0-T) was found to correlate to the contents of phosphorus in the eastern bay only. Sediment in the western bay might act as a source of the phosphorus in the exchange process due to their high EPC(0-T) and low K(d-T), whereas sediments in the eastern bay might act as a sink because of their low EPC(0-T) and high K(d-T). These results strongly support the hypothesis that both phosphorus and iron species in calcareous marine sediments play a critical role in governing the sediment-water exchange of both phosphate and DOP in the coastal and estuarine ecosystems.

  17. 77 FR 48207 - Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-13

    ...In accordance with section 712(a)(8), section 712(d)(1), sections 712(d)(2)(B) and (C), sections 721(b) and (c), and section 761(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), the Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, ``Commissions''), in consultation with the Board of Governors of the Federal Reserve System (``Board''), are jointly adopting new rules and interpretations under the Commodity Exchange Act (``CEA'') and the Securities Exchange Act of 1934 (``Exchange Act'') to further define the terms ``swap,'' ``security-based swap,'' and ``security-based swap agreement'' (collectively, ``Product Definitions''); regarding ``mixed swaps;'' and governing books and records with respect to ``security-based swap agreements.'' The CFTC requests comment on its interpretation concerning forwards with embedded volumetric optionality, contained in Section II.B.2.(b)(ii) of this release.

  18. 10 CFR 1050.102 - Applicability.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... Department of Energy Organization Act (42 U.S.C. 7262), except as set forth in § 1050.202(d) of this part... employees in foreign cultural exchange programs pursuant to the Mutual Educational and Cultural Exchange Act...

  19. 75 FR 37868 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62369; File No. SR-NYSEArca-2010-59] Self... 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that, on June 17, 2010, NYSE Arca, Inc. (``NYSE Arca'' or the ``Exchange'') filed with the...

  20. 75 FR 37870 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62370; File No. SR-NYSEAmex-2010-62] Self... 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 June 17, 2010, NYSE Amex LLC (``NYSE Amex'' or the ``Exchange'') filed with...

  1. 78 FR 14390 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-05

    ... Effectiveness of a Proposed Rule Change To Amend the Fees Schedule February 27, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is... ``CBOE'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change...

  2. 78 FR 14392 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-05

    ... Rule Change To Amend the Fees Schedule February 27, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that... Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I, II...

  3. 75 FR 3950 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-25

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61368; File No. SR-ISE-2009-87] Self-Regulatory... Exchange Act Release No. 61024 (November 18, 2009), 74 FR 61395 (November 24, 2009). II. Description of the...(b)(2) of the Act,\\7\\ that the proposed rule change (SR-ISE-2009-87) be, and hereby is, approved. \\7...

  4. 75 FR 36144 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-24

    ....g., Section 7 of the Amended and Restated By-Laws of BATS Exchange, Inc. and Section 7 of the... Delaware stock corporation that would be a wholly-owned subsidiary of CBOE Holdings, Inc. (``CBOE Holdings... Act \\6\\ in general, and furthers the objectives of Section 6(b)(1) of the Exchange Act,\\7\\ in...

  5. 77 FR 26813 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-07

    ... Effectiveness of a Proposed Rule Change To Amend the Fees Schedule May 1, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby... ``CBOE'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as...

  6. 77 FR 67701 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-13

    ... Effectiveness of a Proposed Rule Change To Amend the Fees Schedule November 6, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is... ``CBOE'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change...

  7. 78 FR 26826 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change for...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69498; File No. SR-Phlx-2013-42] Self... Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is hereby given that, on April 23, 2013, NASDAQ OMX PHLX LLC (the ``Exchange'' or ``Phlx'') filed with the Securities and...

  8. 78 FR 42135 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69952; File No. SR-NYSEMKT-2013-61] Self... Stock Market Securities Traded on the Exchange Pursuant to A Grant of Unlisted Trading Privileges July 9, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4...

  9. 76 FR 39963 - Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-07

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64796; File No. S7-28-11] Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions From Clearing Agency... Services for Security-Based Swaps July 1, 2011. I. Introduction Title VII of the Dodd-Frank Wall Street...

  10. 75 FR 47049 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    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...

  11. 76 FR 42150 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-18

    ... to make certain changes to their trading and order management systems, the NYSE filed to delay to May... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64860; File No. SR-NYSE-2011-32] Self..., 2011 July 12, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act...

  12. 77 FR 72581 - Patient Protection and Affordable Care Act; Establishment of the Multi-State Plan Program for the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-05

    ... least two multi-State plans (MSPs) on each of the Affordable Insurance Exchanges (Exchanges). Under the... issuers to offer at least two multi-State plans (MSPs) on each of the Exchanges in the 50 States and the... Patient Protection and Affordable Care Act; Establishment of the Multi- State Plan Program for the...

  13. 78 FR 79511 - IndexIQ ETF Trust, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-30

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30843; File No. 812-14053] IndexIQ ETF Trust, et al.; Notice of Application December 23, 2013. AGENCY: Securities and Exchange... Investment Company Act of 1940 (the ``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22(d), and 22...

  14. 75 FR 1090 - Sunshine Act Meeting Notice

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-08

    ... SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on January 13, 2010 at 10 a.m., in the Auditorium, Room L-002. The subject matter of the Open Meeting wil...

  15. 75 FR 75502 - Order Extending and Modifying Temporary Exemptions Under the Securities Exchange Act of 1934 in...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-03

    ... members for customer clearing and may introduce related changes to its rules. See Part II.G, infra... by ICE Trust (including clearing of customer CDS transactions); and the temporary conditional... Exchange Act, providing Securities Act Rule 144A(d)(4) information, or about which financial information is...

  16. 17 CFR 170.10 - Proficiency examinations (sections 4p and 17(p) of the Act).

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Proficiency examinations (sections 4p and 17(p) of the Act). 170.10 Section 170.10 Commodity and Securities Exchanges COMMODITY... examinations (sections 4p and 17(p) of the Act). A futures association may prescribe different training...

  17. 17 CFR 170.10 - Proficiency examinations (sections 4p and 17(p) of the Act).

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Proficiency examinations (sections 4p and 17(p) of the Act). 170.10 Section 170.10 Commodity and Securities Exchanges COMMODITY... examinations (sections 4p and 17(p) of the Act). A futures association may prescribe different training...

  18. 17 CFR 170.10 - Proficiency examinations (sections 4p and 17(p) of the Act).

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Proficiency examinations (sections 4p and 17(p) of the Act). 170.10 Section 170.10 Commodity and Securities Exchanges COMMODITY... examinations (sections 4p and 17(p) of the Act). A futures association may prescribe different training...

  19. 17 CFR 170.10 - Proficiency examinations (sections 4p and 17(p) of the Act).

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false Proficiency examinations (sections 4p and 17(p) of the Act). 170.10 Section 170.10 Commodity and Securities Exchanges COMMODITY... Proficiency examinations (sections 4p and 17(p) of the Act). A futures association may prescribe different...

  20. 17 CFR 170.10 - Proficiency examinations (sections 4p and 17(p) of the Act).

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Proficiency examinations (sections 4p and 17(p) of the Act). 170.10 Section 170.10 Commodity and Securities Exchanges COMMODITY... examinations (sections 4p and 17(p) of the Act). A futures association may prescribe different training...

  1. 75 FR 71744 - Fifth Street Finance Corp., et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-24

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29500; 812-13698] Fifth Street Finance Corp., et al.; Notice of Application November 18, 2010. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application for an order under section 6(c) of the Investment Company Act of 1940 (the ``Act'') for...

  2. Patient Protection and Affordable Care Act; annual eligibility redeterminations for exchange participation and insurance affordability programs; health insurance issuer standards under the Affordable Care Act, including standards related to exchanges. Final rule.

    PubMed

    2014-09-05

    This final rule specifies additional options for annual eligibility redeterminations and renewal and re-enrollment notice requirements for qualified health plans offered through the Exchange, beginning with annual redeterminations for coverage for benefit year 2015. This final rule provides additional flexibility for Exchanges, including the ability to propose unique approaches that meet the specific needs of their state, while streamlining the consumer experience.

  3. 40 CFR 796.3500 - Hydrolysis as a function of pH at 25 °C.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ...) TOXIC SUBSTANCES CONTROL ACT (CONTINUED) CHEMICAL FATE TESTING GUIDELINES Transformation Processes § 796...) in water in which the X group is lost. These reactions generally follow the same type of rate laws... elements of water (H2O). This type of transformation often results in the net exchange of a group X, on an...

  4. 31 CFR 515.325 - National securities exchange.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 31 Money and Finance: Treasury 3 2010-07-01 2010-07-01 false National securities exchange. 515.325... Definitions § 515.325 National securities exchange. The term national securities exchange shall mean an exchange registered as a national securities exchange under section 6 of the Securities Exchange Act of...

  5. 31 CFR 500.325 - National securities exchange.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 31 Money and Finance: Treasury 3 2010-07-01 2010-07-01 false National securities exchange. 500.325... Definitions § 500.325 National securities exchange. The term national securities exchange shall mean an exchange registered as a national securities exchange under section 6 of the Securities Exchange Act of...

  6. Transport proteins NHA1 and NHA2 are essential for survival, but have distinct transport modalities.

    PubMed

    Chintapalli, Venkateswara R; Kato, Akira; Henderson, Louise; Hirata, Taku; Woods, Debra J; Overend, Gayle; Davies, Shireen A; Romero, Michael F; Dow, Julian A T

    2015-09-15

    The cation/proton antiporter (CPA) family includes the well-known sodium/proton exchanger (NHE; SLC9A) family of Na(+)/H(+) exchangers, and the more recently discovered and less well understood CPA2s (SLC9B), found widely in living organisms. In Drosophila, as in humans, they are represented by two genes, Nha1 (Slc9b1) and Nha2 (Slc9b2), which are enriched and functionally significant in renal tubules. The importance of their role in organismal survival has not been investigated in animals, however. Here we show that single RNAi knockdowns of either Nha1 or Nha2 reduce survival and in combination are lethal. Knockdown of either gene alone results in up-regulation of the other, suggesting functional complementation of the two genes. Under salt stress, knockdown of either gene decreases survival, demonstrating a key role for the CPA2 family in ion homeostasis. This is specific to Na(+) stress; survival on K(+) intoxication is not affected by sodium/hydrogen antiporter (NHA) knockdown. A direct functional assay in Xenopus oocytes shows that Nha2 acts as a Na(+)/H(+) exchanger. In contrast, Nha1 expressed in Xenopus oocytes shows strong Cl(-) conductance and acts as a H(+)-Cl(-) cotransporter. The activity of Nha1 is inhibited by chloride-binding competitors 4,4'-diiso-thiocyano-2,2'-disulfonic acid stilbene and 4,4'-dibenzamido-2,2'-stilbenedisulphonate. Salt stress induces a massive up-regulation of NHA gene expression not in the major osmoregulatory tissues of the alimentary canal, but in the crop, cuticle, and associated tissues. Thus, it is necessary to revise the classical view of the coordination of different tissues in the coordination of the response to osmoregulatory stress.

  7. Small increases to employer premiums could shift millions of people to the exchanges and add billions to federal outlays.

    PubMed

    Austin, Daniel R; Luan, Anna; Wang, Louise L; Bhattacharya, Jay

    2013-09-01

    The Affordable Care Act will expand insurance coverage to more than twenty-five million Americans, partly through subsidized private insurance available from newly created health insurance exchanges for people with incomes of 133-400 percent of the federal poverty level. The act will alter the financial incentive structure for employers and influence their decisions on whether or not to offer their employees coverage. These decisions, in turn, will affect federal outlays and revenues through several mechanisms. We model the sensitivity of federal costs for the insurance exchange coverage provision of the Affordable Care Act using the nationally representative Medical Expenditure Panel Survey data set. We assess revenues and subsidy outlays for premiums and cost sharing for individuals purchasing private insurance through exchanges. Our findings show that changing theoretical premium contribution levels by just $100 could induce 2.25 million individuals to transition to exchanges and increase federal outlays by $6.7 billion. Policy makers and analysts should pay especially careful attention to participation rates as the act's implementation continues.

  8. 78 FR 62838 - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... SPDR S&P 500 Exchange Traded Fund (``SPY'') and the iShares Russell 2000 Index Fund (``IWM''), is $0.01... $3 per contract or greater. QQQQ, SPY and IWM are traded in $0.01 increments for all options series... Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that...

  9. 78 FR 14386 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-05

    ... Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule February 27, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...'') the proposed rule change as described in Items I, II, and III below, which Items have been prepared by...

  10. 17 CFR 239.500 - Form D, notice of sales of securities under Regulation D and section 4(5) of the Securities Act...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Form D, notice of sales of... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 Forms Pertaining to Exemptions § 239.500 Form D, notice of sales of securities under...

  11. 17 CFR 239.500 - Form D, notice of sales of securities under Regulation D and section 4(6) of the Securities Act...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Form D, notice of sales of... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 Forms Pertaining to Exemptions § 239.500 Form D, notice of sales of securities under...

  12. 17 CFR 239.500 - Form D, notice of sales of securities under Regulation D and section 4(6) of the Securities Act...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Form D, notice of sales of... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 Forms Pertaining to Exemptions § 239.500 Form D, notice of sales of securities under...

  13. 17 CFR 239.500 - Form D, notice of sales of securities under Regulation D and section 4(5) of the Securities Act...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Form D, notice of sales of... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 Forms Pertaining to Exemptions § 239.500 Form D, notice of sales of securities under...

  14. 78 FR 45590 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-29

    ... $0.38 per contract and $0.55 per contract, respectively. For Mini Options, the Exchange proposes to... Rule Change To Amend the Schedule of Fees July 23, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on July 11...

  15. 77 FR 67850 - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-14

    ... Rule Change To Amend the Fees Schedule November 7, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on October... and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I, II, and...

  16. 78 FR 20988 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-08

    ...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the... submission of a proposed rule change to adopt transaction fees for Mini Options.'' \\4\\ The Exchange is...

  17. 78 FR 51823 - Financial Responsibility Rules for Broker-Dealers

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-21

    ...The Securities and Exchange Commission (``Commission'') is adopting amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers promulgated under the Securities Exchange Act of 1934 (``Exchange Act''). These amendments are designed to address several areas of concern regarding the financial responsibility requirements for broker-dealers. The amendments also update certain financial responsibility requirements and make certain technical amendments.

  18. 75 FR 17816 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-07

    ... Stock Exchange LLC Amending NYSE Rule 1 To Provide for the Designation of Qualified Employees and NYSE... qualified employees to act in place of any person named in a rule as having authority to act under such rule... 1 to provide that the Exchange may formally designate one or more qualified employees to act in...

  19. 75 FR 24612 - Order Finding That the Zone 6-NY Financial Basis Contract Traded on the IntercontinentalExchange...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-05

    ... (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a... (``Reauthorization Act'') \\2\\ significantly broadened the CFTC's regulatory authority with respect to ECMs by creating, in section 2(h)(7) of the CEA, a new regulatory category--ECMs on which significant price...

  20. 75 FR 24592 - Order Finding that the TETCO-M3 Financial Basis Contract Traded on the IntercontinentalExchange...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-05

    ... (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a... (``Reauthorization Act'') \\2\\ significantly broadened the CFTC's regulatory authority with respect to ECMs by creating, in section 2(h)(7) of the CEA, a new regulatory category--ECMs on which significant price...

  1. 17 CFR 210.3-12 - Age of financial statements at effective date of registration statement or at mailing date of...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Age of financial statements at... FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY... POLICY AND CONSERVATION ACT OF 1975 General Instructions As to Financial Statements § 210.3-12 Age of...

  2. 78 FR 60969 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-02

    ... Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act (the ``Limit Up-Limit Down... operating the Limit Up-Limit Down Plan. \\5\\ See Securities Exchange Act Release No. 62886 (September 10... Act Release No. 67091 (May 31, 2012), 77 FR 33498 (June 6, 2012) (the ``Limit Up-Limit Down Release...

  3. 76 FR 49698 - Covered Securities Pursuant to Section 18 of the Securities Act of 1933

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-11

    ... [Release No. 33-9251; File No. S7-31-11] RIN 3235-AL20 Covered Securities Pursuant to Section 18 of the... under Section 18 of the Securities Act of 1933 (``Securities Act''), as amended, to designate certain securities on BATS Exchange, Inc. (``BATS'' or ``Exchange'') as covered securities for purposes of Section 18...

  4. Health insurance exchanges under the Patient Protection and Affordable Care Act: regulatory and design challenges.

    PubMed

    Hoffmann, Stephanie M

    2012-12-01

    Under the Patient Protection and Affordable Care Act, all states are required to establish health insurance exchanges, marketplaces where individuals and small businesses can purchase health care coverage. In establishing these exchanges, states must address a range of regulatory and design issues to ensure that their exchanges are sustainable and meet the needs of their populations. The issues include the degree of federal involvement in the management of the exchanges, the overall structure and governance of the exchanges, the requirements for insurance plans to be offered on the exchanges, and the design of the exchanges themselves. Each of these issues will play a crucial role in determining the quality of coverage offered to consumers and how effectively they can access that coverage. Copyright © 2012 American College of Radiology. Published by Elsevier Inc. All rights reserved.

  5. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  6. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  7. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  8. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  9. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  10. 17 CFR 240.3a69-2 - Definition of “swap” as used in section 3(a)(69) of the Act-additional products.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ...)(1) of this section that is otherwise excluded by section 1a(47)(B) of the Commodity Exchange Act (7 U.S.C. 1a(47)(B)). (c) Foreign exchange forwards and foreign exchange swaps. Notwithstanding.... 78c(a)(69)). (b) Inclusion of particular products. (1) The term swap includes, without limiting the...

  11. 17 CFR 240.3a69-2 - Definition of “swap” as used in section 3(a)(69) of the Act-additional products.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ...)(1) of this section that is otherwise excluded by section 1a(47)(B) of the Commodity Exchange Act (7 U.S.C. 1a(47)(B)). (c) Foreign exchange forwards and foreign exchange swaps. Notwithstanding.... 78c(a)(69)). (b) Inclusion of particular products. (1) The term swap includes, without limiting the...

  12. Epigenetics: the language of the cell?

    PubMed

    Huang, Biao; Jiang, Cizhong; Zhang, Rongxin

    2014-02-01

    Epigenetics is one of the most rapidly developing fields of biological research. Breakthroughs in several technologies have enabled the possibility of genome-wide epigenetic research, for example the mapping of human genome-wide DNA methylation. In addition, with the development of various high-throughput and high-resolution sequencing technologies, a large number of functional noncoding RNAs have been identified. Massive studies indicated that these functional ncRNA also play an important role in epigenetics. In this review, we gain inspiration from the recent proposal of the ceRNAs hypothesis. This hypothesis proposes that miRNAs act as a language of communication. Accordingly, we further deduce that all of epigenetics may functionally acquire such a unique language characteristic. In summary, various epigenetic markers may not only participate in regulating cellular processes, but they may also act as the intracellular 'language' of communication and are involved in extensive information exchanges within cell.

  13. The Experiences of State-Run Insurance Marketplaces That Use HealthCare.gov.

    PubMed

    Giovannelli, Justin; Lucia, Kevin

    2015-09-01

    States have flexibility in implementing the Affordable Care Act's health insurance marketplaces and may choose to become more (or less) involved in marketplace operations over time. Interest in new implementation approaches has increased as states seek to ensure the long-term financial stability of their exchanges and exercise local control over marketplace oversight. This brief explores the experiences of four states--Idaho, Nevada, New Mexico, and Oregon--that established their own exchanges but have operated them with support from the federal HealthCare.gov eligibility and enrollment platform. Drawing on discussions with policymakers, insurers, and brokers, we examine how these supported state-run marketplaces perform their key functions. We find that this model may offer states the ability to maximize their influence over their insurance markets, while limiting the financial risk of running an exchange.

  14. 77 FR 58437 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-20

    ... Rule Change and Amendments Nos. 1, 2, 3 and 4 Thereto, To Require Members To Provide Customers in TRACE...) of the Securities Exchange Act of 1934 (``Exchange Act'' or ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2... Amendment No. 4 on August 21, 2007. The proposed rule change, as modified by Amendments 1, 2, 3 and 4, was...

  15. 77 FR 14839 - Harris & Harris Group, Inc.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-13

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29976; 812-13313] Harris & Harris Group, Inc.; Notice of Application March 7, 2012. AGENCY: Securities and Exchange Commission... from section 23(c) of the Act. SUMMARY OF THE APPLICATION: Harris & Harris Group, Inc. (``Applicant...

  16. 77 FR 6156 - Rand Capital Corporation, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-07

    ... venture capital investments in small, early-stage and developing enterprises. Rand's principal objective... Capital Corporation, et al.; Notice of Application February 1, 2012. AGENCY: Securities and Exchange... Act'') granting an exemption from section 13(a) of the Exchange Act. Applicants: Rand Capital...

  17. Patient Protection and Affordable Care Act; establishment of the multi-state plan program for the Affordable Insurance Exchanges.

    PubMed

    2013-03-11

    The U.S. Office of Personnel Management (OPM) is issuing a final regulation establishing the Multi-State Plan Program (MSPP) pursuant to the Patient Protection and Affordable Care Act, as amended by the Health Care and Education Reconciliation Act of 2010, referred to collectively as the Affordable Care Act. Through contracts with OPM, health insurance issuers will offer at least two multi-State plans (MSPs) on each of the Affordable Insurance Exchanges (Exchanges). One of the issuers must be non-profit. Under the law, an MSPP issuer may phase in the States in which it offers coverage over 4 years, but it must offer MSPs on Exchanges in all States and the District of Columbia by the fourth year in which the MSPP issuer participates in the MSPP. This rule aims to balance adhering to the statutory goals of MSPP while aligning its standards to those applying to qualified health plans to promote a level playing field across health plans.

  18. Analysis of Parent, Teacher, and Consultant Speech Exchanges and Educational Outcomes of Students With Autism During COMPASS Consultation.

    PubMed

    Ruble, Lisa; Birdwhistell, Jessie; Toland, Michael D; McGrew, John H

    2011-01-01

    The significant increase in the numbers of students with autism combined with the need for better trained teachers (National Research Council, 2001) call for research on the effectiveness of alternative methods, such as consultation, that have the potential to improve service delivery. Data from 2 randomized controlled single-blind trials indicate that an autism-specific consultation planning framework known as the collaborative model for promoting competence and success (COMPASS) is effective in increasing child Individual Education Programs (IEP) outcomes (Ruble, Dal-rymple, & McGrew, 2010; Ruble, McGrew, & Toland, 2011). In this study, we describe the verbal interactions, defined as speech acts and speech act exchanges that take place during COMPASS consultation, and examine the associations between speech exchanges and child outcomes. We applied the Psychosocial Processes Coding Scheme (Leaper, 1991) to code speech acts. Speech act exchanges were overwhelmingly affiliative, failed to show statistically significant relationships with child IEP outcomes and teacher adherence, but did correlate positively with IEP quality.

  19. Analysis of Parent, Teacher, and Consultant Speech Exchanges and Educational Outcomes of Students With Autism During COMPASS Consultation

    PubMed Central

    RUBLE, LISA; BIRDWHISTELL, JESSIE; TOLAND, MICHAEL D.; MCGREW, JOHN H.

    2011-01-01

    The significant increase in the numbers of students with autism combined with the need for better trained teachers (National Research Council, 2001) call for research on the effectiveness of alternative methods, such as consultation, that have the potential to improve service delivery. Data from 2 randomized controlled single-blind trials indicate that an autism-specific consultation planning framework known as the collaborative model for promoting competence and success (COMPASS) is effective in increasing child Individual Education Programs (IEP) outcomes (Ruble, Dal-rymple, & McGrew, 2010; Ruble, McGrew, & Toland, 2011). In this study, we describe the verbal interactions, defined as speech acts and speech act exchanges that take place during COMPASS consultation, and examine the associations between speech exchanges and child outcomes. We applied the Psychosocial Processes Coding Scheme (Leaper, 1991) to code speech acts. Speech act exchanges were overwhelmingly affiliative, failed to show statistically significant relationships with child IEP outcomes and teacher adherence, but did correlate positively with IEP quality. PMID:22639523

  20. 17 CFR 249.328T - Form 17-H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 17-H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the Securities Exchange Act of 1934 and rules... Under Sections 13 and 15(d) of the Securities Exchange Act of 1934 § 249.328T Form 17-H, Risk assessment...

  1. 17 CFR 249.308a - Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form 10-Q, for quarterly and... 15(d) of the Securities Exchange Act of 1934 § 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934. (a) Form 10-Q shall be used for...

  2. 17 CFR 249.308a - Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 10-Q, for quarterly and... 15(d) of the Securities Exchange Act of 1934 § 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934. (a) Form 10-Q shall be used for...

  3. 17 CFR 249.308a - Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form 10-Q, for quarterly and... 15(d) of the Securities Exchange Act of 1934 § 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934. (a) Form 10-Q shall be used for...

  4. 17 CFR 249.308a - Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form 10-Q, for quarterly and... 15(d) of the Securities Exchange Act of 1934 § 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934. (a) Form 10-Q shall be used for...

  5. 17 CFR 249.308a - Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form 10-Q, for quarterly and... 15(d) of the Securities Exchange Act of 1934 § 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934. (a) Form 10-Q shall be used for...

  6. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  7. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  8. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  9. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  10. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  11. 76 FR 67509 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-01

    ... Matching System. See Securities Exchange Act Release No. 63564 (December 16, 2010), 75 FR 80870 (December... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65633; File No. SR-CHX-2011-29] Self-Regulatory... Chicago Stock Exchange, Inc. (``CHX'' or the ``Exchange'') filed with the Securities and Exchange...

  12. 17 CFR 240.15b9-1 - Exemption for certain exchange members.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption for certain exchange members. 240.15b9-1 Section 240.15b9-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  13. Impulse control and underlying functions of the left DLPFC mediate age-related and age-independent individual differences in strategic social behavior.

    PubMed

    Steinbeis, Nikolaus; Bernhardt, Boris C; Singer, Tania

    2012-03-08

    Human social exchange is often characterized by conflicts of interest requiring strategic behavior for their resolution. To investigate the development of the cognitive and neural mechanisms underlying strategic behavior, we studied children's decisions while they played two types of economic exchange games with differing demands of strategic behavior. We show an increase of strategic behavior with age, which could not be explained by age-related changes in social preferences but instead by developmental differences in impulsivity and associated brain functions of the left dorsolateral prefrontal cortex (DLPFC). Furthermore, observed differences in cortical thickness of lDLPFC were predictive of differences in impulsivity and strategic behavior irrespective of age. We conclude that egoistic behavior in younger children is not caused by a lack of understanding right or wrong, but by the inability to implement behavioral control when tempted to act selfishly; a function relying on brain regions maturing only late in ontogeny. Copyright © 2012 Elsevier Inc. All rights reserved.

  14. 26 CFR 1.1092(c)-4 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Exchange Act Release No. 34-36841 (Feb. 21, 1996); or (ii) Self-Regulatory Organizations; Order Approving... 27, 1996); or (iii) Self-Regulatory Organizations; Order Approving Proposed Rule Change and Notice of... equity option— (1) That is described in any of the following Securities Exchange Act Releases— (i) Self...

  15. 78 FR 59383 - Principal Management Corporation, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-26

    ... sections 12(d)(1)(A) and (B) of the Act. Applicants: Principal Management Corporation (``PMC''), Principal... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30692; 812-14136] Principal Management Corporation, et al.; Notice of Application September 20, 2013. AGENCY: Securities and Exchange...

  16. 75 FR 55381 - Joint Industry Plan; Order Approving Amendment To Add EDGA Exchange, Inc. and EDGX Exchange, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-10

    ... their monthly reports available to the public under Rule 11Ac1-5 under the Act (n/ k/a Rule 605 of... Stock Exchange LLC (n/k/a NYSE Amex, Inc.), BATS Exchange, Inc., Boston Stock Exchange, Inc. (n/k/a...., Cincinnati Stock Exchange, Inc. (n/k/a National Stock Exchange\\SM\\), International Securities Exchange, LLC...

  17. 45 CFR 152.45 - Transition to the exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 45 Public Welfare 1 2010-10-01 2010-10-01 false Transition to the exchanges. 152.45 Section 152.45...-EXISTING CONDITION INSURANCE PLAN PROGRAM Transition to Exchanges § 152.45 Transition to the exchanges... the Exchanges, established under sections 1311 or 1321 of the Affordable Care Act, to ensure that...

  18. Thiol-disulfide exchange between the PDI family of oxidoreductases negates the requirement for an oxidase or reductase for each enzyme

    PubMed Central

    Oka, Ojore B.V.; Yeoh, Hui Y.; Bulleid, Neil J.

    2015-01-01

    The formation of disulfides in proteins entering the secretory pathway is catalysed by the protein disulfide isomerase (PDI) family of enzymes. These enzymes catalyse the introduction, reduction and isomerization of disulfides. To function continuously they require an oxidase to reform the disulfide at their active site. To determine how each family member can be recycled to catalyse disulfide exchange, we have studied whether disulfides are transferred between individual PDI family members. We studied disulfide exchange either between purified proteins or by identifying mixed disulfide formation within cells grown in culture. We show that disulfide exchange occurs efficiently and reversibly between specific PDIs. These results have allowed us to define a hierarchy for members of the PDI family, in terms of ability to act as electron acceptors or donors during thiol-disulfide exchange reactions and indicate that there is no kinetic barrier to the exchange of disulfides between several PDI proteins. Such promiscuous disulfide exchange negates the necessity for each enzyme to be oxidized by Ero1 (ER oxidoreductin 1) or reduced by a reductive system. The lack of kinetic separation of the oxidative and reductive pathways in mammalian cells contrasts sharply with the equivalent systems for native disulfide formation within the bacterial periplasm. PMID:25989104

  19. 75 FR 54662 - Privacy Act of 1974: Systems of Records

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-08

    ..., Chief Privacy Officer, Office of Information Technology, 202-551-7209. In the Federal Register of August... SECURITIES AND EXCHANGE COMMISSION [Release No. PA-44A; File No. S7-17-10] Privacy Act of 1974: Systems of Records AGENCY: Securities and Exchange Commission. ACTION: Notice to establish systems of...

  20. 17 CFR 274.11 - Form N-1, registration statement of open-end management investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... statement of open-end management investment companies. 274.11 Section 274.11 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT...(b) of the Investment Company Act of 1940 by open-end management investment companies that are...

  1. 76 FR 26549 - Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-06

    ... recognized statistical rating organization'' (``NRSRO'') as part of the Commission's amendments to its broker... rating agency'' and ``nationally recognized statistical rating organization'' in Exchange Act Sections 3... ``nationally recognized statistical rating organization'' means a credit rating agency that: (A) issues credit...

  2. 77 FR 65054 - Agency Information Collection Activities; Proposed Information Collection; Comment Request...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-24

    ... Activities; Proposed Information Collection; Comment Request; Securities Exchange Act Disclosure Rules (12 CFR Part 11) and Securities of Federal Savings Associations (12 CFR Part 194) AGENCY: Office of the... concerning its information collection titled, ``Securities Exchange Act Disclosure Rules (12 CFR part 11) and...

  3. 75 FR 68012 - Notice of Intention To Cancel Registrations of Certain Transfer Agents

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-04

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63211] Notice of Intention To Cancel Registrations of Certain Transfer Agents October 29, 2010. Notice is hereby given that the Securities and... Securities Exchange Act of 1934 (``Act''),\\1\\ cancelling the registrations of the transfer agents whose names...

  4. 77 FR 74230 - PNC Capital Advisors, LLC, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-13

    ..., is organized as a Delaware limited liability company and is a registered investment adviser under the... Delaware limited liability company, and is a registered broker-dealer under the Securities Exchange Act of... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30298; File No. 812-14055...

  5. 75 FR 76512 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-08

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63417; File No. SR-NSCC-2010-17] Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate... to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ notice is hereby given that...

  6. 17 CFR 403.7 - Effective dates.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... THE SECURITIES EXCHANGE ACT OF 1934 PROTECTION OF CUSTOMER SECURITIES AND BALANCES § 403.7 Effective... referred to in § 403.4 concerning the Securities Investor Protection Act of 1970, and (ii) if applicable... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Effective dates. 403.7 Section...

  7. 77 FR 64569 - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-22

    ... underlying the Act, including, for example, promoting market transparency for derivatives markets, promoting... is registered as a derivatives clearing organization with the Commodity Futures Trading Commission... changes are consistent with the requirements of the Exchange Act. First, CME, a derivatives clearing...

  8. A bill to provide end user exemptions from certain provisions of the Commodity Exchange Act and the Securities Exchange Act of 1934.

    THOMAS, 113th Congress

    Sen. Johanns, Mike [R-NE

    2013-05-07

    Senate - 05/08/2013 Read the second time. Placed on Senate Legislative Calendar under General Orders. Calendar No. 67. (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  9. A bill to provide end user exemptions from certain provisions of the Commodity Exchange Act and the Securities Exchange Act of 1934.

    THOMAS, 112th Congress

    Sen. Johanns, Mike [R-NE

    2012-08-01

    Senate - 08/01/2012 Read twice and referred to the Committee on Banking, Housing, and Urban Affairs. (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  10. 77 FR 16871 - Forward Funds, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-22

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29982; File No. 812-13996] Forward Funds, et al.; Notice of Application March 15, 2012. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application under section 6(c) of the Investment Company Act of 1940...

  11. Measuring the equation of state for a 2D colloidal membrane: A microfluidic approach to buffer exchange

    NASA Astrophysics Data System (ADS)

    Balchunas, Andrew; Cabanas, Rafael; Fraden, Seth; Dogic, Zvonimir

    Previous work has shown that monodisperse rod-like colloidal particles, such as a filamentous bacteriophage, self assemble into a 2D monolayer smectic in the presence of a non-adsorbing depleting polymer. These structures have the same functional form of bending rigidity and lateral compressibility as conventional lipid bi-layers, so we name the monolayer smectic a colloidal membrane. We have developed a microfluidic device such that the osmotic pressure acting on a colloidal membrane may be controlled via a full in situ buffer exchange. Rod density within individual colloidal membranes was measured as a function of osmotic pressure and a first order phase transition, from 2D fluid to 2D solid, was observed. kon and koff rates of rod to membrane binding were measured by lowering the osmotic pressure until membrane evaporation occurred.

  12. NCHRP peer exchange 2008.

    DOT National Transportation Integrated Search

    2008-09-01

    Peer exchanges for state department of transportation (DOT) research programs originated with : the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). That federal legislation : required the states to conduct periodic peer exchanges to...

  13. Heat-driven spin torques in antiferromagnets

    NASA Astrophysics Data System (ADS)

    Białek, Marcin; Bréchet, Sylvain; Ansermet, Jean-Philippe

    2018-04-01

    Heat-driven magnetization damping, which is a linear function of a temperature gradient, is predicted in antiferromagnets by considering the sublattice dynamics subjected to a heat-driven spin torque. This points to the possibility of achieving spin torque oscillator behavior. The model is based on the magnetic Seebeck effect acting on sublattices which are exchange coupled. The heat-driven spin torque is estimated and the feasibility of detecting this effect is discussed.

  14. Vav1: Friend and Foe of Cancer.

    PubMed

    Guo, Fukun; Zheng, Yi

    2017-12-01

    A recent study shows that the protumorigenic guanine nucleotide exchange factor (GEF) Vav1 functions as a tumor suppressor in T cell acute lymphoblastic leukemia (T-ALL) through its ability to complex with the Cbl-b ubiquitin ligase and the intracellular domain of Notch1 (ICN1) and to promote ICN1 degradation. Vav1can act as a double-edged sword in tumorigenesis. Copyright © 2017 Elsevier Ltd. All rights reserved.

  15. Automating the Exchange of Military Personnel Data Among Selected Army Organizations. Volume II. Appendices,

    DTIC Science & Technology

    1981-06-30

    manpower needs as to quantity, quality and timing; all the internal functions of the personnel service are tapped to help meet these ends. Manpower...Program ACOS - Automated Computation of Service ACQ - Acquisition ACSAC - Assistant Chief of Staff for Automation and Comunications ACT - Automated...ARSTAF - Army Staff ARSTAFF - Army Staff ARTEP - Army Training and Evaluation Program ASI - Additional Skill Identifier ASVAB - Armed Services

  16. Exchange pathways of plastoquinone and plastoquinol in the photosystem II complex

    PubMed Central

    Van Eerden, Floris J.; Melo, Manuel N.; Frederix, Pim W. J. M.; Periole, Xavier; Marrink, Siewert J.

    2017-01-01

    Plastoquinone (PLQ) acts as an electron carrier between photosystem II (PSII) and the cytochrome b6f complex. To understand how PLQ enters and leaves PSII, here we show results of coarse grained molecular dynamics simulations of PSII embedded in the thylakoid membrane, covering a total simulation time of more than 0.5 ms. The long time scale allows the observation of many spontaneous entries of PLQ into PSII, and the unbinding of plastoquinol (PLQol) from the complex. In addition to the two known channels, we observe a third channel for PLQ/PLQol diffusion between the thylakoid membrane and the PLQ binding sites. Our simulations point to a promiscuous diffusion mechanism in which all three channels function as entry and exit channels. The exchange cavity serves as a PLQ reservoir. Our simulations provide a direct view on the exchange of electron carriers, a key step of the photosynthesis machinery. PMID:28489071

  17. Exhaust gas purification system for lean burn engine

    DOEpatents

    Haines, Leland Milburn

    2002-02-19

    An exhaust gas purification system for a lean burn engine includes a thermal mass unit and a NO.sub.x conversion catalyst unit downstream of the thermal mass unit. The NO.sub.x conversion catalyst unit includes at least one catalyst section. Each catalyst section includes a catalytic layer for converting NO.sub.x coupled to a heat exchanger. The heat exchanger portion of the catalyst section acts to maintain the catalytic layer substantially at a desired temperature and cools the exhaust gas flowing from the catalytic layer into the next catalytic section in the series. In a further aspect of the invention, the exhaust gas purification system includes a dual length exhaust pipe upstream of the NO.sub.x conversion catalyst unit. The dual length exhaust pipe includes a second heat exchanger which functions to maintain the temperature of the exhaust gas flowing into the thermal mass downstream near a desired average temperature.

  18. Charge exchange system

    DOEpatents

    Anderson, Oscar A.

    1978-01-01

    An improved charge exchange system for substantially reducing pumping requirements of excess gas in a controlled thermonuclear reactor high energy neutral beam injector. The charge exchange system utilizes a jet-type blanket which acts simultaneously as the charge exchange medium and as a shield for reflecting excess gas.

  19. Strand exchange of telomeric DNA catalyzed by the Werner syndrome protein (WRN) is specifically stimulated by TRF2

    PubMed Central

    Edwards, Deanna N.; Orren, David K.; Machwe, Amrita

    2014-01-01

    Werner syndrome (WS), caused by loss of function of the RecQ helicase WRN, is a hereditary disease characterized by premature aging and elevated cancer incidence. WRN has DNA binding, exonuclease, ATPase, helicase and strand annealing activities, suggesting possible roles in recombination-related processes. Evidence indicates that WRN deficiency causes telomeric abnormalities that likely underlie early onset of aging phenotypes in WS. Furthermore, TRF2, a protein essential for telomere protection, interacts with WRN and influences its basic helicase and exonuclease activities. However, these studies provided little insight into WRN's specific function at telomeres. Here, we explored the possibility that WRN and TRF2 cooperate during telomeric recombination processes. Our results indicate that TRF2, through its interactions with both WRN and telomeric DNA, stimulates WRN-mediated strand exchange specifically between telomeric substrates; TRF2's basic domain is particularly important for this stimulation. Although TRF1 binds telomeric DNA with similar affinity, it has minimal effects on WRN-mediated strand exchange of telomeric DNA. Moreover, TRF2 is displaced from telomeric DNA by WRN, independent of its ATPase and helicase activities. Together, these results suggest that TRF2 and WRN act coordinately during telomeric recombination processes, consistent with certain telomeric abnormalities associated with alteration of WRN function. PMID:24880691

  20. 77 FR 39758 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC.; Order Approving a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-05

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67295; File No. SR-NASDAQ-2012-061] Self... Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange... the Exchange's options trading facility. \\4\\ See Securities Exchange Act Release No. 67027 (May 18...

  1. 77 FR 76319 - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Minor Rule Violation...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-27

    ... Organizations; BOX Options Exchange LLC; Order Approving Minor Rule Violation Plan for BOX Options Exchange LLC December 20, 2012. On October 15, 2012, BOX Options Exchange LLC (the ``Exchange'') filed with the... Rule 19d-1(c)(2) under the Act,\\13\\ that the proposed MRVP for BOX Options Exchange LLC, File No. 4-655...

  2. 75 FR 4595 - BATS Y-Exchange, Inc.; Notice of Filing of Application for Registration as a National Securities...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-28

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61400; File No. 10-198] BATS Y-Exchange, Inc... Securities Exchange Act of 1934 January 22, 2010. On October 20, 2009, BATS Y-Exchange, Inc. (``BATS Y... on BATS Y Exchange's Form 1. The Commission will take these comments into consideration in making its...

  3. 77 FR 53242 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-31

    ... Exchange on the matter at issue. Retail Liquidity Identifier Under proposed Rule 11.24(e), the Exchange... Exchange Act Release No. 61358 (January 14, 2010), 75 FR 3594 (January 21, 2010) (noting that dark pools...

  4. 17 CFR 210.3-10 - Financial statements of guarantors and issuers of guaranteed securities registered or being...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... than U.S. Generally Accepted Accounting Principles or International Financial Reporting Standards as... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Financial statements of... FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY...

  5. 76 FR 4569 - Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-26

    ... COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 165 RIN Number 3038-AD04 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act Correction In proposed rule document 2010-29022, beginning on page 75728 in the issue of Monday, December 6, 2010, make the following correction...

  6. 78 FR 75398 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-11

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70990; File No. SR-MSRB-2013-08] Self...\\ Securities Exchange Act Release No. 70607 (October 3, 2013), 78 FR 62736 (``Notice''). II. Description of the... dealer, acting as an underwriter or remarketing agent with no prior or future long-term economic interest...

  7. 17 CFR 270.14a-1 - Use of notification pursuant to regulation E under the Securities Act of 1933.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Commission adequately insures (a) that after the effective date of such notification such company will not... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY... of 1933 by a small business investment company operating under the Small Business Investment Act of...

  8. 76 FR 39463 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-06

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64769; File No. SR-NSCC-2011-04] Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change... to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder \\2...

  9. 77 FR 59227 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-26

    ... trust on June 21, 2011.\\5\\ BlackRock Fund Advisors is the investment adviser (``Adviser'') to the Fund.... BlackRock Investments, LLC (``Distributor'') serves as the distributor for the Trust. The Exchange... as an open-end investment company under the Investment Company Act of 1940 (``1940 Act''). On...

  10. A bill to provide end user exemptions from certain provisions of the Commodity Exchange Act and the Securities Exchange Act of 1934, and for other purposes.

    THOMAS, 112th Congress

    Sen. Johanns, Mike [R-NE

    2011-05-11

    Senate - 05/11/2011 Read twice and referred to the Committee on Banking, Housing, and Urban Affairs. (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  11. Patient Protection and Affordable Care Act; exchange and insurance market standards for 2015 and beyond. Final rule.

    PubMed

    2014-05-27

    This final rule addresses various requirements applicable to health insurance issuers, Affordable Insurance Exchanges (``Exchanges''), Navigators, non-Navigator assistance personnel, and other entities under the Patient Protection and Affordable Care Act and the Health Care and Education Reconciliation Act of 2010 (collectively referred to as the Affordable Care Act). Specifically, the rule establishes standards related to product discontinuation and renewal, quality reporting, non-discrimination standards, minimum certification standards and responsibilities of qualified health plan (QHP) issuers, the Small Business Health Options Program, and enforcement remedies in Federally-facilitated Exchanges. It also finalizes: A modification of HHS's allocation of reinsurance collections if those collections do not meet our projections; certain changes to allowable administrative expenses in the risk corridors calculation; modifications to the way we calculate the annual limit on cost sharing so that we round this parameter down to the nearest $50 increment; an approach to index the required contribution used to determine eligibility for an exemption from the shared responsibility payment under section 5000A of the Internal Revenue Code; grounds for imposing civil money penalties on persons who provide false or fraudulent information to the Exchange and on persons who improperly use or disclose information; updated standards for the consumer assistance programs; standards related to the opt-out provisions for self-funded, non-Federal governmental plans and related to the individual market provisions under the Health Insurance Portability and Accountability Act of 1996 including excepted benefits; standards regarding how enrollees may request access to non-formulary drugs under exigent circumstances; amendments to Exchange appeals standards and coverage enrollment and termination standards; and time-limited adjustments to the standards relating to the medical loss ratio (MLR) program. The majority of the provisions in this rule are being finalized as proposed.

  12. Meiotic Crossover Control by Concerted Action of Rad51-Dmc1 in Homolog Template Bias and Robust Homeostatic Regulation

    PubMed Central

    Huang, Chu-Chun; Grubb, Jennifer; Thacker, Drew; Lee, Chih-Ying; Dresser, Michael E.; Hunter, Neil; Bishop, Douglas K.

    2013-01-01

    During meiosis, repair of programmed DNA double-strand breaks (DSBs) by recombination promotes pairing of homologous chromosomes and their connection by crossovers. Two DNA strand-exchange proteins, Rad51 and Dmc1, are required for meiotic recombination in many organisms. Studies in budding yeast imply that Rad51 acts to regulate Dmc1's strand exchange activity, while its own exchange activity is inhibited. However, in a dmc1 mutant, elimination of inhibitory factor, Hed1, activates Rad51's strand exchange activity and results in high levels of recombination without participation of Dmc1. Here we show that Rad51-mediated meiotic recombination is not subject to regulatory processes associated with high-fidelity chromosome segregation. These include homolog bias, a process that directs strand exchange between homologs rather than sister chromatids. Furthermore, activation of Rad51 does not effectively substitute for Dmc1's chromosome pairing activity, nor does it ensure formation of the obligate crossovers required for accurate homolog segregation. We further show that Dmc1's dominance in promoting strand exchange between homologs involves repression of Rad51's strand-exchange activity. This function of Dmc1 is independent of Hed1, but requires the meiotic kinase, Mek1. Hed1 makes a relatively minor contribution to homolog bias, but nonetheless this is important for normal morphogenesis of synaptonemal complexes and efficient crossing-over especially when DSB numbers are decreased. Super-resolution microscopy shows that Dmc1 also acts to organize discrete complexes of a Mek1 partner protein, Red1, into clusters along lateral elements of synaptonemal complexes; this activity may also contribute to homolog bias. Finally, we show that when interhomolog bias is defective, recombination is buffered by two feedback processes, one that increases the fraction of events that yields crossovers, and a second that we propose involves additional DSB formation in response to defective homolog interactions. Thus, robust crossover homeostasis is conferred by integrated regulation at initiation, strand-exchange and maturation steps of meiotic recombination. PMID:24367271

  13. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  14. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  15. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  16. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  17. 76 FR 68798 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-07

    ... SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market-Maker Trade Prevention Order on CBOE Stock Exchange November 1, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the `...

  18. 76 FR 79254 - Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Order Approving Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-21

    ... Market Maker'') in a derivative securities product (``UTP Derivative Security'') that derives its value... Derivative Security on the Exchange(s) from acting or registering as a market maker on any other exchange in any Reference Asset of that UTP Derivative Security, or any derivative instrument based on a Reference...

  19. 77 FR 16873 - First Trust Exchange-Traded Fund, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-22

    ...] First Trust Exchange-Traded Fund, et al.; Notice of Application March 15, 2012. AGENCY: Securities and... exemption from sections 17(a)(1) and (a)(2) of the Act. Applicants: First Trust Exchange-Traded Fund (the ``Initial Trust''), First Trust Exchange-Traded Fund II (``Trust II''), First Trust Exchange-Traded Fund III...

  20. Detente: A Role for U.S.-Soviet Exchanges?

    ERIC Educational Resources Information Center

    Herman, Paul F., Jr.

    The contribution of international exchanges (e.g., cultural activities, tourism, student exchange) to detente enhancement is assessed. International exchanges have a capacity for engendering trust and for providing cultural, political, and economic benefit, two characteristics of policy acts which tend to enhance detente. A comparison of four very…

  1. 45 CFR 50.2 - Exchange Visitor Waiver Review Board.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 45 Public Welfare 1 2013-10-01 2013-10-01 false Exchange Visitor Waiver Review Board. 50.2 Section 50.2 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES GENERAL ADMINISTRATION U.S. EXCHANGE... submitted by institutions, acting on behalf of Exchange Visitors, to HHS for a favorable recommendation to...

  2. 45 CFR 50.2 - Exchange Visitor Waiver Review Board.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 45 Public Welfare 1 2014-10-01 2014-10-01 false Exchange Visitor Waiver Review Board. 50.2 Section 50.2 Public Welfare Department of Health and Human Services GENERAL ADMINISTRATION U.S. EXCHANGE... submitted by institutions, acting on behalf of Exchange Visitors, to HHS for a favorable recommendation to...

  3. 45 CFR 50.2 - Exchange Visitor Waiver Review Board.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 45 Public Welfare 1 2012-10-01 2012-10-01 false Exchange Visitor Waiver Review Board. 50.2 Section 50.2 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES GENERAL ADMINISTRATION U.S. EXCHANGE... submitted by institutions, acting on behalf of Exchange Visitors, to HHS for a favorable recommendation to...

  4. 45 CFR 50.2 - Exchange Visitor Waiver Review Board.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... 45 Public Welfare 1 2011-10-01 2011-10-01 false Exchange Visitor Waiver Review Board. 50.2 Section 50.2 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES GENERAL ADMINISTRATION U.S. EXCHANGE... submitted by institutions, acting on behalf of Exchange Visitors, to HHS for a favorable recommendation to...

  5. 76 FR 38434 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-30

    ... continuing effort to attract more activity in large-sized FX options. \\3\\ See Securities Exchange Act Release... SECURITIES AND EXCHANGE COMMISSION [Release No. 3464743; File No. SR-ISE-2011-35] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed...

  6. 17 CFR 240.6a-2 - Amendments to application.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Amendments to application. 240.6a-2 Section 240.6a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  7. 17 CFR 240.6a-2 - Amendments to application.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Amendments to application. 240.6a-2 Section 240.6a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  8. 17 CFR 240.6a-2 - Amendments to application.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Amendments to application. 240.6a-2 Section 240.6a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  9. 17 CFR 240.14a-17 - Electronic shareholder forums.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Electronic shareholder forums. 240.14a-17 Section 240.14a-17 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  10. 17 CFR 230.145 - Reclassification of securities, mergers, consolidations and acquisitions of assets.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Reclassification of securities... Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General... security in exchange for their existing security. Rule 145 embodies the Commission's determination that...

  11. 17 CFR 230.145 - Reclassification of securities, mergers, consolidations and acquisitions of assets.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Reclassification of securities... Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General... security in exchange for their existing security. Rule 145 embodies the Commission's determination that...

  12. 17 CFR 230.145 - Reclassification of securities, mergers, consolidations and acquisitions of assets.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Reclassification of securities... Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General... security in exchange for their existing security. Rule 145 embodies the Commission's determination that...

  13. 17 CFR 230.145 - Reclassification of securities, mergers, consolidations and acquisitions of assets.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Reclassification of securities... Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General... security in exchange for their existing security. Rule 145 embodies the Commission's determination that...

  14. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Derivative securities. 240.16b-6 Section 240.16b-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  15. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Derivative securities. 240.16b-6 Section 240.16b-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  16. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  17. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  18. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  19. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  20. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  1. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  2. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  3. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Derivative securities. 240.16b-6 Section 240.16b-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  4. 45 CFR 156.330 - Changes of ownership of issuers of Qualified Health Plans in Federally-facilitated Exchanges.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... Health Plans in Federally-facilitated Exchanges. 156.330 Section 156.330 Public Welfare Department of Health and Human Services REQUIREMENTS RELATING TO HEALTH CARE ACCESS HEALTH INSURANCE ISSUER STANDARDS UNDER THE AFFORDABLE CARE ACT, INCLUDING STANDARDS RELATED TO EXCHANGES Federally-Facilitated Exchange...

  5. 17 CFR 240.12b-3 - Title of securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Title of securities. 240.12b-3 Section 240.12b-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  6. 75 FR 55295 - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-10

    ...-3078, IC-29408; File No. S7-20-10] List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act AGENCY: Securities and Exchange Commission. ACTION: Publication of list of rules scheduled for review. SUMMARY: The Securities and Exchange Commission is today publishing a list of rules to be...

  7. 76 FR 45629 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-29

    ... qualification examination, the Series 56, was recently filed with the Commission; \\6\\ NASDAQ expects to file the... new examination, the Series 56. \\5\\ See Securities Exchange Act Release Nos. 63843 (February 4, 2011... respecting the Series 56, which has become effective. See Securities Exchange Act Release No. 64699 (June 17...

  8. 75 FR 66815 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-29

    ... Underlying Index measures the performance of investment-grade taxable debt securities of the U.S. municipal... of ICUs based on certain fixed income indexes. See, e.g., Securities Exchange Act Release No. 48662... Investment Company Units based on a fixed income index in Securities Exchange Act Release No. 55783 (May 17...

  9. 76 FR 11542 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-02

    ... To Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook February 24, 2011. I... Exchange Act of 1934 (``Exchange Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to adopt.... 31, 2010 (``Kramer''). II. Description of Proposed Rule Change A. Summary FINRA is proposing to adopt...

  10. 75 FR 23679 - Order Finding That the ICE Malin Financial Basis Contract Traded on the IntercontinentalExchange...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-04

    ... commercial market (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act...\\ significantly broadened the CFTC's regulatory authority with respect to ECMs by creating, in section 2(h)(7) of the CEA, a new regulatory category--ECMs on which significant price discovery contracts (``SPDCs...

  11. 75 FR 24586 - Order Finding That the San Juan Financial Basis Contract Traded on the IntercontinentalExchange...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-05

    ... (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a...\\ significantly broadened the CFTC's regulatory authority with respect to ECMs by creating, in section 2(h)(7) of the CEA, a new regulatory category--ECMs on which significant price discovery contracts (``SPDCs...

  12. 76 FR 20424 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-12

    ... Volatility April 6, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act... ``Trading Halts Due to Extraordinary Market Volatility.'' The text of the proposed rule change is available... on which a limit up/limit down mechanism to address extraordinary market volatility, if adopted...

  13. 78 FR 79539 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71173; File No. SR-NASDAQ-2013-156] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...

  14. 78 FR 72737 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-03

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70946; File No. SR-NSCC-2013-12] Self... Activity and Receive Notifications When Pre-Set Trading Limits are Reached November 26, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice...

  15. 78 FR 76662 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71060; File No. SR-NASDAQ-2013-151] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder...

  16. 78 FR 55131 - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-09

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70299; File No. SR-MIAX-2013-40] Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...

  17. 78 FR 72740 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-03

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70945; File No. SR-NASDAQ-2013-142] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given...

  18. 75 FR 58007 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-23

    ... securities frauds that resulted in harm to investors, FINRA has reviewed its rule on arbitrator referrals and... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62930; File No. SR-FINRA-2010-036] Self... September 17, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and...

  19. 78 FR 47463 - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-05

    ... Filter July 30, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1... filtering inbound Complex Orders \\3\\ (the ``Complex Order Filter''). The proposed rule change would make the... proposed Complex Order Filter will simplify the filtering procedure, provide greater flexibility to...

  20. 78 FR 60945 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-02

    ... Pursuant to Rule 608 of Regulation NMS under the Act (the ``Limit Up-Limit Down Plan'' or the ``Plan'').\\7... Clearly Erroneous Rule should continue while the industry gains further experience operating the Limit Up-Limit Down Plan. \\5\\ Securities Exchange Act Release No. 62886 (September 10, 2010), 75 FR 56613...

  1. 78 FR 24458 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-25

    ... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change... OMX BX, Inc. (``BX'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or... Act \\6\\ in general, and furthers the objectives of Section 6(b)(4) of the Act,\\7\\ in particular, in...

  2. 78 FR 18660 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-27

    ...) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is...'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as... Commission is publishing this notice to solicit comments on the proposed rule change from interested persons...

  3. 77 FR 59687 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-28

    ... Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Accommodate... Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice... the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items...

  4. 78 FR 51786 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-21

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70207; File No. SR-OCC-2013-12] Self-Regulatory...(b)(1) of the Securities Exchange Act of 1934 (``Act ''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on August 2, 2013, The Options Clearing Corporation (``OCC'') filed with the Securities...

  5. 78 FR 37631 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Request To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-21

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69774; File No. SR-FICC-2013-06] Self... Program for Certain Government Securities Division Rules Relating to the GCF Repo[supreg] Service June 17, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ notice is...

  6. 78 FR 68496 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70831; File No. SR-FICC-2013-09] Self...[supreg] at FICC's Government Securities Division November 7, 2013. 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...

  7. 78 FR 54298 - Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-03

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30680; 812-14178] Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application August 27, 2013. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application for an order under section 6(c) of the Investment Company Act of...

  8. 78 FR 29399 - ERNY Financial ETF Trust and ERNY Financial Advisors, LLC; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-20

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30514; 812-14146] ERNY Financial ETF Trust and ERNY Financial Advisors, LLC; Notice of Application May 13, 2013. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application for an order under section 6(c) of the Investment Company Act of 1940...

  9. 75 FR 57385 - Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-21

    ... attestation report of its registered public accounting firm on internal control over financial reporting in... definition of either an ``accelerated filer'' or a ``large accelerated filer'' under Exchange Act Rule 12b-2..., for both definitions, the issuer needs to have been subject to reporting requirements for at least...

  10. 77 FR 33794 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-07

    ... Organizations; International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security June... Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to list and trade...

  11. 75 FR 53998 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-02

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62787; File No. SR-FINRA-2010-045] Self... Effectiveness of Proposed Rule Change To Amend the Security Futures Risk Disclosure Statement August 27, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...

  12. 78 FR 20708 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-05

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69262; File No. SR-FINRA-2013-019] Self... Effectiveness of a Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps) April 1, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1...

  13. 77 FR 76112 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-26

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68468; File No. SR-FINRA-2012-055] Self...-Element Continuing Education Program To Qualify To Engage in a Security Futures Business December 19, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')\\1\\ and Rule 19b-4 thereunder...

  14. 76 FR 29018 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64488; File No. SR-FICC-2011-03] Self... Clearing Fund Securities and Eligible Participants Fund Securities May 13, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ notice is hereby given that on May 10, 2011...

  15. 75 FR 34196 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by EDGX Exchange, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-16

    ... Edge, Inc. June 10, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act... its corporate structure to provide that it will be a wholly-owned subsidiary of Direct Edge, Inc. (``DEI'') instead of Direct Edge Holdings, LLC (``DE Holdings''). The proposed Certificate of...

  16. 75 FR 34189 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by EDGA Exchange, Inc...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-16

    ... Edge, Inc. June 10, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act... its corporate structure to provide that it will be a wholly-owned subsidiary of Direct Edge, Inc. (``DEI'') instead of Direct Edge Holdings, LLC (``DE Holdings''). The proposed Certificate of...

  17. 77 FR 46129 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-02

    ... Volatility July 27, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act... ``Trading Halts Due to Extraordinary Market Volatility.'' The text of the proposed rule change is available... implementation, on February 4, 2013, of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608...

  18. 76 FR 67011 - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-28

    ... DCM October 24, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1... Futures Trading Commission as a designated contract market (``DCM''). CME understands that Eris expects to begin operating as a DCM in or around mid October, 2011. To reflect Eris's change in regulatory status...

  19. 17 CFR 270.6d-1 - Exemption for certain closed-end investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...-end investment companies. 270.6d-1 Section 270.6d-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.6d-1 Exemption for certain closed-end investment companies. (a) An application under section 6(d) of the Act shall...

  20. 17 CFR 1.31 - Books and records; keeping and inspection.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Books and records; keeping and... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Recordkeeping § 1.31 Books and records; keeping and inspection. (a)(1) All books and records required to be kept by the Act or by these regulations shall be kept for...

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