Sample records for security rules sdlc

  1. Software Security Practices: Integrating Security into the SDLC

    DTIC Science & Technology

    2011-05-01

    Software Security Practices Integrating Security into the SDLC Robert A. Martin HS SEDI is a trademark of the U.S. Department of Homeland Security...2011 to 00-00-2011 4. TITLE AND SUBTITLE Software Security Practices Integrating Security into the SDLC 5a. CONTRACT NUMBER 5b. GRANT NUMBER 5c...SEDI FFRDC is managed and operated by The MITRE Corporation for DHS. 4 y y w SDLC Integrating Security into a typical software development lifecycle

  2. Process Improvement Should Link to Security: SEPG 2007 Security Track Recap

    DTIC Science & Technology

    2007-09-01

    the Systems Security Engineering Capability Maturity Model (SSE- CMM / ISO 21827) and its use in system software developments ...software development life cycle ( SDLC )? 6. In what ways should process improvement support security in the SDLC ? 1.2 10BPANEL RESOURCES For each... project management, and support practices through the use of the capability maturity models including the CMMI and the Systems Security

  3. Metrinome: Continuous Monitoring and Security Validation of Distributed Systems

    DTIC Science & Technology

    2014-03-01

    Integration into the SDLC ( Software Development Life Cycle), Retrieved Nov 06 2013, https://www.owasp.org/ images/f/f6/Integration_into_the_SDLC.ppt [2...assessment as part of the software development life cycle, current approaches suffer from a number of shortcomings that limit their application in...with assessing security and correct functionality. Second, integrated and end-to-end testing and experimentation is often postponed until software

  4. Demographic-Based Perceptions of Adequacy of Software Security's Presence within Individual Phases of the Software Development Life Cycle

    ERIC Educational Resources Information Center

    Kramer, Aleksey

    2013-01-01

    The topic of software security has become paramount in information technology (IT) related scholarly research. Researchers have addressed numerous software security topics touching on all phases of the Software Development Life Cycle (SDLC): requirements gathering phase, design phase, development phase, testing phase, and maintenance phase.…

  5. Software Assurance Curriculum Project Volume 2: Undergraduate Course Outlines

    DTIC Science & Technology

    2010-08-01

    Contents Acknowledgments iii Abstract v 1 An Undergraduate Curriculum Focus on Software Assurance 1 2 Computer Science I 7 3 Computer Science II...confidence that can be integrated into traditional software development and acquisition process models . Thus, in addition to a technology focus...testing throughout the software development life cycle ( SDLC ) AP Security and complexity—system development challenges: security failures

  6. Software Development Life Cycle Security Issues

    NASA Astrophysics Data System (ADS)

    Kaur, Daljit; Kaur, Parminder

    2011-12-01

    Security is now-a-days one of the major problems because of many reasons. Security is now-a-days one of the major problems because of many reasons. The main cause is that software can't withstand security attacks because of vulnerabilities in it which are caused by defective specifications design and implementation. We have conducted a survey asking software developers, project managers and other people in software development about their security awareness and implementation in Software Development Life Cycle (SDLC). The survey was open to participation for three weeks and this paper explains the survey results.

  7. MOD control center automated information systems security evolution

    NASA Technical Reports Server (NTRS)

    Owen, Rich

    1991-01-01

    The role of the technology infusion process in future Control Center Automated Information Systems (AIS) is highlighted. The following subject areas are presented in the form of the viewgraphs: goals, background, threat, MOD's AISS program, TQM, SDLC integration, payback, future challenges, and bottom line.

  8. Differences in Patient Outcomes of Prevalence, Interval, and Screen-Detected Lung Cancers in the CT Arm of the National Lung Screening Trial

    PubMed Central

    Massion, Pierre P.; Thompson, Zachary J.; Eschrich, Steven A.; Balagurunathan, Yoganand; Goldof, Dmitry; Aberle, Denise R.; Gillies, Robert J.

    2016-01-01

    Lung cancer screening identifies cancers with heterogeneous behaviors. Some lung cancers will be identified among patients who had prior negative CT screens and upon follow-up scans develop a de novo nodule that was determined to be cancerous. Other lung cancers will be identified among patients who had one or more prior stable positive scans that were not determined to be lung cancer (indeterminate pulmonary nodules), but in follow-up scans was diagnosed with an incidence lung cancer. Using data from the CT arm of the National Lung Screening Trial, this analysis investigated differences in patient characteristics and survival endpoints between prevalence-, interval-, and screen-detected lung cancers, characterized based on sequence of screening results. Lung cancers immediately following a positive baseline (T0), and prior to the T1 screen, formed the prevalence cohort. Interval cancers were diagnosed following a negative screen at any time point prior to the next screening round. Two cohorts of screen-detected lung cancers (SDLC) were identified that had a baseline positive screen that was that was not determined to be lung cancer (i.e., an indeterminate pulmonary nodule), but in follow-up scans was diagnosed with an incidence lung cancer 12 (SDLC1) or 24 (SDLC2) months later. Two other incidence cohorts had screen-detected lung cancers that had baseline negative screen and upon follow-up scans developed a de novo nodule determined to be cancerous at 12 (SDLC3) or 24 (SDLC4) months later. Differences in patient characteristics, progression-free survival (PFS), and overall survival (OS) were assessed. The lung cancer-specific death rate was higher for SDLC3/SDLC4 compared to SDLC1/SDLC2 lung cancers (136.6/1,000 person-years vs. 71.3/1,000 person-years, P < 0.001). Moreover, PFS and OS were significantly lower for SDLC3/SDLC4 compared to SDLC1/SDLC2 (P < 0.004; P < 0.002, respectively). The findings were consistent when stratified by stage and histology. Multivariable Cox proportional models revealed that the SDLC3/SDLC4 case groups were associated with significantly poorer PFS (HR = 1.89; 95% CI 1.31–2.74) and OS (HR = 1.80; 95% CI 1.21–2.67) compared to SDLC1/SDLC2 lung cancers (HR = 1.00). Lung cancer patients who develop a de novo nodule that determined to be cancerous (i.e., at least one negative CT screen prior to cancer diagnosis) had poorer survival outcomes compared to patients who had at least one positive screen prior to cancer diagnosis. As such, the observation that de novo screen-detected are associated with poorer survival could be attributed to faster growing, more aggressive cancers that arose from a lung environment previously lacking focal abnormalities. PMID:27509046

  9. Communications Processors: Categories, Applications, and Trends

    DTIC Science & Technology

    1976-03-01

    allow switching from BSC to SDLC .(12) Standard protocols would ease the requirement that communications processor software convert from one...COMMANDER c^/g^_ (^-»M-^ V »*-^ FRANK J. EMMA, Colonel, USAF Director, information Systems Technology Applications Office Deputy for Command...guidelines in selecting a device for a specific application are included, with manufacturer models presented as illustrations. UNCLASSIFIED SECURITY

  10. A Methodology for Cybercraft Requirement Definition and Initial System Design

    DTIC Science & Technology

    2008-06-01

    the software development concepts of the SDLC , requirements, use cases and domain modeling . It ...collectively as Software Development 5 Life Cycle ( SDLC ) models . While there are numerous models that fit under the SDLC definition, all are based on... developed that provided expanded understanding of the domain, it is necessary to either update an existing domain model or create another domain

  11. CrossTalk: The Journal of Defense Software Engineering. Volume 23, Number 2, March/April 2010

    DTIC Science & Technology

    2010-04-01

    SDLC phase. 4. Developing secure software depends on understanding the operational con- text in which it will be used. This con- text includes... its development . BSI leverages the Common Weakness Enumeration (CWE) and the Common Attack Pattern Enumeration and Classification (CAPEC) efforts. To...system integrators providing sys- tems (both IT and warfighting) to the Concept Refinement Technology Development System Development and

  12. Software Assurance: Five Essential Considerations for Acquisition Officials

    DTIC Science & Technology

    2007-05-01

    May 2007 www.stsc.hill.af.mil 17 2 • address security concerns in the software development life cycle ( SDLC )? • Are there formal software quality...What threat modeling process, if any, is used when designing the software ? What analysis, design, and construction tools are used by your software design...the-shelf (COTS), government off-the-shelf (GOTS), open- source, embedded, and legacy software . Attackers exploit unintentional vulnerabil- ities or

  13. Increase Return on Investment of Software Development Life Cycle by Managing the Risk - A Case Study

    DTIC Science & Technology

    2015-04-01

    for increasing the return on investment during the Software Development Life Cycle ( SDLC ) through selected quantitative analyses employing both the...defect rate, return on investment (ROI), software development life cycle ( SDLC ) DE FE N SE A C Q U IS IT IO N UN IVERSITY ALU M N I A SSO C IATIO N R...becomes comfortable due to its intricacies and learning cycle. The same may be said with respect to software development life cycle ( SDLC ) management

  14. CrossTalk: The Journal of Defense Software Engineering. Volume 19, Number 9

    DTIC Science & Technology

    2006-09-01

    it does. Several freely down- loadable methodologies have emerged to support the developer in modeling threats to applications and other soft...SECURIS. Model -Driven Develop - ment and Analysis of Secure Information Systems <www.sintef.no/ content/page1_1824.aspx>. 10. The SECURIS Project ...By applying these methods to the SDLC , we can actively reduce the number of known vulnerabilities in software as it is developed . For

  15. Isolation and Genomic Characterization of a Duck-Origin GPV-Related Parvovirus from Cherry Valley Ducklings in China.

    PubMed

    Chen, Hao; Dou, Yanguo; Tang, Yi; Zhang, Zhenjie; Zheng, Xiaoqiang; Niu, Xiaoyu; Yang, Jing; Yu, Xianglong; Diao, Youxiang

    2015-01-01

    A newly emerged duck parvovirus, which causes beak atrophy and dwarfism syndrome (BADS) in Cherry Valley ducks, has appeared in Northern China since March 2015. To explore the genetic diversity among waterfowl parvovirus isolates, the complete genome of an identified isolate designated SDLC01 was sequenced and analyzed in the present study. Genomic sequence analysis showed that SDLC01 shared 90.8%-94.6% of nucleotide identity with goose parvovirus (GPV) isolates and 78.6%-81.6% of nucleotide identity with classical Muscovy duck parvovirus (MDPV) isolates. Phylogenetic analysis of 443 nucleotides (nt) of the fragment A showed that SDLC01 was highly similar to a mule duck isolate (strain D146/02) and close to European GPV isolates but separate from Asian GPV isolates. Analysis of the left inverted terminal repeat regions revealed that SDLC01 had two major segments deleted between positions 160-176 and 306-322 nt compared with field GPV and MDPV isolates. Phylogenetic analysis of Rep and VP1 encoded by two major open reading frames of parvoviruses revealed that SDLC01 was distinct from all GPV and MDPV isolates. The viral pathogenicity and genome characterization of SDLC01 suggest that the novel GPV (N-GPV) is the causative agent of BADS and belongs to a distinct GPV-related subgroup. Furthermore, N-GPV sequences were detected in diseased ducks by polymerase chain reaction and viral proliferation was demonstrated in duck embryos and duck embryo fibroblast cells.

  16. Cerebellar Functional Parcellation Using Sparse Dictionary Learning Clustering.

    PubMed

    Wang, Changqing; Kipping, Judy; Bao, Chenglong; Ji, Hui; Qiu, Anqi

    2016-01-01

    The human cerebellum has recently been discovered to contribute to cognition and emotion beyond the planning and execution of movement, suggesting its functional heterogeneity. We aimed to identify the functional parcellation of the cerebellum using information from resting-state functional magnetic resonance imaging (rs-fMRI). For this, we introduced a new data-driven decomposition-based functional parcellation algorithm, called Sparse Dictionary Learning Clustering (SDLC). SDLC integrates dictionary learning, sparse representation of rs-fMRI, and k-means clustering into one optimization problem. The dictionary is comprised of an over-complete set of time course signals, with which a sparse representation of rs-fMRI signals can be constructed. Cerebellar functional regions were then identified using k-means clustering based on the sparse representation of rs-fMRI signals. We solved SDLC using a multi-block hybrid proximal alternating method that guarantees strong convergence. We evaluated the reliability of SDLC and benchmarked its classification accuracy against other clustering techniques using simulated data. We then demonstrated that SDLC can identify biologically reasonable functional regions of the cerebellum as estimated by their cerebello-cortical functional connectivity. We further provided new insights into the cerebello-cortical functional organization in children.

  17. Isolation and Genomic Characterization of a Duck-Origin GPV-Related Parvovirus from Cherry Valley Ducklings in China

    PubMed Central

    Chen, Hao; Dou, Yanguo; Tang, Yi; Zhang, Zhenjie; Zheng, Xiaoqiang; Niu, Xiaoyu; Yang, Jing; Yu, Xianglong; Diao, Youxiang

    2015-01-01

    A newly emerged duck parvovirus, which causes beak atrophy and dwarfism syndrome (BADS) in Cherry Valley ducks, has appeared in Northern China since March 2015. To explore the genetic diversity among waterfowl parvovirus isolates, the complete genome of an identified isolate designated SDLC01 was sequenced and analyzed in the present study. Genomic sequence analysis showed that SDLC01 shared 90.8%–94.6% of nucleotide identity with goose parvovirus (GPV) isolates and 78.6%–81.6% of nucleotide identity with classical Muscovy duck parvovirus (MDPV) isolates. Phylogenetic analysis of 443 nucleotides (nt) of the fragment A showed that SDLC01 was highly similar to a mule duck isolate (strain D146/02) and close to European GPV isolates but separate from Asian GPV isolates. Analysis of the left inverted terminal repeat regions revealed that SDLC01 had two major segments deleted between positions 160–176 and 306–322 nt compared with field GPV and MDPV isolates. Phylogenetic analysis of Rep and VP1 encoded by two major open reading frames of parvoviruses revealed that SDLC01 was distinct from all GPV and MDPV isolates. The viral pathogenicity and genome characterization of SDLC01 suggest that the novel GPV (N-GPV) is the causative agent of BADS and belongs to a distinct GPV-related subgroup. Furthermore, N-GPV sequences were detected in diseased ducks by polymerase chain reaction and viral proliferation was demonstrated in duck embryos and duck embryo fibroblast cells. PMID:26465143

  18. A Systems Development Life Cycle Project for the AIS Class

    ERIC Educational Resources Information Center

    Wang, Ting J.; Saemann, Georgia; Du, Hui

    2007-01-01

    The Systems Development Life Cycle (SDLC) project was designed for use by an accounting information systems (AIS) class. Along the tasks in the SDLC, this project integrates students' knowledge of transaction and business processes, systems documentation techniques, relational database concepts, and hands-on skills in relational database use.…

  19. Teaching Case: A Systems Analysis Role-Play Exercise and Assignment

    ERIC Educational Resources Information Center

    Mitri, Michel; Cole, Carey; Atkins, Laura

    2017-01-01

    This paper presents a role-play exercise and assignment that provides an active learning experience related to the system investigation phase of an SDLC. Whether using waterfall or agile approaches, the first SDLC step usually involves system investigation activities, including problem identification, feasibility study, cost-benefit analysis, and…

  20. Development of a Prototype Decision Support System to Manage the Air Force Alternative Care Program

    DTIC Science & Technology

    1990-09-01

    development model was selected to structure the development process. Since it is necessary to ensure...uncertainty. Furthermore, the SDLC model provides a specific framework "by which an application is conceived, developed , and implemented" (Davis and Olson...associated with the automation of the manual ACP procedures. The SDLC Model has three stages: (1) definition, (2) development , and (3) installation

  1. Information Sharing for Computing Trust Metrics on COTS Electronic Components

    DTIC Science & Technology

    2008-09-01

    8 a. Standard SDLCs ...........................8 b. The Waterfall Model ......................9 c. V -shaped Model ...development of a system. There are many well-known SDLC models , the most popular of which are: • Waterfall • V -shaped • Spiral • Agile a. Standard...the SDLC or applied to software and hardware distribution chain. A. JØSANG’S MODEL DEFINED Jøsang expresses "opinions" mathematically as: 1

  2. 76 FR 68243 - Social Security Rulings, SSR 91-1c and SSR 66-18c; Rescission of Social Security Rulings (SSR) 66...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-03

    ..., Social Security Online, at http://www.socialsecurity.gov . SUPPLEMENTARY INFORMATION: SSRs make available... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2011-0068] Social Security Rulings, SSR 91-1c and SSR 66-18c; Rescission of Social Security Rulings (SSR) 66-18c and SSR 91-1c AGENCY: Social Security...

  3. Experimental reproduction of beak atrophy and dwarfism syndrome by infection in cherry valley ducklings with a novel goose parvovirus-related parvovirus.

    PubMed

    Chen, Hao; Dou, Yanguo; Tang, Yi; Zheng, Xiaoqiang; Niu, Xiaoyu; Yang, Jing; Yu, Xianglong; Diao, Youxiang

    2016-02-01

    Infection of clinically susceptible ducks, including cherry valley and Muscovy ducks, with a novel goose parvovirus (GPV)-related virus (N-GPV) can result in beak atrophy and dwarfism syndrome (BADS). To obtain new insights into the host range and pathogenic potential of this novel waterfowl parvovirus, cherry valley ducklings (n=20) were experimentally infected with N-GPV strain SDLC01. An equal number of ducklings served as uninfected controls. The appearance of clinical signs, histopathological changes, viral shedding, and seroconversion was monitored for 20 days post-infection. Infection status of all ducks was monitored using indirect ELISA, virus neutralization test, nested PCR, clinical indicators, and microscopic examination. Three ducks developed the typical clinical, gross, and histological changes of BADS. By study day 6, the infected ducks had seroconverted to N-GPV. The antibodies raised were neutralizing against the SDLC01 strain in vitro. Here we successfully developed an experimental infection model for studying the pathogenicity and role of N-GPV in BADS. Copyright © 2015 Elsevier B.V. All rights reserved.

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 76 FR 65558 - Rescission of Social Security Ruling 97-2p

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-21

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA 2007-0092] Rescission of Social Security Ruling 97-2p AGENCY: Social Security Administration. ACTION: Notice of rescission of Social Security Ruling. SUMMARY: In accordance with 20 CFR 402.35(b)(1), the Commissioner of Social Security gives notice of the...

  10. 78 FR 22361 - Social Security Ruling, SSR 13-1p; Titles II and XVI: Agency Processes for Addressing Allegations...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-15

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2012-0071] Social Security Ruling, SSR 13-1p..., Misconduct, or Discrimination by Administrative Law Judges (ALJs); Correction AGENCY: Social Security Administration. ACTION: Notice of Social Security Ruling; Correction. SUMMARY: The Social Security Administration...

  11. 78 FR 8217 - Social Security Ruling, SSR 13-1p; Titles II and XVI: Agency Processes for Addressing Allegations...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-05

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2012-0071] Social Security Ruling, SSR 13-1p..., Misconduct, or Discrimination by Administrative Law Judges (ALJs); Correction AGENCY: Social Security Administration. ACTION: Notice of Social Security Ruling; Correction. SUMMARY: The Social Security Administration...

  12. Development of a Prototype Detailing Management System for the Civil Engineer Corps

    DTIC Science & Technology

    2002-09-01

    73 Figure 30. Associate Members To Billets SQL Statement...American Standard Code for Information Interchange EMPRS Electronic Military Personnel Record System VBA Visual Basic for Applications SDLC...capturing keystrokes or carrying out a series of actions when opening an Access database. In the place of macros, VBA should be used because of its

  13. Evaluating Managerial Styles for System Development Life Cycle Stages to Ensure Software Project Success

    ERIC Educational Resources Information Center

    Kocherla, Showry

    2012-01-01

    Information technology (IT) projects are considered successful if they are completed on time, within budget, and within scope. Even though, the required tools and methodologies are in place, IT projects continue to fail at a higher rate. Current literature lacks explanation for success within the stages of system development life-cycle (SDLC) such…

  14. 17 CFR 41.24 - Rule amendments to security futures products.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... rule amendment relating to a security futures product if the registered derivatives transaction... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Rule amendments to security futures products. 41.24 Section 41.24 Commodity and Securities Exchanges COMMODITY FUTURES TRADING...

  15. 78 FR 17744 - Social Security Ruling, SSR 13-2p; Titles II and XVI: Evaluating Cases Involving Drug Addiction...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-22

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2012-0006] Social Security Ruling, SSR 13-2p...: Social Security Administration. ACTION: Notice of Social Security Ruling; Correction. SUMMARY: The Social..., Social Security Administration. [FR Doc. 2013-06594 Filed 3-21-13; 8:45 am] BILLING CODE 4191-02-P ...

  16. 75 FR 54930 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-09

    ... Relating to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business... prohibitions on municipal securities business (referred to hereafter as ``proposed rule change''). The MSRB has... securities business.\\3\\ Under Rule G-37, certain contributions to elected officials of municipal securities...

  17. Understanding Providers' Interaction with Graphical User Interface Pertaining to Clinical Document Usage in an Electronic Health Record System

    ERIC Educational Resources Information Center

    Rizvi, Rubina Fatima

    2017-01-01

    Despite high Electronic Health Record (EHR) system adoption rates by hospital and office-based practices, many users remain highly dissatisfied with the current state of EHRs. Sub-optimal EHR usability as a result of insufficient incorporation of User-Centered Design (UCD) approach during System Development Life Cycle process (SDLC) is considered…

  18. 76 FR 45309 - Social Security Ruling 11-1p; Titles II and XVI: Procedures for Handling Requests To File...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-28

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2011-0057] Social Security Ruling 11-1p; Titles II... AGENCY: Social Security Administration. ACTION: Notice of Social Security Ruling (SSR) SUMMARY: We are... administrative review process. This change will allow us to more efficiently use our limited resources to handle...

  19. 78 FR 12130 - Social Security Ruling, SSR 13-3p; Appeal of an Initial Medical Disability Cessation...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-21

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2011-0106] Social Security Ruling, SSR 13-3p; Appeal of an Initial Medical Disability Cessation Determination or Decision AGENCY: Social Security Administration. ACTION: Notice of Social Security Ruling (SSR). SUMMARY: We are giving notice of SSR 13-3p. This...

  20. Effortful control mediates relations between children's attachment security and their regard for rules of conduct

    PubMed Central

    Nordling, Jamie Koenig; Boldt, Lea J.; O'Bleness, Jessica; Kochanska, Grazyna

    2015-01-01

    Although attachment security has been associated with children's rule-compatible conduct, the mechanism through which attachment influences early regard for rules is not well established. We hypothesized that effortful control would mediate the link between security and indicators of children's emerging regard for rules (discomfort following rule violations, internalization of parents' and experimenter's rules, few externalizing behaviors). In a longitudinal study, the Attachment Q-Set was completed by parents, effortful control was observed, and Regard for Rules was observed and rated by parents. The proposed model fit the data well: Children's security to mothers predicted their effortful control, which in turn had a direct link to a greater Regard for Rules. Children's security with fathers did not predict effortful control. The mother-child relationship appears particularly important for positive developmental cascades of self-regulation and socialization. PMID:27158193

  1. 78 FR 34264 - Technical Corrections to the HIPAA Privacy, Security, and Enforcement Rules

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-07

    ...-AA03 Technical Corrections to the HIPAA Privacy, Security, and Enforcement Rules AGENCY: Office for... corrections address certain inadvertent errors and omissions in the HIPAA Privacy, Security, and Enforcement... (HHS or ``the Department'') published a final rule to implement changes to the HIPAA Privacy, Security...

  2. Social Security Ruling, SSR 99-2p.; titles II and XVI; evaluating cases involving chronic fatigue syndrome (CFS). Social Security Administration. Notice of Social Security ruling.

    PubMed

    1999-04-30

    In accordance with 20 CFR 402.35(b)(1), the Commissioner of Social Security gives notice of Social Security Ruling, SSR 99-2p. This Ruling clarifies disability policy for the evaluation and adjudication of disability claims involving Chronic Fatigue Syndrome (CFS). This Ruling explains that, when it is accompanied by appropriate medical signs or laboratory findings, CFS is a medically determinable impairment that can be the basis for a finding of "disability." This Ruling ensures that all adjudicators will use the same policies and procedures in evaluating disability claims involving CFS, and provides a consolidated statement of these policies and procedures.

  3. 17 CFR 275.0-3 - References to rules and regulations.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false References to rules and regulations. 275.0-3 Section 275.0-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 § 275.0-3 References to rules and...

  4. 17 CFR 240.17a-1 - Recordkeeping rule for national securities exchanges, national securities associations...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... national securities exchanges, national securities associations, registered clearing agencies and the... Certain Stabilizing Activities § 240.17a-1 Recordkeeping rule for national securities exchanges, national...) Every national securities exchange, national securities association, registered clearing agency and the...

  5. 76 FR 11327 - Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-02

    ... SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34-63949] Technical Amendments to...: Securities and Exchange Commission. ACTION: Final rule; technical amendments. SUMMARY: The Securities and Exchange Commission (``Commission'') is adopting technical amendments to Rule 17a-8 under the Securities...

  6. 17 CFR 240.3a55-3 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade. 240.3a55-3 Section 240.3a55-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  7. 17 CFR 240.3a55-3 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade. 240.3a55-3 Section 240.3a55-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  8. 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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 17 CFR 300.502 - Claim for securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Claim for securities. 300.502 Section 300.502 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Rules Relating to Satisfaction...

  4. 78 FR 66318 - Securities Investor Protection Corporation

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-05

    ...] Securities Investor Protection Corporation AGENCY: Securities and Exchange Commission. ACTION: Proposed rule. SUMMARY: The Securities Investor Protection Corporation (``SIPC'') filed a proposed rule change with the... satisfaction of customer claims for standardized options under the Securities Investor Protection Act of 1970...

  5. 17 CFR 200.80c - Appendix C-Rules and miscellaneous publications available from the Government Printing Office.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... securities, block distributions, securities registrations and offerings, net change in corporate securities... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Appendix C-Rules and... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND...

  6. 17 CFR 200.80c - Appendix C-Rules and miscellaneous publications available from the Government Printing Office.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... securities, block distributions, securities registrations and offerings, net change in corporate securities... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Appendix C-Rules and... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND...

  7. 17 CFR 200.80c - Appendix C-Rules and miscellaneous publications available from the Government Printing Office.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... securities, block distributions, securities registrations and offerings, net change in corporate securities... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Appendix C-Rules and... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND...

  8. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  9. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  10. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  11. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  12. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  13. 77 FR 67724 - Rescission of Social Security Acquiescence Ruling 05-1(9)

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-13

    ...-1213 or TTY 1-800-325-0778, or visit our Internet site, Social Security Online, at http://www... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2012-0058] Rescission of Social Security Acquiescence Ruling 05-1(9) AGENCY: Social Security Administration. [[Page 67725

  14. 17 CFR 300.503 - Voidable securities transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Rules Relating to... right of the Securities Investor Protection Corporation, in a direct payment procedure under section 10... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Voidable securities...

  15. 78 FR 69168 - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-18

    ... approve a proposed rule change of a self-regulatory organization if it finds that such proposed rule... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70848; File No. SR-NSCC-2013-10] Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To...

  16. 78 FR 11921 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-20

    ... Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend the...'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described... Commission is publishing this notice to solicit comments on the proposed rule change from interested persons...

  17. 17 CFR 201.153 - Filing of papers: Signature requirement and effect.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Filing of papers: Signature requirement and effect. 201.153 Section 201.153 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.153 Filing of papers: Signature...

  18. 78 FR 72951 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-04

    ... To Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection--Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook, as... loans and borrowings, permissible use of customers' securities, and callable securities as FINRA Rules...

  19. 78 FR 44729 - Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-24

    ...We are adopting amendments to our rules to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 926 requires us to adopt rules that disqualify securities offerings involving certain ``felons and other `bad actors''' from reliance on Rule 506 of Regulation D. The rules must be ``substantially similar'' to Rule 262 under the Securities Act, which contains the disqualification provisions of Regulation A under the Securities Act, and must also cover matters enumerated in Section 926 of the Dodd-Frank Act (including certain state regulatory orders and bars).

  20. 45 CFR 164.306 - Security standards: General rules.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... RELATED REQUIREMENTS SECURITY AND PRIVACY Security Standards for the Protection of Electronic Protected Health Information § 164.306 Security standards: General rules. (a) General requirements. Covered... covered entity to reasonably and appropriately implement the standards and implementation specifications...

  1. 45 CFR 164.306 - Security standards: General rules.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... RELATED REQUIREMENTS SECURITY AND PRIVACY Security Standards for the Protection of Electronic Protected Health Information § 164.306 Security standards: General rules. (a) General requirements. Covered... and appropriately implement the standards and implementation specifications as specified in this...

  2. 17 CFR 41.13 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Futures contracts on security... Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SECURITY FUTURES PRODUCTS Narrow-Based Security Indexes § 41.13 Futures contracts on security indexes trading on or subject to the rules of a foreign...

  3. 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...

  4. 75 FR 57384 - Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-21

    .... SUPPLEMENTARY INFORMATION: The Insider Trading and Securities Fraud Enforcement Act of 1988 authorized the... SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 [Release No. 34-62921] Rescission of Rules... Trading AGENCY: Securities and Exchange Commission. ACTION: Final rule. SUMMARY: The Dodd-Frank Wall...

  5. 76 FR 60959 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-30

    ...-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed New Rule A... Commission (the ``Commission'') a proposed rule change pursuant to Section 19(b)(1) of the Securities... municipal advisor assessments, and (ii) new Form A-11-Interim. Notice of the proposed rule change was...

  6. 76 FR 446 - Supplemental Security Income (SSI) for the Aged, Blind, and Disabled; Dedicated Accounts and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-05

    ... SOCIAL SECURITY ADMINISTRATION 20 CFR Part 416 [Docket No. SSA-2008-0050] RIN 0960-AE59... Payments for Certain Past- Due SSI Benefits AGENCY: Social Security Administration (SSA). ACTION: Final rules. SUMMARY: These final rules adopt, with some minor changes, the interim final rules with request...

  7. 17 CFR 240.14d-6 - Disclosure of tender offer information to security holders.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Disclosure of tender offer information to security holders. 240.14d-6 Section 240.14d-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and...

  8. Modifications to the HIPAA Privacy, Security, Enforcement, and Breach Notification rules under the Health Information Technology for Economic and Clinical Health Act and the Genetic Information Nondiscrimination Act; other modifications to the HIPAA rules.

    PubMed

    2013-01-25

    The Department of Health and Human Services (HHS or ``the Department'') is issuing this final rule to: Modify the Health Insurance Portability and Accountability Act (HIPAA) Privacy, Security, and Enforcement Rules to implement statutory amendments under the Health Information Technology for Economic and Clinical Health Act (``the HITECH Act'' or ``the Act'') to strengthen the privacy and security protection for individuals' health information; modify the rule for Breach Notification for Unsecured Protected Health Information (Breach Notification Rule) under the HITECH Act to address public comment received on the interim final rule; modify the HIPAA Privacy Rule to strengthen the privacy protections for genetic information by implementing section 105 of Title I of the Genetic Information Nondiscrimination Act of 2008 (GINA); and make certain other modifications to the HIPAA Privacy, Security, Breach Notification, and Enforcement Rules (the HIPAA Rules) to improve their workability and effectiveness and to increase flexibility for and decrease burden on the regulated entities.

  9. 75 FR 1566 - National Industrial Security Program Directive No. 1

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-12

    ... NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Information Security Oversight Office 32 CFR Part...: Information Security Oversight Office, NARA. ACTION: Proposed rule; correction. SUMMARY: This document... Management System (FDMS) number to the proposed rule for Information Security Oversight Office (ISOO...

  10. Illegal Immigration in the United States: Implications for Rule of Law and National Security

    DTIC Science & Technology

    2012-02-15

    AIR WAR COLLEGE AIR UNIVERSITY ILLEGAL IMMIGRATION IN THE UNITED STATES: IMPLICATIONS FOR RULE OF LAW AND NATIONAL SECURITY By Paul A...government’s failure to strictly enforce immigration laws presents national security vulnerabilities and is subversive to the rule of law . Without...the rule of law , serious social tensions will occur that impel states and localities to fill the void left by the lack of immigration enforcement. In

  11. 17 CFR 300.500 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false General. 300.500 Section 300.500 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Rules Relating to Satisfaction of A...

  12. 78 FR 12129 - Rescission of Social Security Acquiescence Rulings 92-2(6)

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-21

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA 2011-0106] Rescission of Social Security Acquiescence Rulings 92-2(6) AGENCY: Social Security Administration. ACTION: Notice of Rescission of Social... accordance with 20 CFR 402.35(b)(2), 404.985(e) and 416.1485(e), the Commissioner of Social Security gives...

  13. Naval Postgraduate School Research. Volume 8, Number 3, October 1998

    DTIC Science & Technology

    1998-10-01

    the Bangor Submarine Base: “Understanding Racism ” and “Under- standing Sexism .” These two-day workshops are part of a four workshop series on Managing...organization theory and complex- ity theory and shaping them into design guidelines for mapping command and control processes to the needs of specific missions...Intranet- based decision support for the ACE. The methodol- ogy combines systems development life cycle (SDLC) practices, command and control theory , an

  14. A Demonstration and Analysis of Requirements for Maritime Navigation Planning.

    DTIC Science & Technology

    1998-03-01

    it the highest and 0-4 and above the lowest. Once again, the value added by grouping the data and comparing may be nothing...purpose behind a prototype is to ascertain user requirements. It should be created rapidly to speed up the system development life cycle ( SDLC ). Since...system is contained in Chapter II, Section B. 3. Internet to Sea (SEANET) Program The SeaNet Project is a collaborative effort to bring the

  15. IEEE Computer Society/Software Engineering Institute Software Process Achievement (SPA) Award 2009

    DTIC Science & Technology

    2011-03-01

    capabilities to our GDM. We also introduced software as a service ( SaaS ) as part our technology solutions and have further enhanced our ability to...model PROSPER Infosys production support methodology Q&P quality and productivity R&D research and development SaaS software as a service ... Software Development Life Cycle (SDLC) 23 Table 10: Scientific Estimation Coverage by Service Line 27 CMU/SEI-2011-TR-008 | vi CMU/SEI-2011

  16. 17 CFR 201.230 - Enforcement and disciplinary proceedings: Availability of documents for inspection and copying.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Enforcement and disciplinary proceedings: Availability of documents for inspection and copying. 201.230 Section 201.230 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice Initiation of Proceedings and Prehearing Rules §...

  17. 75 FR 28836 - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by International...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-24

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62125; File No. SR-ISE-2010-48] Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by International Securities Exchange LLC To Amend ISE Rule 2102 To Provide for a Trading Pause for Individual Securities When the Price Moves Ten Percent or...

  18. 75 FR 66410 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-28

    ... Effectiveness of Proposed Rule Change Relating to the Sales Value Fee October 22, 2010. Pursuant to Section 19(b... Terms of Substance of the Proposed Rule Change The Exchange proposes to adopt ISE Rule 212 (Sales Value... supervision and regulation of the securities markets and securities professionals. To offset this obligation...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 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...

  4. 77 FR 38361 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Withdrawal of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-27

    ... Organizations; International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To List and... proposed rule change to list and trade option contracts overlying 10 shares of a security. Notice of the proposed rule change was published in the Federal Register on April 24, 2012.\\3\\ The Commission received...

  5. 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...

  6. 75 FR 9262 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-01

    ... at the present time, and urged FINRA to study data collected on Asset-Backed Securities before making... to a recent rule change to the Rule 6700 Series,\\7\\ Agency Debt Securities and certain primary market... corporate debt securities;\\12\\ and \\12\\ See id. (14) In Rule 6700 Series, incorporate certain technical...

  7. 17 CFR 12.300 - Scope and applicability of rules.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Scope and applicability of rules. 12.300 Section 12.300 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS Rules Applicable to Formal Decisional Proceedings § 12.300 Scope and...

  8. 78 FR 44771 - Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-24

    ...We are adopting amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 to implement Section 201(a) of the Jumpstart Our Business Startups Act. The amendment to Rule 506 permits an issuer to engage in general solicitation or general advertising in offering and selling securities pursuant to Rule 506, provided that all purchasers of the securities are accredited investors and the issuer takes reasonable steps to verify that such purchasers are accredited investors. The amendment to Rule 506 also includes a non-exclusive list of methods that issuers may use to satisfy the verification requirement for purchasers who are natural persons. The amendment to Rule 144A provides that securities may be offered pursuant to Rule 144A to persons other than qualified institutional buyers, provided that the securities are sold only to persons that the seller and any person acting on behalf of the seller reasonably believe are qualified institutional buyers. We are also revising Form D to require issuers to indicate whether they are relying on the provision that permits general solicitation or general advertising in a Rule 506 offering. Also today, in a separate release, to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to Rule 506 to disqualify issuers and other market participants from relying on Rule 506 if ``felons and other `bad actors' '' are participating in the Rule 506 offering. We are also today, in a separate release, publishing for comment a number of proposed amendments to Regulation D, Form D and Rule 156 under the Securities Act that are intended to enhance the Commission's ability to evaluate the development of market practices in Rule 506 offerings and address certain comments made in connection with implementing Section 201(a)(1) of the Jumpstart Our Business Startups Act.

  9. 45 CFR 164.306 - Security standards: General rules.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 45 Public Welfare 1 2010-10-01 2010-10-01 false Security standards: General rules. 164.306 Section 164.306 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES ADMINISTRATIVE DATA STANDARDS AND RELATED REQUIREMENTS SECURITY AND PRIVACY Security Standards for the Protection of Electronic Protected...

  10. 45 CFR 164.306 - Security standards: General rules.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... 45 Public Welfare 1 2011-10-01 2011-10-01 false Security standards: General rules. 164.306 Section 164.306 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES ADMINISTRATIVE DATA STANDARDS AND RELATED REQUIREMENTS SECURITY AND PRIVACY Security Standards for the Protection of Electronic Protected...

  11. 45 CFR 164.306 - Security standards: General rules.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 45 Public Welfare 1 2014-10-01 2014-10-01 false Security standards: General rules. 164.306 Section 164.306 Public Welfare Department of Health and Human Services ADMINISTRATIVE DATA STANDARDS AND RELATED REQUIREMENTS SECURITY AND PRIVACY Security Standards for the Protection of Electronic Protected...

  12. 17 CFR 300.501 - Claim for cash.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Claim for cash. 300.501 Section 300.501 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Rules Relating to Satisfaction...

  13. 75 FR 51147 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-18

    ....'' \\8\\ The rule requires prominent disclosure of the nature of the conflict, and in certain... Change To Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the... FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) (``Rule'') in the...

  14. 75 FR 54681 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-08

    ...-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change The...-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Authority To Suspend or Waive NSCC Rules and...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 78 FR 30967 - Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-23

    ... context of the security-based swap dealer definition, for affiliated groups with a registered security... for Affiliated Groups with Registered Security-Based Swap Dealers); Rule 3a71-5 (Substituted... 13n-12 (Exemption from Requirements Governing Security-Based Swap Data Repositories for Certain Non-U...

  20. 17 CFR 202.6 - Adoption, revision, and rescission of rules and regulations of general application.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Adoption, revision, and rescission of rules and regulations of general application. 202.6 Section 202.6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION INFORMAL AND OTHER PROCEDURES § 202.6 Adoption, revision, and rescission of rules and regulations of...

  1. 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...

  2. 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...

  3. 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...

  4. 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...

  5. 78 FR 25777 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-02

    .... 78o-4(b)(2)(C). In the filing, the Exchange notes its belief that the proposed rule change relating to... Organizations; International Securities Exchange, LLC; Order Granting Approval of a Proposed Rule Change To...'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend Rule 720, Obvious and Catastrophic...

  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. 78 FR 4365 - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-22

    ... 3235-AL12 Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major... public comment to establish capital, margin, and segregation requirements for security-based swap dealers... soliciting comment on proposed rules and rule amendments establishing capital, margin, and segregation...

  11. 75 FR 63873 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-18

    ... Business October 12, 2010. I. Introduction On August 25, 2010, the Municipal Securities Rulemaking Board... contributions and prohibitions on municipal securities business. The proposed rule change was published for... prohibitions on municipal securities business.\\4\\ Under Rule G-37, certain contributions to elected officials...

  12. 77 FR 21120 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-09

    ... Contracts Overlying 10 Shares of a Security (``Mini-Options Contracts'') and Implementing Rule Text... contracts'') and implement rule text necessary to distinguish mini-options contracts from option contracts overlying 100 shares of a security (``standard contracts''). The text of the proposed rule change is...

  13. 75 FR 54675 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-08

    ... waive FICC's rules, procedures, and regulations of the Mortgage-Backed Securities Division. II. Self... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62796; File No. SR-FICC-2010-06] Self... Proposed Rule Change To Amend Rules Relating to Authority To Waive Rules, Procedures, and Regulations of...

  14. 17 CFR 41.13 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade. 41.13 Section 41.13 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SECURITY FUTURES PRODUCTS Narrow-Based Security Indexes § 41.13 Futures contracts on...

  15. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 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 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 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. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 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...

  18. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 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...

  19. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 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...

  20. 17 CFR 240.17Ad-13 - Annual study and evaluation of internal accounting control.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Annual study and evaluation of internal accounting control. 240.17Ad-13 Section 240.17Ad-13 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 240.17Ad-13 - Annual study and evaluation of internal accounting control.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Annual study and evaluation of internal accounting control. 240.17Ad-13 Section 240.17Ad-13 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 240.17Ad-13 - Annual study and evaluation of internal accounting control.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Annual study and evaluation of internal accounting control. 240.17Ad-13 Section 240.17Ad-13 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 240.17Ad-13 - Annual study and evaluation of internal accounting control.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Annual study and evaluation of internal accounting control. 240.17Ad-13 Section 240.17Ad-13 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. Interactive Synthesis of Code Level Security Rules

    DTIC Science & Technology

    2017-04-01

    Interactive Synthesis of Code-Level Security Rules A Thesis Presented by Leo St. Amour to The Department of Computer Science in partial fulfillment...of the requirements for the degree of Master of Science in Computer Science Northeastern University Boston, Massachusetts April 2017 DISTRIBUTION...Abstract of the Thesis Interactive Synthesis of Code-Level Security Rules by Leo St. Amour Master of Science in Computer Science Northeastern University

  5. 5 CFR 9701.502 - Rule of construction.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 9701.502 Administrative Personnel DEPARTMENT OF HOMELAND SECURITY HUMAN RESOURCES MANAGEMENT SYSTEM (DEPARTMENT OF HOMELAND SECURITY-OFFICE OF PERSONNEL MANAGEMENT) DEPARTMENT OF HOMELAND SECURITY HUMAN RESOURCES MANAGEMENT SYSTEM Labor-Management Relations § 9701.502 Rule of construction. In interpreting this...

  6. 75 FR 82119 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63599; File No. SR-MSRB-2010-16] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Amendments to Rule G-5, on Disciplinary Actions by Appropriate Regulatory Agencies, Remedial Notices by Registered Securities Associations; and Rule G-17, on Conduct...

  7. 17 CFR 240.17Ad-19 - Requirements for cancellation, processing, storage, transportation, and destruction or other...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Requirements for cancellation....17Ad-19 Section 240.17Ad-19 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-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...

  9. 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...

  10. 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...

  11. 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...

  12. 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...

  13. 78 FR 9987 - Social Security Ruling, SSR 13-1p; Titles II and XVI: Agency Processes for Addressing Allegations...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-12

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2012-0071] Social Security Ruling, SSR 13-1p; Titles II and XVI: Agency Processes for Addressing Allegations of Unfairness, Prejudice, Partiality, Bias, Misconduct, or Discrimination by Administrative Law Judges (ALJs); Correction AGENCY: Social Security...

  14. 77 FR 43407 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-24

    ...-Laws and Rules to security futures on index-linked securities such as exchange-traded notes, which are currently traded on OneChicago, LLC. Index-linked securities are non-convertible debt of a major financial... futures contracts, one or more physical commodities, currencies or debt securities, or a combination of...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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...

  20. 75 FR 81683 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-28

    ..., dealer, or underwriter (``securities-related businesses''). Rule 12d3-1 (``Exemption of acquisitions of securities issued by persons engaged in securities related businesses'' (17 CFR 270.12d3-1)) permits a fund... percent of its gross revenues from securities-related businesses, but a fund may not rely on rule 12d3-1...

  1. 78 FR 70974 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-27

    ..., dealer, or underwriter (``securities-related businesses''). Rule 12d3-1 (``Exemption of acquisitions of securities issued by persons engaged in securities related businesses'' (17 CFR 270.12d3-1)) permits a fund... percent of its gross revenues from securities-related businesses, but a fund may not rely on rule 12d3-1...

  2. 17 CFR 240.14d-2 - Commencement of a tender offer.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Commencement of a tender offer. 240.14d-2 Section 240.14d-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  3. 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...

  4. 17 CFR 240.14a-12 - Solicitation before furnishing a proxy statement.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Solicitation before furnishing a proxy statement. 240.14a-12 Section 240.14a-12 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and...

  5. 17 CFR 200.80c - Appendix C-Rules and miscellaneous publications available from the Government Printing Office.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... registrations and offerings, net change in corporate securities outstanding, working capital of U.S... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Appendix C-Rules and... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND...

  6. 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...

  7. 77 FR 34102 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-08

    ... Rule 5.2(j)(3), the Exchange's listing standards for Investment Company Units (``Units'').\\3\\ \\3\\ An Investment Company Unit is a security that represents an interest in a registered investment company that... of securities (or holds securities in another registered investment company that holds securities...

  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, 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...

  9. 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...

  10. 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...

  11. 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...

  12. 78 FR 71014 - Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Withdrawal of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70918; File No. SR-NYSEArca-2013-42] Self... August 20, 2013, NYSEArca, Inc. (``NYSEArca'' or the ``Exchange'') filed with the Securities and Exchange...\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend NYSEArca Rule 6.72 to make permanent the...

  13. 76 FR 60955 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-30

    ...-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed Rule G-36... Application of Proposed Rule G-36 to Municipal Advisors September 26, 2011. On August 23, 2011, the Municipal...\\ and Rule 19b-4 thereunder,\\2\\ consisting of proposed Rule G-36 (on fiduciary duty of municipal...

  14. 75 FR 4126 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-26

    ... Business) and Rule G-8 (Books and Records To Be Made by Brokers, Dealers and Municipal Securities Dealers... business) and Rule G-8 (books and records to be made by brokers, dealers and municipal securities dealers...

  15. 77 FR 51842 - Social Security Acquiescence Ruling (AR) 12-X(8); Petersen v. Astrue, 633 F.3d 633 (8th Cir. 2011...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-27

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2012-0046] Social Security Acquiescence Ruling (AR) 12-X(8); Petersen v. Astrue, 633 F.3d 633 (8th Cir. 2011); Whether a National Guard Technician Who.... Acquiescence Ruling 12-X(8) Petersen v. Astrue, 633 F.3d 633 (8th Cir. 2011): Whether a National Guard...

  16. 75 FR 70756 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63309; File No. SR-MSRB-2010-16] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendments to Rule G-5, on Disciplinary Actions by Appropriate Regulatory Agencies, Remedial Notices by Registered Securities Associations; and Rule G-17, on Conduct of...

  17. 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...

  18. 78 FR 32287 - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-29

    ... other things, clarify the scope of products proposed to be cleared, add new Rule 207(f) prohibiting FCM.... securities laws (i.e., LIFFE futures and options on equity securities) (the ``LIFFE securities products... facility for purposes of trading such products. In addition, only certain LIFFE securities products are...

  19. 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...

  20. 78 FR 56955 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70362; File No. SR-ISE-2013-42] Self-Regulatory..., 2013, International Securities Exchange, LLC (``Exchange'') filed with the Securities and Exchange...\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to list and trade options on the Nations VolDex...

  1. 17 CFR 240.36a1-2 - Exemption from SIPA for OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from SIPA for OTC derivatives dealers. 240.36a1-2 Section 240.36a1-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  2. 75 FR 64372 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63095; File No. SR-MSRB-2010-10] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of Amendments to Rule A-13 To Increase Transaction Assessments for Certain Municipal Securities Transactions Reported to the Board and To...

  3. The Evolution of the Automated Continuous Evaluation System (ACES) for Personnel Security

    DTIC Science & Technology

    2013-11-12

    information. It applies business rules to the data, produces a report that flags issues of potential security concern, and electronically transmits...Form 86 (SF- 86) to check these data sources, verify what has been submitted, and collect more information. It applies business rules to the data...subject information. It applies business rules to analyze the data returned, produces a report that flags issues of potential security concern, and

  4. 77 FR 17102 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-23

    ... Rule Change To Adopt a New Order Type March 19, 2012. Pursuant to Section 19(b)(1) of the Securities... of the Proposed Rule Change The Exchange proposes to amend Rule 715 (Types of Orders) to adopt a new order type. The text of the proposed rule change is available on the Exchange's Internet Web site at...

  5. 78 FR 62780 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... to Amend MSRB Rule A-3, on Membership on the Board, To Modify the Standard of Independence for Public... Securities Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change consisting of amendments to MSRB Rule A-3 to modify the standard of independence for public Board members...

  6. 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...

  7. 75 FR 25019 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-06

    ..., Inc. To Make a Technical Adjustment to Its Rules To Allow Sub-Penny Quoting of Certain Securities... adjustment to its rules to allow sub-penny quoting of certain securities priced less than $1.00. The text of... to make a technical adjustment its rules to allow sub-penny quoting of Investment Company Units...

  8. 78 FR 77173 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-20

    ... because they effect transactions in securities futures products. The information obtained from Rule 17a-13... time complying with the rule, given that they do not do a public securities business or do not hold... SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request...

  9. 17 CFR 41.32 - Continuing obligations.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... the Securities and Exchange Commission or with a futures association registered under section 17 of... board of trade lists a security futures product for trading; (iii) Provide the Commission with any new rules or rule amendments that relate to the trading of security futures products, including both...

  10. Utilizing Dynamically Coupled Cores to Form a Resilient Chip Multiprocessor

    DTIC Science & Technology

    2007-06-01

    requires a significant deviation from previous work. For instance, we find that using the relaxed input replication model from Reunion incurs a...Circuit Width Delay Count CRC-16 16 6.65 754 CRC- SDLC -16 16 6.10 888 CRC-32 16 7.28 2260 CRC-32 32 8.60 4240 Table 1. FO4 delay and transistor count for...the operation of our proposed system is the same in all other respects. 4.4 Compatibility Across Memory Consis- tency Models The memory consistency

  11. Automatic Learning of Fine Operating Rules for Online Power System Security Control.

    PubMed

    Sun, Hongbin; Zhao, Feng; Wang, Hao; Wang, Kang; Jiang, Weiyong; Guo, Qinglai; Zhang, Boming; Wehenkel, Louis

    2016-08-01

    Fine operating rules for security control and an automatic system for their online discovery were developed to adapt to the development of smart grids. The automatic system uses the real-time system state to determine critical flowgates, and then a continuation power flow-based security analysis is used to compute the initial transfer capability of critical flowgates. Next, the system applies the Monte Carlo simulations to expected short-term operating condition changes, feature selection, and a linear least squares fitting of the fine operating rules. The proposed system was validated both on an academic test system and on a provincial power system in China. The results indicated that the derived rules provide accuracy and good interpretability and are suitable for real-time power system security control. The use of high-performance computing systems enables these fine operating rules to be refreshed online every 15 min.

  12. 76 FR 11828 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-03

    ... businesses''). Rule 12d3-1 (``Exemption of acquisitions of securities issued by persons engaged in securities... businesses, but a fund may not rely on rule 12d3-1 to acquire securities of its own investment adviser or any... ability to take advantage of the fund, because it is not in a position to direct the fund's securities...

  13. 77 FR 64369 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-19

    ... securities laws. It is suggested that the Company consult with corporate/securities counsel in assessing its... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68053; File No. SR-NASDAQ-2012-118] Self... Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice...

  14. 76 FR 57787 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-16

    ... securities product (``UTP Derivative Security'') that derives its value from one or more currencies or..., proposed EDGA Rule 14.1(c)(5)(A) provides that a Restricted Market Maker in a UTP Derivative Security on... Reference Asset of that UTP Derivative Security, or any derivative instrument based on a Reference Asset of...

  15. 5 CFR 4.3 - Prohibition against securing withdrawal from competition.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 5 Administrative Personnel 1 2010-01-01 2010-01-01 false Prohibition against securing withdrawal from competition. 4.3 Section 4.3 Administrative Personnel OFFICE OF PERSONNEL MANAGEMENT CIVIL SERVICE RULES PROHIBITED PRACTICES (RULE IV) § 4.3 Prohibition against securing withdrawal from competition. No...

  16. 75 FR 65442 - Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-25

    ...-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act AGENCY: Securities and Exchange Commission. ACTION: Proposed rule; correction. SUMMARY: The..., October 25, 2010 / Proposed Rules#0;#0; [[Page 65442

  17. 78 FR 57907 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-20

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 604, Continuing Education for Registered Persons, and To Adopt a... proposing to amend Rule 604 to clarify the current continuing education requirements for registered persons...

  18. 20 CFR 416.1141 - When the presumed value rule applies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ....1141 Section 416.1141 Employees' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income In-Kind Support and Maintenance § 416.1141 When the presumed value rule applies. The presumed value rule applies whenever we must count in-kind support and...

  19. 20 CFR 416.1131 - The one-third reduction rule.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Section 416.1131 Employees' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income In-Kind Support and Maintenance § 416.1131 The one-third reduction rule. (a) What the rule is. Instead of determining the actual dollar value of in-kind support and...

  20. 20 CFR 416.1140 - The presumed value rule.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ....1140 Employees' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income In-Kind Support and Maintenance § 416.1140 The presumed value rule. (a) How we apply the presumed value rule. (1) When you receive in-kind support and maintenance and the one...

  1. 20 CFR 416.1141 - When the presumed value rule applies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ....1141 Section 416.1141 Employees' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income In-Kind Support and Maintenance § 416.1141 When the presumed value rule applies. The presumed value rule applies whenever we must count in-kind support and...

  2. 20 CFR 416.1131 - The one-third reduction rule.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Section 416.1131 Employees' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income In-Kind Support and Maintenance § 416.1131 The one-third reduction rule. (a) What the rule is. Instead of determining the actual dollar value of in-kind support and...

  3. 75 FR 25889 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-10

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62019; File No. SR-NYSEArca-2010-16] Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Amending Rule 6.37A and Rule 6.64 April 30, 2010. On March 11, 2010, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange'') filed with the Securities and Exchange...

  4. 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...

  5. 26 CFR 53.4941(d)-4 - Transitional rules.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Transitional rules. (a) Certain transactions involving securities acquired by a foundation before May 27, 1969... of self-dealing if such transaction is pursuant to the terms of securities of such corporation, if such terms were in existence at the time such securities were acquired by the foundation, and if such...

  6. 76 FR 35055 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-15

    ... provided for in the following rule: Rule 17f-2(e) (17 CFR 240.17f-2(e)) under the Securities Exchange Act... SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy...

  7. 17 CFR 201.411 - Commission consideration of initial decisions by hearing officers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Commission consideration of initial decisions by hearing officers. 201.411 Section 201.411 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice Appeal to the Commission and...

  8. 77 FR 18716 - Transportation Security Administration Postal Zip Code Change; Technical Amendment

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-28

    ... organizational changes and it has no substantive effect on the public. DATES: Effective March 28, 2012. FOR... No. 1572-9] Transportation Security Administration Postal Zip Code Change; Technical Amendment AGENCY: Transportation Security Administration, DHS. ACTION: Final rule. SUMMARY: This rule is a technical change to...

  9. 77 FR 43496 - Regulations Regarding Income-Related Monthly Adjustment Amounts to Medicare Beneficiaries...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-25

    ... as Medicare Part D) premiums. This new subpart implemented changes made to the Social Security Act... SOCIAL SECURITY ADMINISTRATION 20 CFR Part 418 [Docket No. SSA-2010-0029] RIN 0960-AH22... Coverage Premiums AGENCY: Social Security Administration. ACTION: Final rule. SUMMARY: This final rule...

  10. 76 FR 80241 - Revisions to Rules of Conduct and Standards of Responsibility for Representatives

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-23

    ... SOCIAL SECURITY ADMINISTRATION 20 CFR Parts 404 and 416 [Docket No. SSA-2011-0016] RIN 0960-AH32 Revisions to Rules of Conduct and Standards of Responsibility for Representatives AGENCY: Social Security.... FOR FURTHER INFORMATION CONTACT: Andrew Maunz, Office of the General Counsel, Social Security...

  11. 75 FR 81692 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-28

    ... instrumentalities, or purchase more than 10% of the voting securities of any one issuer, with respect to 75% of the... in, or are secured by and payable from, mortgage loans on real property. The ETF will not purchase... unregistered securities, including Rule 144A securities, that are purchased directly from the issuer or in the...

  12. 17 CFR 240.15c3-4 - Internal risk management control systems for OTC derivatives dealers.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Internal risk management control systems for OTC derivatives dealers. 240.15c3-4 Section 240.15c3-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  13. 17 CFR 260.0-3 - Definition of “rules and regulations” as used in certain sections 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 Definition of ârules and regulationsâ as used in certain sections of the Act. 260.0-3 Section 260.0-3 Commodity and Securities Exchanges... Terms Used in the Rules and Regulations § 260.0-3 Definition of “rules and regulations” as used in...

  14. 75 FR 31825 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-04

    ....'' \\5\\ The rule requires prominent disclosure of the nature of the conflict, and in certain... Change To Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the... (Public Offerings of Securities With Conflicts of Interest) as a FINRA rule in the consolidated FINRA...

  15. 77 FR 67047 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-08

    ...-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of Amendments to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32... Organization's Statement of the Terms of Substance of the Proposed Rule Change The MSRB is filing with the...

  16. 77 FR 59427 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-27

    ...-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend Rule G-34 on CUSIP Numbers, New Issue, and Market Information Requirements September 21... consisting of amendments to Rule G-34 on CUSIP numbers, new issue, and market information requirements. The...

  17. 77 FR 59030 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-25

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67888; File No. SR-BATS-2012-030] Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend BATS Rule 14.11, Entitled ``Other Securities'' September 19, 2012. I. Introduction On July 20, 2012, BATS...

  18. 75 FR 485 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-05

    ... Municipal Market Access System (EMMA[supreg]) December 23, 2009. On July 14, 2009, the Municipal Securities... Municipal Market Access System (EMMA[supreg]). The proposed rule change was published for comment in the... Municipal Market Access system (``EMMA'') (as amended, the ``proposed rule change''). The proposed rule...

  19. 76 FR 55449 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-07

    ... purchasing of supplies. SIFMA noted that it understood why the wording of the gift prohibition for municipal... the Municipal Securities Rulemaking Board Consisting of Amendments to MSRB Rule G-20 (Gifts and... Commission a proposed rule change consisting of proposed amendments to MSRB Rule G-20 (on gifts and...

  20. 78 FR 30362 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-22

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69596; File No. SR-NSCC-2013-06] Self... Effectiveness of Proposed Rule Change To Modify Fees Related to Portfolio Composition File Reporting in Addendum... Portfolio Composition File Reporting in Addendum A of NSCC's Rules and Procedures (``Rules''), as described...

  1. Recognizing and reducing risks: HIPAA privacy and security enforcement.

    PubMed

    Wachler, Andrew B; Fehn, Amy K

    2003-01-01

    With the passing of the Health Insurance Portability and Accountability Act (HIPAA) privacy rule deadline and the security rule deadline looming, many covered entities are left wondering if they are doing enough to prevent privacy and security breaches and what type of exposure their organization could face in the event of a breach.

  2. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2005-04-01

    ... 17 Commodity and Securities Exchanges 3 2005-04-01 2005-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each...

  3. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each...

  4. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each...

  5. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each...

  6. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each...

  7. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2005-04-01

    ... 17 Commodity and Securities Exchanges 3 2005-04-01 2005-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each...

  8. 76 FR 11533 - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-02

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63955; File No. SR-ISE-2010-73] Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of a Proposed Rule Change To Modify Qualified Contingent Cross Order Rules February 24, 2011. I. Introduction On July 14, 2010, the...

  9. 78 FR 69720 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-20

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70877; File No. SR-MIAX-2013-48] Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Rules 1302, 1304 and the MIAX Options Fee Schedule...

  10. 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...

  11. 16 CFR 801.13 - Aggregation of voting securities, assets and non-corporate interests.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... COVERAGE RULES § 801.13 Aggregation of voting securities, assets and non-corporate interests. (a) Voting... 16 Commercial Practices 1 2010-01-01 2010-01-01 false Aggregation of voting securities, assets and non-corporate interests. 801.13 Section 801.13 Commercial Practices FEDERAL TRADE COMMISSION RULES...

  12. 16 CFR 801.13 - Aggregation of voting securities, assets and non-corporate interests.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... COVERAGE RULES § 801.13 Aggregation of voting securities, assets and non-corporate interests. (a) Voting... 16 Commercial Practices 1 2011-01-01 2011-01-01 false Aggregation of voting securities, assets and non-corporate interests. 801.13 Section 801.13 Commercial Practices FEDERAL TRADE COMMISSION RULES...

  13. 13 CFR 107.1580 - Special rules for In-Kind Distributions by Licensees.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... security as of the declaration date of the Distribution (if you are a Corporate Licensee) or the...) Participating Securities Leverage § 107.1580 Special rules for In-Kind Distributions by Licensees. (a) In-Kind Distributions while Licensee has outstanding Participating Securities. A Distribution under §§ 107.1540, 107...

  14. 13 CFR 107.1580 - Special rules for In-Kind Distributions by Licensees.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... security as of the declaration date of the Distribution (if you are a Corporate Licensee) or the...) Participating Securities Leverage § 107.1580 Special rules for In-Kind Distributions by Licensees. (a) In-Kind Distributions while Licensee has outstanding Participating Securities. A Distribution under §§ 107.1540, 107...

  15. 16 CFR 801.13 - Aggregation of voting securities, assets and non-corporate interests.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... COVERAGE RULES § 801.13 Aggregation of voting securities, assets and non-corporate interests. (a) Voting... 16 Commercial Practices 1 2012-01-01 2012-01-01 false Aggregation of voting securities, assets and non-corporate interests. 801.13 Section 801.13 Commercial Practices FEDERAL TRADE COMMISSION RULES...

  16. 16 CFR 801.13 - Aggregation of voting securities, assets and non-corporate interests.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... COVERAGE RULES § 801.13 Aggregation of voting securities, assets and non-corporate interests. (a) Voting... 16 Commercial Practices 1 2014-01-01 2014-01-01 false Aggregation of voting securities, assets and non-corporate interests. 801.13 Section 801.13 Commercial Practices FEDERAL TRADE COMMISSION RULES...

  17. 16 CFR 801.13 - Aggregation of voting securities, assets and non-corporate interests.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... COVERAGE RULES § 801.13 Aggregation of voting securities, assets and non-corporate interests. (a) Voting... 16 Commercial Practices 1 2013-01-01 2013-01-01 false Aggregation of voting securities, assets and non-corporate interests. 801.13 Section 801.13 Commercial Practices FEDERAL TRADE COMMISSION RULES...

  18. 78 FR 17462 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-21

    ... Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Limit Up/Limit Down March 15, 2013. Pursuant to Section 19(b)(1) of the... Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II...

  19. 77 FR 29416 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-17

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66965; File No. SR-NYSEARCA-2012-38] Self... Change To Amend NYSE Arca Equities Rule 5.2(j)(1), the Exchange's ``Other Securities'' Listing Standard, To Delete a Provision Providing That If a Security Listed Under the Rule Contains Redemption...

  20. 75 FR 67363 - Notice of Public Information Collection(s) Being Reviewed by the Federal Communications...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-02

    ... proceeding were required to file system security statements under the Commission's rules. (Security systems..., including broadband Internet access and interconnected VoIP providers, must file updates to their systems... Commission's rules, the information in the CALEA security system filings and petitions will not be made...

  1. 76 FR 33388 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-08

    ... rule change related to FINRA's Trading Activity Fee (``TAF'') for transactions in Covered Securities... Schedule A to the FINRA By-Laws to adjust the rate of FINRA's TAF for transactions in Covered Securities... subject to Municipal Securities Rulemaking Board reporting requirements. The rules governing the TAF also...

  2. 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...

  3. 78 FR 29162 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-17

    ... list and trade a new derivative securities product without submitting a proposed rule change pursuant... derivative securities products traded on the SROs, Rule 19b-4(e) requires an SRO to file a summary form, Form 19b- 4(e), to notify the Commission when the SRO begins trading a new derivative securities product...

  4. 75 FR 2435 - Addition to the List of Validated End-Users in the People's Republic of China (PRC)

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-15

    ... DEPARTMENT OF COMMERCE Bureau of Industry and Security 15 CFR Part 748 [Docket No. 0908111226... (PRC) AGENCY: Bureau of Industry and Security, Commerce. ACTION: Final rule. SUMMARY: In this final rule, the Bureau of Industry and Security (BIS) amends the Export Administration Regulations (EAR) to...

  5. 75 FR 13193 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-18

    ... Rule Change Relating to Customer Fees for the Block Order Mechanism March 9, 2010. Pursuant to Section...'' or the ``ISE'') filed with the Securities and Exchange Commission the proposed rule change, as... publishing this notice to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C...

  6. 76 FR 51089 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-17

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65113; File No. SR-BATS-2011-028] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 11... on August 8, 2011, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'') filed with the Securities and...

  7. 75 FR 36768 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-28

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62340; File No. SR-BATS-2010-016] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 11... on June 17, 2010, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'') filed with the Securities and...

  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 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...

  10. 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...

  11. 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...

  12. 17 CFR 200.80c - Appendix C-Rules and miscellaneous publications available from the Government Printing Office.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND... Commission in pamphlet form. All SEC public rules and regulations, including its Rules of Practice, are contained in title 17 of the Code of Federal Regulations, which also is available for purchase from the...

  13. 78 FR 18646 - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69201; File No. SR-ICC-2013-03] Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Amend Rules Relating to..., 2013, ICE Clear Credit LLC (``ICC'') filed with the Securities and Exchange Commission (``Commission...

  14. 78 FR 76358 - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-17

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71032; File No. SR-ICC-2013-08] Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change To Add Rules Related to the... October 25, 2013, ICE Clear Credit LLC (``ICC'') filed with the Securities and Exchange Commission...

  15. 77 FR 73106 - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-07

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68337; File No. SR-ICC-2012-18] Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change To Add Rules Related to the... 28, 2012, ICE Clear Credit LLC (``ICC'') filed with the Securities and Exchange Commission...

  16. 77 FR 22623 - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66777; File No. SR-ICC-2012-04] Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Add Rules Related to the... April 3, 2012, ICE Clear Credit LLC (``ICC'') filed with the Securities and Exchange Commission...

  17. 49 CFR 393.128 - What are the rules for securing automobiles, light trucks and vans?

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 49 Transportation 5 2013-10-01 2013-10-01 false What are the rules for securing automobiles, light... automobiles, light trucks and vans? (a) Applicability. The rules in this section apply to the transportation of automobiles, light trucks, and vans which individually weigh 4,536 kg. (10,000 lb) or less...

  18. 49 CFR 393.128 - What are the rules for securing automobiles, light trucks and vans?

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 49 Transportation 5 2010-10-01 2010-10-01 false What are the rules for securing automobiles, light... automobiles, light trucks and vans? (a) Applicability. The rules in this section apply to the transportation of automobiles, light trucks, and vans which individually weigh 4,536 kg. (10,000 lb) or less...

  19. 49 CFR 393.128 - What are the rules for securing automobiles, light trucks and vans?

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 49 Transportation 5 2012-10-01 2012-10-01 false What are the rules for securing automobiles, light... automobiles, light trucks and vans? (a) Applicability. The rules in this section apply to the transportation of automobiles, light trucks, and vans which individually weigh 4,536 kg. (10,000 lb) or less...

  20. 49 CFR 393.128 - What are the rules for securing automobiles, light trucks and vans?

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 49 Transportation 5 2014-10-01 2014-10-01 false What are the rules for securing automobiles, light... automobiles, light trucks and vans? (a) Applicability. The rules in this section apply to the transportation of automobiles, light trucks, and vans which individually weigh 4,536 kg. (10,000 lb) or less...

  1. 49 CFR 393.128 - What are the rules for securing automobiles, light trucks and vans?

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... 49 Transportation 5 2011-10-01 2011-10-01 false What are the rules for securing automobiles, light... automobiles, light trucks and vans? (a) Applicability. The rules in this section apply to the transportation of automobiles, light trucks, and vans which individually weigh 4,536 kg. (10,000 lb) or less...

  2. 76 FR 33297 - Consumer Advisory Council; Notice of Meeting of the Consumer Advisory Council

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-08

    ..., in Dining Room E on the Terrace Level of the Martin Building. For security purposes, anyone planning.... Proposed Rules Regarding Ability to Pay for Mortgage Loans Members will discuss the Board's proposed rules... on a proposed rule that would require sponsors of asset-backed securities to retain at least 5...

  3. 78 FR 9691 - Proposed Agency Information Collection Activities; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-11

    ... Securities Rulemaking Board (MSRB) to promulgate rules requiring municipal security dealers to file reports..., Section 15B(c) of the Act provides that ARAs may enforce compliance with the SEC's and MSRB's rules. 15 U... other ARAs to make rules and regulations in order to implement the provisions of the Act. 15 U.S.C. 78w...

  4. 49 CFR 393.130 - What are the rules for securing heavy vehicles, equipment and machinery?

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 49 Transportation 5 2010-10-01 2010-10-01 false What are the rules for securing heavy vehicles... heavy vehicles, equipment and machinery? (a) Applicability. The rules in this section apply to the transportation of heavy vehicles, equipment and machinery which operate on wheels or tracks, such as front end...

  5. 77 FR 72901 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-06

    ... Rule Change To Adopt Gateway Fees November 30, 2012. Pursuant to Section 19(b)(1) of the Securities... below, which items have been prepared by the self- regulatory organization. The Commission is publishing... of the Proposed Rule Change The ISE proposes to adopt gateway fees. The text of the proposed rule...

  6. 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...

  7. 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...

  8. 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...

  9. 6 CFR 5.47 - Procedure in the event of an adverse ruling.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 6 Domestic Security 1 2010-01-01 2010-01-01 false Procedure in the event of an adverse ruling. 5.47 Section 5.47 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY DISCLOSURE OF RECORDS AND INFORMATION Disclosure of Information in Litigation § 5.47 Procedure in the event of...

  10. 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...

  11. 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...

  12. 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...

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 76 FR 51438 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-18

    ... Rule 17f-2(e) (17 CFR 240.17f-2(e)) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Rule 17f-2(e) requires members of national securities exchanges, brokers, dealers, registered transfer... SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request...

  19. 78 FR 18410 - Order Granting a Limited Exemption From Rule 102 of Regulation M Concerning the NASDAQ Stock...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-26

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69196] Order Granting a Limited Exemption From... to Regulation M Rule 102(e) March 20, 2013. The Securities and Exchange Commission (``Commission...\\ In connection with the Program, an MQP Company \\2\\ may list an eligible MQP Security \\3\\ on NASDAQ...

  20. 78 FR 27466 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-10

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69521; File No. SR-NASDAQ-2013-071] Self... Proposed Rule Change To Amend NASDAQ Rule 4763 May 6, 2013. Pursuant to Section 19(b)(1) of the Securities..., 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or ``Exchange'') filed with the Securities and Exchange...

  1. 76 FR 77877 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Withdrawal of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-14

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65917; File No. SR-Phlx-2011-143] Self... Commentary .01 to Rule 1009 Regarding Criteria for Listing an Option on an Underlying Covered Security December 8, 2011. On October 24, 2011, NASDAQ OMX PHLX LLC (``Phlx'') filed with the Securities and...

  2. 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...

  3. 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...

  4. 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...

  5. 76 FR 79536 - Security Zones; Captain of the Port Lake Michigan; Technical Amendment

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-22

    ... ACTION: Final rule. SUMMARY: The Coast Guard is revising the contact information for Security Zones in... Federal holidays. FOR FURTHER INFORMATION CONTACT: If you have questions on this rule, contact or email... exist in 33 CFR 165.910. Persons desiring to transit the areas of these security zones must contact the...

  6. 78 FR 29187 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-17

    ... disseminated as required (Rule 4120(a)(9)); a halt in a Derivative Securities Product (as defined in Rule 4120... trading halt in a Derivative Security Product traded pursuant to unlisted trading privileges for which a... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69563; File No. SR-NASDAQ-2013-073] Self...

  7. 6 CFR 5.47 - Procedure in the event of an adverse ruling.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 6 Domestic Security 1 2012-01-01 2012-01-01 false Procedure in the event of an adverse ruling. 5.47 Section 5.47 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY DISCLOSURE OF RECORDS AND INFORMATION Disclosure of Information in Litigation § 5.47 Procedure in the event of...

  8. 6 CFR 5.47 - Procedure in the event of an adverse ruling.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 6 Domestic Security 1 2011-01-01 2011-01-01 false Procedure in the event of an adverse ruling. 5.47 Section 5.47 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY DISCLOSURE OF RECORDS AND INFORMATION Disclosure of Information in Litigation § 5.47 Procedure in the event of...

  9. 78 FR 38420 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-26

    ... Proposed Rule Change Amending NYSE Rule 1000 To Increase the Price Threshold for Those Securities... threshold for those securities ineligible for automatic executions from $1,000.00 or more to $10,000.00 or...). Specifically, the Exchange believes that increasing the dollar threshold for high-priced securities would...

  10. Evaluation of CERT Secure Coding Rules through Integration with Source Code Analysis Tools

    DTIC Science & Technology

    2008-06-01

    Fortify SCA 3 2.2 Compass / ROSE 6 3 Project Analysis 9 3.1 Measuring and Analysis 9 4 Results 13 4.1 Fortify Results 13 4.1.1 CERT C++ Secure...Fortify C Rules 23 Appendix B Fortify C++ Rules 35 Appendix C C Rules Implemented in Compass Rose 43 Appendix D ROSE C++ Rules 51 References...to Daniel Quinlan at Lawrence Livermore National Laboratory for all his help getting us up and running with Compass /ROSE. Thanks to our SEI editor

  11. 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.

  12. Information systems analysis approach in hospitals: a national survey.

    PubMed

    Wong, B K; Sellaro, C L; Monaco, J A

    1995-03-01

    A survey of 216 hospitals reveals that some hospitals do not conduct cost-benefit analyses or analyze possible adverse effects in feasibility studies. In determining and analyzing system requirements, external factors that initiate the transaction are not examined, and computer-aided software engineering (CASE) tools are seldom used. Some hospitals do not investigate the advantages and disadvantages of using in-house-developed software versus purchased software packages in the evaluation of alternatives. The survey finds that, overall, most hospitals follow the traditional systems development life cycle (SDLC) approach in analyzing information systems.

  13. Advanced Edit System.

    DTIC Science & Technology

    1983-01-01

    MFR Model Computer Subsystem 1. Cabinet 0, PDP-11/70 CPU with 11/70 CPU, and Floating point processor DEC 11/79-UK 2. Cabinet 1, with SDLC ... software T-square. o Unit lock causes a user-defined roundoff factor to be applied to all points selected with the cursor. V - 1 0 Grid lock...1 NL • • 1 I i * v • _ • _ . *. . - m m I 1 3 I = K» lää 12.2 1.1 2.0 1.8 1.25 11.4 Ho EJ V Ml ^"OPY RESOLUTION

  14. Software Quality Metrics: A Software Management Monitoring Method for Air Force Logistics Command in Its Software Quality Assurance Program for the Quantitative Assessment of the System Development Life Cycle under Configuration Management.

    DTIC Science & Technology

    1982-03-01

    pilot systems. Magnitude of the mutant error is classified as: o Program does not compute. o Program computes but does not run test data. o Program...14 Test and Integration ... ............ .. 105 15 The Mapping of SQM to the SDLC ........ ... 108 16 ADS Development .... .............. . 224 17...and funds. While the test phase concludes the normal development cycle, one should realize that with software the development continues in the

  15. 76 FR 38237 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-29

    ... Change To Include Text in Its Options Rules Governing the Use of Its Affiliate Broker-Dealer, Archipelago Securities LLC for Outbound Routing of Option Orders, and To Adopt Text in Its Options Rules To Permit the... include text in its options rules governing the use of its affiliate broker-dealer, Archipelago Securities...

  16. 76 FR 31385 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-31

    ... Complex Orders May 24, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the... proposes to specify in its rules that complex orders may be entered into the Price Improvement Mechanism... of this rule filing is to specify in the Exchange's rules that complex orders may be entered into the...

  17. 75 FR 28831 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-24

    ... second by comparing each last consolidated sale price of a security (``Trigger Trade'') during the...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Adding Rule 80C To Provide for a Trading Pause for Individual Securities When the Price Moves 10 Percent or More...

  18. 17 CFR 147.1 - General policy considerations, purpose and scope of rules relating to open Commission meetings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false General policy considerations, purpose and scope of rules relating to open Commission meetings. 147.1 Section 147.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OPEN COMMISSION MEETINGS § 147.1 General policy considerations, purpose and scope of rules...

  19. 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...

  20. 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...

  1. 78 FR 56970 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70356; File No. SR-NYSEArca-2013-86] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...

  2. 77 FR 28919 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Amend...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-16

    ... be made in a nondiscriminatory fashion.\\14\\ \\14\\ See NYSE Arca Equities Rule 7.45(d)(3). NYSE Arca... Securities will be required to establish and enforce policies and procedures that are reasonably designed to... other things, that the rules of a national securities exchange be designed to prevent fraudulent and...

  3. 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...

  4. 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...

  5. 78 FR 18649 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-27

    ... the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is hereby... Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I and... publishing this notice to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C...

  6. 78 FR 36611 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-18

    ... purchases of any NMS stock as defined in Rule 600(b)(47) of Regulation NMS \\7\\ (``designated security'') at....600(b)(47). NYSE Rule 6140(b) prohibits a member or member organization, for the purpose of creating... Commission (the ``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the...

  7. 76 FR 12195 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-04

    ... restriction on the prices at which covered securities may be sold short is in effect (``Short Sale Price Test... the short sale price test restriction requirements of Rule 201 are the subject of a separate rule... a covered security,\\8\\ imposes a short sale price test.\\9\\ Amended Rule 201 became effective on May...

  8. 75 FR 20401 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change, and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-19

    ... Nasdaq Securities within the existing DMM and SLP framework used to trade its listed securities. The... substantially similar to the Exchange's current SLP procedures in Rule 107B--NYSE Amex Equities. See proposed..., reassign one or more Nasdaq Securities to a different DMM Unit or to a different SLP or SLPs. a. Assignment...

  9. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each application for an order under section 304(d) of...

  10. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each application for an order under section 304(d) of...

  11. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each application for a stay of a trustee's duty to...

  12. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each application for a stay of a trustee's duty to...

  13. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each application for a stay of a trustee's duty to...

  14. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each application for an order under section 304(d) of...

  15. 77 FR 57621 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-18

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67838; File No. SR-NYSEMKT-2012-46] Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 993NY by Adding a New Paragraph (c) That Addresses the Authority of the Exchange or Archipelago Securities LLC (``Arca Securities'')...

  16. 17 CFR 41.3 - Application for an exemptive order pursuant to section 4f(a)(4)(B) of the Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... member of the National Association of Securities Dealers, Inc.) or equivalent self-regulatory... self-regulatory organization may submit an application for an order pursuant to this section on behalf... exemption; (4) Any provision(s) of the securities laws or rules, or of the rules of a securities self...

  17. 49 CFR 393.134 - What are the rules for securing roll-on/roll-off or hook lift containers?

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... or hook lift containers? 393.134 Section 393.134 Transportation Other Regulations Relating to... for securing roll-on/roll-off or hook lift containers? (a) Applicability. The rules in this section apply to the transportation of roll-on/roll-off or hook lift containers. (b) Securement of a roll-on...

  18. 49 CFR 393.134 - What are the rules for securing roll-on/roll-off or hook lift containers?

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... or hook lift containers? 393.134 Section 393.134 Transportation Other Regulations Relating to... for securing roll-on/roll-off or hook lift containers? (a) Applicability. The rules in this section apply to the transportation of roll-on/roll-off or hook lift containers. (b) Securement of a roll-on...

  19. 29 CFR 2550.407a-1 - General rule for the acquisition and holding of employer securities and employer real property.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 29 Labor 9 2010-07-01 2010-07-01 false General rule for the acquisition and holding of employer securities and employer real property. 2550.407a-1 Section 2550.407a-1 Labor Regulations Relating to Labor (Continued) EMPLOYEE BENEFITS SECURITY ADMINISTRATION, DEPARTMENT OF LABOR FIDUCIARY RESPONSIBILITY UNDER THE...

  20. 49 CFR 393.118 - What are the rules for securing dressed lumber or similar building products?

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... Shifting and Falling Cargo Specific Securement Requirements by Commodity Type § 393.118 What are the rules... transported using no more than one tier. Bundles carried on one tier must be secured in accordance with the... one tier. Bundles carried in more than one tier must be either: (1) Blocked against lateral movement...

  1. 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...

  2. 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...

  3. 78 FR 35330 - Order Granting a Limited Exemption from Rule 102 of Regulation M Concerning the NYSE Arca, Inc.'s...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69707] Order Granting a Limited Exemption from... Pilot Pursuant to Regulation M Rule 102(e) June 6, 2013. The Securities and Exchange Commission...'s securities would constitute an indirect attempt by the issuer to induce a bid for or a purchase of...

  4. 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...

  5. 76 FR 14699 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 3...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-17

    ... rule change.\\10\\ The Commission is publishing this notice and order to solicit comments on Amendment No... securities. Under this proposal, Nasdaq would suspend trading in a security if a trade in that security is... Volatility Guard is similar in purpose to the Liquidity Replenishment Points (``LRPs'') rules that currently...

  6. 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...

  7. 78 FR 79039 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71169; File No. SR-PHLX-2013-127] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of ``System Securities'' in PSX Rule 3301(b) December 20, 2013. Pursuant to Section 19(b)(1) of the Securities...

  8. 75 FR 41264 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-15

    ... Rule Change Relating To Amending the Direct Edge ECN Fee Schedule; Correction AGENCY: Securities and... Effectiveness of Proposed Rule Change Relating to Amending the Direct Edge ECN Fee Schedule by the International...

  9. Approach to design neural cryptography: a generalized architecture and a heuristic rule.

    PubMed

    Mu, Nankun; Liao, Xiaofeng; Huang, Tingwen

    2013-06-01

    Neural cryptography, a type of public key exchange protocol, is widely considered as an effective method for sharing a common secret key between two neural networks on public channels. How to design neural cryptography remains a great challenge. In this paper, in order to provide an approach to solve this challenge, a generalized network architecture and a significant heuristic rule are designed. The proposed generic framework is named as tree state classification machine (TSCM), which extends and unifies the existing structures, i.e., tree parity machine (TPM) and tree committee machine (TCM). Furthermore, we carefully study and find that the heuristic rule can improve the security of TSCM-based neural cryptography. Therefore, TSCM and the heuristic rule can guide us to designing a great deal of effective neural cryptography candidates, in which it is possible to achieve the more secure instances. Significantly, in the light of TSCM and the heuristic rule, we further expound that our designed neural cryptography outperforms TPM (the most secure model at present) on security. Finally, a series of numerical simulation experiments are provided to verify validity and applicability of our results.

  10. 76 FR 53511 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-26

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65184; File No. SR-NYSEAmex-2011-63] Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 17(c)(2)(B) To Make Permanent the Pilot Program that Permits the Exchange To Accept Inbound Orders Routed by Archipelago Securities LLC in...

  11. 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...

  12. 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...

  13. 77 FR 19401 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66656; File No. SR-NYSEArca-2012-22] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.45 Adding a New Paragraph (d) That Addresses the Authority of the Exchange or Archipelago Securities LLC To Cancel Orders When a...

  14. 75 FR 34504 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-17

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62281; File No. SR-NYSEARCA-2010-52] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca US LLC Amending NYSE Arca Equities Rule 7.11 To Set Forth How the Exchange Will Handle Order Flow During a Trading Pause for a Security Listed on...

  15. 76 FR 20797 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64252; File No. SR-EDGA-2011-09] Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend EDGA Rule 11.9 To Introduce Additional Routing Options to the Rule April 7, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Ac...

  16. 17 CFR 270.22e-2 - Pricing of redemption requests in accordance with Rule 22c-1.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Pricing of redemption requests in accordance with Rule 22c-1. 270.22e-2 Section 270.22e-2 Commodity and Securities Exchanges....22e-2 Pricing of redemption requests in accordance with Rule 22c-1. An investment company shall not be...

  17. 78 FR 19556 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-01

    ...)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is... Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II... solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR...

  18. 78 FR 16905 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-19

    ... to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2... Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II... solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR...

  19. 49 CFR 1503.639 - Burden of proof.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY ADMINISTRATIVE AND PROCEDURAL RULES INVESTIGATIVE AND ENFORCEMENT PROCEDURES... affirmative defense, the burden of proof is on the agency. (b) Except as otherwise provided by statute or rule...

  20. 49 CFR 1503.639 - Burden of proof.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY ADMINISTRATIVE AND PROCEDURAL RULES INVESTIGATIVE AND ENFORCEMENT PROCEDURES... affirmative defense, the burden of proof is on the agency. (b) Except as otherwise provided by statute or rule...

  1. 49 CFR 1503.639 - Burden of proof.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY ADMINISTRATIVE AND PROCEDURAL RULES INVESTIGATIVE AND ENFORCEMENT PROCEDURES... affirmative defense, the burden of proof is on the agency. (b) Except as otherwise provided by statute or rule...

  2. 49 CFR 1503.639 - Burden of proof.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY ADMINISTRATIVE AND PROCEDURAL RULES INVESTIGATIVE AND ENFORCEMENT PROCEDURES... affirmative defense, the burden of proof is on the agency. (b) Except as otherwise provided by statute or rule...

  3. 49 CFR 1503.639 - Burden of proof.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY ADMINISTRATIVE AND PROCEDURAL RULES INVESTIGATIVE AND ENFORCEMENT PROCEDURES... affirmative defense, the burden of proof is on the agency. (b) Except as otherwise provided by statute or rule...

  4. What if? The one question every administrator should ask. Use HIPAA rules as a blueprint for broader safety, security.

    PubMed

    Redling, Bob

    2007-08-01

    Are you doing enough to control security and privacy at your practice? Could you cope if your organization suffered a disaster that destroyed facilities, business documents and patient records? Although Health Insurance Portability and Accountability Act (HIPAA) security and privacy rules focus on patient health information, they also point the way to a more comprehensive approach to managing risk. By using HIPAA rules as a blueprint, you can design policies and procedures to address everything from safeguarding financial information to protecting the personal safety of patients, physicians and staff.

  5. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  6. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  7. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  8. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  9. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  10. 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...

  11. 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...

  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. 78 FR 79040 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-27

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71168; File No. SR-BX-2013-064] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of ``System Securities'' in BX Rule 4751(b) December 20, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange...

  14. 29 CFR 2580.412-1 - Statutory provisions.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ..., officer and employee of any employee welfare benefit plan or of any employee pension benefit plan subject... Regulations Relating to Labor (Continued) EMPLOYEE BENEFITS SECURITY ADMINISTRATION, DEPARTMENT OF LABOR TEMPORARY BONDING RULES UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 TEMPORARY BONDING RULES...

  15. 78 FR 63310 - Agency Information Collection Activities: Information Collection Renewal; Comment Request...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-23

    ... DEPARTMENT OF THE TREASURY Office of the Comptroller of the Currency Agency Information Collection Activities: Information Collection Renewal; Comment Request; Securities Offering Disclosure Rules AGENCY... comment concerning the renewal of an information collection titled, ``Securities Offering Disclosure Rules...

  16. Secondary Market Disclosure.

    ERIC Educational Resources Information Center

    Jones, Robert J.; Zehner, Mark R.

    1996-01-01

    In late 1994, the United States Securities and Exchange Commission (SEC) issued new rules applicable to issuers of municipal securities (including school districts) concerning disclosure to the investment community. Describes how SEC's existing Rule 15c2-12 has been implemented. Discusses its purpose, jurisdiction, obligated persons, written…

  17. 17 CFR 8.02 - Implementing exchange rules.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Implementing exchange rules. 8.02 Section 8.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS General Provisions § 8.02 Implementing...

  18. Intrusion detection using secure signatures

    DOE Office of Scientific and Technical Information (OSTI.GOV)

    Nelson, Trent Darnel; Haile, Jedediah

    A method and device for intrusion detection using secure signatures comprising capturing network data. A search hash value, value employing at least one one-way function, is generated from the captured network data using a first hash function. The presence of a search hash value match in a secure signature table comprising search hash values and an encrypted rule is determined. After determining a search hash value match, a decryption key is generated from the captured network data using a second hash function, a hash function different form the first hash function. One or more of the encrypted rules of themore » secure signatures table having a hash value equal to the generated search hash value are then decrypted using the generated decryption key. The one or more decrypted secure signature rules are then processed for a match and one or more user notifications are deployed if a match is identified.« less

  19. 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...

  20. 75 FR 78320 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63509; File No. SR-Phlx-2010-157] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Complex Orders December 9, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule...

  1. Risk management. National Aeronautics and Space Administration (NASA). Interim rule adopted as final with changes.

    PubMed

    2000-11-22

    This is a final rule amending the NASA FAR Supplement (NFS) to emphasize considerations of risk management, including safety, security (including information technology security), health, export control, and damage to the environment, within the acquisition process. This final rule addresses risk management within the context of acquisition planning, selecting sources, choosing contract type, structuring award fee incentives, administering contracts, and conducting contractor surveillance.

  2. 76 FR 74079 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-30

    ... applicable Exchange listing tier into which such products fall. \\3\\ 15 U.S.C. 78f(b). \\4\\ 15 U.S.C. 78f(b)(5... on the Exchange pursuant to Rule 14.11 as Tier I securities. Exchange Rule 14.11 sets forth the... the Exchange's current rules, ETPs are not designated as either Tier I or Tier II securities. The...

  3. 78 FR 78459 - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change To Amend...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-26

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71145; File No. SR-OC-2013-03] Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change To Amend Rules 143 and 417 Relating to Block Trade Reporting December 19, 2013. Pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ notice is...

  4. 49 CFR 1540.203 - Security threat assessment.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 49 Transportation 9 2014-10-01 2014-10-01 false Security threat assessment. 1540.203 Section 1540.203 Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY CIVIL AVIATION SECURITY: GENERAL RULES...

  5. Text messaging to communicate with public health audiences: how the HIPAA Security Rule affects practice.

    PubMed

    Karasz, Hilary N; Eiden, Amy; Bogan, Sharon

    2013-04-01

    Text messaging is a powerful communication tool for public health purposes, particularly because of the potential to customize messages to meet individuals' needs. However, using text messaging to send personal health information requires analysis of laws addressing the protection of electronic health information. The Health Insurance Portability and Accountability Act (HIPAA) Security Rule is written with flexibility to account for changing technologies. In practice, however, the rule leads to uncertainty about how to make text messaging policy decisions. Text messaging to send health information can be implemented in a public health setting through 2 possible approaches: restructuring text messages to remove personal health information and retaining limited personal health information in the message but conducting a risk analysis and satisfying other requirements to meet the HIPAA Security Rule.

  6. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  7. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  8. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  9. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  10. 76 FR 70207 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-10

    ...-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons November 3... information concerning associated persons. The proposed rule change was published for comment in the Federal...

  11. 77 FR 76146 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving a Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-26

    ...-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving a Proposed Rule Change Consisting of Amendments To Streamline New Issue Information Submission Requirements Under MSRB Rules G-32..., and market information requirements); and the Electronic Municipal Market Access (``EMMA[supreg...

  12. Afghan National Police Training Program Would Benefit from Better Compliance with the Economy Act and Reimbursable Agreements

    DTIC Science & Technology

    2011-08-25

    Security Cooperation Agency INL Bureau of International Narcotics and Law Enforcement Affairs JSSP Justice Sector Security Program PAE Pacific...regional training centers. The programs were the Justice Sector Security Program ( JSSP ), the Corrections System Support Program (CSSP), and the...Civilian Police International. JSSP and CSSP are considered rule of law programs. Rule of law is most commonly understood to be a foundational

  13. Developing Ministerial Collaborative Planning Capacity

    DTIC Science & Technology

    2012-03-14

    1204, Arlington, VA 22202- 4302. Respondents should be aware that notwithstanding any other provision of law , no person shall be subject to any...to build capacity and legitimacy within a host nation’s security sector. Providing a safe and secure environment founded on the rule of law is the...6 Vision: A highly efficient ministry capable of providing security and stability for all components of society, applying the rule of law and

  14. 49 CFR 1520.1 - Scope.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY SECURITY RULES FOR ALL MODES OF TRANSPORTATION PROTECTION OF SENSITIVE SECURITY... of records and information that TSA has determined to be Sensitive Security Information, as defined...

  15. 49 CFR 1520.17 - Consequences of unauthorized disclosure of SSI.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ...) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY SECURITY RULES FOR ALL MODES OF TRANSPORTATION PROTECTION OF SENSITIVE SECURITY INFORMATION § 1520.17 Consequences of unauthorized disclosure of...

  16. 75 FR 59751 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-28

    ... entitled ``Brokerage Transactions on a Securities Exchange.'' The rule governs the remuneration that a... securities transactions by the fund. The rule requires a fund's board of directors to establish, and review as necessary, procedures reasonably designed to provide that the remuneration to an affiliated broker...

  17. 10 CFR 824.1 - Purpose and scope.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... OF ENERGY PROCEDURAL RULES FOR THE ASSESSMENT OF CIVIL PENALTIES FOR CLASSIFIED INFORMATION SECURITY...) any applicable rule, regulation or order under the Act relating to the security or safeguarding of Restricted Data or other classified information, shall be subject to a civil penalty not to exceed $100,000...

  18. 17 CFR 242.402 - General provisions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... with Regulation T and the margin rules of the self-regulatory authorities of which the security futures... security future and related positions in accordance with the margin rules of the self-regulatory... same regulatory classification or account type and are owned by the same customer to be a single...

  19. 78 FR 36797 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-19

    ...\\ sets out a framework for the registration and regulation of national securities exchanges. Under the... regarding how the futures market operates, its rules and procedures, corporate governance, its criteria for membership, its subsidiaries and affiliates, and the security futures products it intends to trade. Rule 6a-4...

  20. 17 CFR 230.190 - Registration of underlying securities in asset-backed securities transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Registration of underlying securities in asset-backed securities transactions. 230.190 Section 230.190 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General...

  1. The Rule of Law Effort in Afghanistan: A Success Story in the Making

    DTIC Science & Technology

    2016-06-10

    14415/ justice -deferred-rule-of-law-in- central-america (accessed February 14, 2016). American Bar Association, Division for Public Education . “Part I...accountability for police and other security forces. Using El Salvador as a prognostic outlook on rule of law development and justice sector reform...security and complete justice sector reforms. Afghanistan is making progress after the fall of the Taliban in 2001 with a democratic republic, laws

  2. 49 CFR 1540.207 - [Reserved

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 49 Transportation 9 2014-10-01 2014-10-01 false [Reserved] 1540.207 Section 1540.207 Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY CIVIL AVIATION SECURITY: GENERAL RULES Security...

  3. 17 CFR 230.603 - Amount of securities exempted.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Amount of securities exempted. 230.603 Section 230.603 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business...

  4. 78 FR 6378 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-30

    ... Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Accommodate Certain Physically- Settled Options on U.S. Treasury Securities January 23, 2013. I. Introduction On November 30, 2012, The Options Clearing Corporation (``OCC'') filed with the Securities and Exchange Commission...

  5. 76 FR 5729 - Department of Defense Personnel Security Program (PSP)

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-02

    ... DEPARTMENT OF DEFENSE Office of the Secretary 32 CFR Part 156 [DOD-2008-OS-0160; RIN 0790-AI42] Department of Defense Personnel Security Program (PSP) AGENCY: Department of Defense. ACTION: Proposed rule. SUMMARY: This rule would update policies and responsibilities for the Department of Defense (DoD...

  6. 77 FR 70855 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-27

    ... following activities associated with the conduct of municipal securities business: underwriting; trading... control policies and written procedures'' to reflect amendment to the rule. Conduct of Business ``Definitions; general standard for advertisements'' is added to the description for Rule G-21(a). ``Product...

  7. 77 FR 65436 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-26

    ... Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage- Backed Securities... to post-trade transparency for Agency Pass-Through Mortgage-Backed Securities (``MBS'') traded in.... 78o-3(b)(6). In approving the original TRACE rules, the Commission stated that price transparency...

  8. 76 FR 60953 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-30

    ...-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Regarding Professional Qualifications and Information Concerning Associated Persons September 26, 2011... Organization's Statement of the Terms of Substance of the Proposed Rule Change The MSRB is filing with the SEC...

  9. 77 FR 65433 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving a Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-26

    ...-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving a Proposed Rule Change To Amend the Real-Time Transaction Reporting System Information System and Subscription Service October 22...'') information system. The proposed rule change was published for comment in the Federal Register on September 12...

  10. 77 FR 528 - Self-Regulatory Organizations; The National Securities Clearing Corporation; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-05

    ...-Regulatory Organizations; The National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend Rules Relating To the Creation of a Service To Provide Post-Trade Information... trading activity of their organizations, their correspondent firms, or both through review of post-trade...

  11. 78 FR 21661 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-11

    ...-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Administrative Information Subscriber (AIS) and AIS Port...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange is...

  12. 20 CFR 416.1170 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Alternative Income Counting Rules for Certain Blind Individuals § 416.1170 General. (a) What the alternative is. If you are blind and meet the requirements in § 416.1171, we use one of two rules to see how...

  13. 17 CFR 248.18 - Effective date; transition rule.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... to consumers who are your customers on July 1, 2001, if, by that date, you have established a system... you have entered into with a nonaffiliated third party to perform services for you or functions on... rule. 248.18 Section 248.18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  14. Toward Explaining Earlier Retirement after 1970.

    ERIC Educational Resources Information Center

    Ippolito, Richard A.

    1990-01-01

    Rule changes in the social security system and pension plans suggest that labor force participation rates for men aged 55 to 64 fell by 20 percent from 1970 through 1986 because of the increase in social security benefits and a change in private pension rules encouraging earlier retirement. (Author/JOW)

  15. 77 FR 34415 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-11

    ... SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request... collection of information provided for in Rule 17f-1(b) (17 CFR 240.17f-1(b) under the Securities Exchange... collection of information to the Office of Management and Budget (``OMB'') for extension and approval. Rule...

  16. 17 CFR 171.4 - Computation of time.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Computation of time. 171.4 Section 171.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... computing any period of time prescribed by these rules or allowed by the Commission, the day of the act...

  17. 17 CFR 12.5 - Computation of time.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Computation of time. 12.5 Section 12.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... general. In computing any period of time prescribed by these rules or allowed by the Commission, the...

  18. 17 CFR 230.155 - Integration of abandoned offerings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Integration of abandoned... GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.155 Integration of abandoned offerings... from integration of private and registered offerings. Because of the objectives of Rule 155 and the...

  19. 76 FR 60565 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-29

    ... the same lien of securities of margin customers (a) with other customers without their written consent and (b) with the broker or dealer. The rule also prohibits the rehypothecation of customers' margin securities for a sum in excess of the customer's aggregate indebtedness. Pursuant to Rule 15c2-1, respondents...

  20. 77 FR 2103 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-13

    ...-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Allow the Mortgage-Backed Securities Division To Provide...''), and on November 21, 2011, amended a proposed rule change to allow the Mortgage-Backed Securities...

  1. 78 FR 17066 - Indirect Stock Transfers and Coordination Rule Exceptions; Transfers of Stock or Securities in...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-19

    ... Indirect Stock Transfers and Coordination Rule Exceptions; Transfers of Stock or Securities in Outbound... issue of the Federal Register, the IRS and the Treasury Department are issuing temporary regulations... stock transfers for certain outbound asset reorganizations. The temporary regulations also modify the...

  2. 76 FR 25389 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-04

    ... proposed rule change is consistent with the CPSS- IOSCO Recommendations for securities settlement systems (``Recommendations''). Recommendation 12, ``Protection of Customers' Securities,'' states, in relevant part... Terminal System (PTS), as participants may currently use various platforms to communicate with DTC. The...

  3. 20 CFR 416.1170 - General.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Alternative Income Counting Rules for Certain Blind Individuals § 416.1170 General. (a) What the alternative is. If you are blind and meet the requirements in § 416.1171, we use one of two rules to see how...

  4. 20 CFR 416.1170 - General.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Alternative Income Counting Rules for Certain Blind Individuals § 416.1170 General. (a) What the alternative is. If you are blind and meet the requirements in § 416.1171, we use one of two rules to see how...

  5. 20 CFR 416.1170 - General.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Alternative Income Counting Rules for Certain Blind Individuals § 416.1170 General. (a) What the alternative is. If you are blind and meet the requirements in § 416.1171, we use one of two rules to see how...

  6. 20 CFR 416.1170 - General.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Alternative Income Counting Rules for Certain Blind Individuals § 416.1170 General. (a) What the alternative is. If you are blind and meet the requirements in § 416.1171, we use one of two rules to see how...

  7. Text Messaging to Communicate With Public Health Audiences: How the HIPAA Security Rule Affects Practice

    PubMed Central

    Karasz, Hilary N.; Eiden, Amy; Bogan, Sharon

    2013-01-01

    Text messaging is a powerful communication tool for public health purposes, particularly because of the potential to customize messages to meet individuals’ needs. However, using text messaging to send personal health information requires analysis of laws addressing the protection of electronic health information. The Health Insurance Portability and Accountability Act (HIPAA) Security Rule is written with flexibility to account for changing technologies. In practice, however, the rule leads to uncertainty about how to make text messaging policy decisions. Text messaging to send health information can be implemented in a public health setting through 2 possible approaches: restructuring text messages to remove personal health information and retaining limited personal health information in the message but conducting a risk analysis and satisfying other requirements to meet the HIPAA Security Rule. PMID:23409902

  8. 75 FR 82243 - Security Zones; Moored Cruise Ships, Port of San Diego, CA

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-30

    ...The Coast Guard is establishing a temporary security zone regulation from December 21, 2010, through June 20, 2011. The security zones created by this rule will encompass all navigable waters extending from the surface to the sea floor, within a 100 yard radius around any cruise ship that is moored at any berth within the San Diego port area inside the sea buoys bounding the Port of San Diego. This temporary final rule is necessary to provide for the safety of the cruise ship, vessels, and users of the waterway. Entry into these security zones will be prohibited unless specifically authorized by the Captain of the Port (COTP) San Diego, or his or her designated representative. This rule will also suspend paragraph (b)(2) of 33 CFR 165.1108, a related regulation.

  9. 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...

  10. New HIPAA rules: a guide for radiology providers.

    PubMed

    Dresevic, Adrienne; Mikel, Clinton

    2013-01-01

    The Office for Civil Rights issued its long awaited final regulations modifying the HIPAA privacy, security, enforcement, and breach notification rules--the HIPAA Megarule. The new HIPAA rules will require revisions to Notice of Privacy Practices, changes to business associate agreements, revisions to HIPAA privacy and security policies and procedures, and an overall assessment of HIPAA compliance. The HIPAA Megarule formalizes the HITECH Act requirements, and makes it clear that the OCRs ramp up of HIPAA enforcement is not merely a passing trend. The new rules underscore that both covered entities and business associates must reassess and strengthen HIPAA compliance.

  11. 19 CFR 102.20 - Specific rules by tariff classification.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 19 Customs Duties 1 2014-04-01 2014-04-01 false Specific rules by tariff classification. 102.20 Section 102.20 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY; DEPARTMENT OF THE TREASURY RULES OF ORIGIN Rules of Origin § 102.20 Specific rules by tariff classification. The following rules are the rules specified...

  12. 19 CFR 102.20 - Specific rules by tariff classification.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 19 Customs Duties 1 2011-04-01 2011-04-01 false Specific rules by tariff classification. 102.20 Section 102.20 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY; DEPARTMENT OF THE TREASURY RULES OF ORIGIN Rules of Origin § 102.20 Specific rules by tariff classification. The following rules are the rules specified...

  13. 19 CFR 102.20 - Specific rules by tariff classification.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 19 Customs Duties 1 2012-04-01 2012-04-01 false Specific rules by tariff classification. 102.20 Section 102.20 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY; DEPARTMENT OF THE TREASURY RULES OF ORIGIN Rules of Origin § 102.20 Specific rules by tariff classification. The following rules are the rules specified...

  14. 49 CFR 1520.5 - Sensitive security information.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 49 Transportation 9 2010-10-01 2010-10-01 false Sensitive security information. 1520.5 Section 1520.5 Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY SECURITY RULES FOR ALL MODES OF TRANSPORTATION PROTECTION OF...

  15. 78 FR 44806 - Amendments to Regulation D, Form D and Rule 156

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-24

    ...The Securities and Exchange Commission, which today in separate releases amended Rule 506 of Regulation D, Form D and Rule 144A under the Securities Act of 1933 to implement Section 201(a) of the Jumpstart Our Business Startups Act and Section 926 of the Dodd- Frank Wall Street Reform and Consumer Protection Act, is publishing for comment a number of proposed amendments to Regulation D, Form D and Rule 156 under the Securities Act. These proposed amendments are intended to enhance the Commission's ability to evaluate the development of market practices in Rule 506 offerings and to address concerns that may arise in connection with permitting issuers to engage in general solicitation and general advertising under new paragraph (c) of Rule 506. Specifically, the proposed amendments to Regulation D would require the filing of a Form D in Rule 506(c) offerings before the issuer engages in general solicitation; require the filing of a closing amendment to Form D after the termination of any Rule 506 offering; require written general solicitation materials used in Rule 506(c) offerings to include certain legends and other disclosures; require the submission, on a temporary basis, of written general solicitation materials used in Rule 506(c) offerings to the Commission; and disqualify an issuer from relying on Rule 506 for one year for future offerings if the issuer, or any predecessor or affiliate of the issuer, did not comply, within the last five years, with Form D filing requirements in a Rule 506 offering. The proposed amendments to Form D would require an issuer to include additional information about offerings conducted in reliance on Regulation D. Finally, the proposed amendments to Rule 156 would extend the antifraud guidance contained in the rule to the sales literature of private funds.

  16. Commercial Training Device Requirement (CTDR) for Initial Entry Rotary Wing (IERW) Aviation Training Helicopter

    DTIC Science & Technology

    1989-12-24

    training; 16 . PRICE CODE 17. SECURITY CLASSIFICATION 18. SECURITY CLASSIFICATION 19. SECURITY CLASSIFICATION 20. LIMITATION OF ABSTRACT OF REPORT OF...to be leased is 205. One hundred aircraft will be VFR aircraft only. One hundred and five aircraft will be instrument flight rules ( IFR ) certified, 55...of which will be IFR equipped. The other IFR -certified aircraft will be visual flight rules equipped. c. The total lease cost is based on an assumed

  17. 49 CFR 1510.5 - Imposition of security service fees.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 49 Transportation 9 2014-10-01 2014-10-01 false Imposition of security service fees. 1510.5... SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY ADMINISTRATIVE AND PROCEDURAL RULES PASSENGER CIVIL AVIATION SECURITY SERVICE FEES § 1510.5 Imposition of security service fees. (a) Each direct air...

  18. 77 FR 28653 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of a Designation of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-15

    ...; Proposed Amendments to Rule G-8, on Books and Records, Rule G- 9, on Record Retention, and Rule G-18, on... of proposed MSRB Rule G-43, on broker's brokers; amendments to MSRB Rule G-8, on books and records...

  19. 78 FR 25115 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-29

    ... Amending the Mortgage-Backed Securities Division Fails Charge Rule To Reflect Recommendation of the... change is to amend the existing fails charge rule in FICC's Mortgage-Backed Securities Division (``MBSD... (``TMPG'') relating to the removal of the resolution period for fails charges.\\3\\ \\3\\ The text of the...

  20. 76 FR 62883 - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-11

    ... Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Relating to Clearing Options on... 27, 2011, The Options Clearing Corporation (``OCC'') filed with the Securities and Exchange... OCC's By-Laws, clarifying that OCC will clear and treat as securities options any option contracts on...

  1. 76 FR 12781 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-08

    ... of Amended and Restated Articles of Incorporation of Municipal Securities Rulemaking Board March 2... Restated Articles of Incorporation. The text of the proposed rule change is available on the MSRB's Web... purpose of the proposed rule change is to make changes to the Articles of Incorporation as are necessary...

  2. 75 FR 60831 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-01

    ..., Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy... Advisers Act of 1940.'' (15 U.S.C. 80b-1 et seq.) Rule 204A-1, the Code of Ethics Rule, requires investment... securities transactions, including transactions in any mutual fund managed by the adviser. The code of ethics...

  3. 76 FR 46863 - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-03

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64987; File No. SR-NYSEAMEX-2011-54] Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending the Definition of Approved Person To Exclude Foreign Affiliates, Creating a New Definition of ``Foreign Securities Affiliate...

  4. 76 FR 65783 - Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-24

    ... Act Rules and Forms A. Registration Application and Amendment 1. Proposed Rule 15Fb2-1 i. Form of Application ii. Senior Officer Certification iii. Electronic Filing iv. Standards for Granting or Denying Applications v. Request for Comment on Additional Registration Considerations 2. Amendments to Application...

  5. 75 FR 36511 - Revisions to the Export Administration Regulations Based Upon a Systematic Review of the Commerce...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-28

    ... DEPARTMENT OF COMMERCE Bureau of Industry and Security 15 CFR Parts 734, 738, 740, 742, 772, and... Based Upon a Systematic Review of the Commerce Control List: Additional Changes AGENCY: Bureau of Industry and Security, Commerce. ACTION: Final rule. SUMMARY: This rule amends the Export Administration...

  6. 77 FR 72917 - Editorial Corrections to the Commerce Control List of the Export Administration Regulations

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-07

    ... DEPARTMENT OF COMMERCE Bureau of Industry and Security 15 CFR Part 774 [Docket No. 120320200-2296-01] RIN 0694-AF62 Editorial Corrections to the Commerce Control List of the Export Administration Regulations AGENCY: Bureau of Industry and Security, Commerce. ACTION: Final rule. SUMMARY: This final rule...

  7. 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...

  8. 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...

  9. 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...

  10. 77 FR 35336 - Privacy and Security of Information Stored on Mobile Communications Devices

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-13

    .... ACTION: Proposed rule. SUMMARY: This document seeks comment on the privacy and data security practices of... Practice and Procedure and Part 0 Rules of Commission Organization, Notice of Proposed Rulemaking, 25 FCC... practices of mobile wireless service providers with respect to customer information stored on their users...

  11. 75 FR 30095 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Amending Its...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-28

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62157; File No. SR-NYSEArca-2010-28] Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Amending Its Schedule of Fees May 24, 2010. On April 12, 2010, NYSE Arca, Inc. (``NYSE Arca'') filed with the Securities and Exchange...

  12. 76 FR 51439 - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-18

    ...., International Securities Exchange LLC, The NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE Amex LLC... Pause Pilot rules of the Markets to include all remaining NMS stocks (``Phase III Securities'').\\9\\ The... Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...

  13. 77 FR 35263 - Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-13

    ...; Extension of Compliance Date AGENCY: Securities and Exchange Commission. ACTION: Final rule; extension of compliance date. SUMMARY: The Securities and Exchange Commission (``Commission'' or ``SEC'') is extending the date by which advisers must comply with the ban on third-party solicitation in rule 206(4)-5 under the...

  14. 29 CFR 2580.412-21 - Corporate sureties holding grants of authority from the Secretary of the Treasury.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 29 Labor 9 2014-07-01 2014-07-01 false Corporate sureties holding grants of authority from the...) EMPLOYEE BENEFITS SECURITY ADMINISTRATION, DEPARTMENT OF LABOR TEMPORARY BONDING RULES UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 TEMPORARY BONDING RULES Qualified Agents, Brokers and Surety Companies...

  15. 29 CFR 2580.412-21 - Corporate sureties holding grants of authority from the Secretary of the Treasury.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 29 Labor 9 2010-07-01 2010-07-01 false Corporate sureties holding grants of authority from the...) EMPLOYEE BENEFITS SECURITY ADMINISTRATION, DEPARTMENT OF LABOR TEMPORARY BONDING RULES UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 TEMPORARY BONDING RULES Qualified Agents, Brokers and Surety Companies...

  16. 29 CFR 2580.412-21 - Corporate sureties holding grants of authority from the Secretary of the Treasury.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 29 Labor 9 2011-07-01 2011-07-01 false Corporate sureties holding grants of authority from the...) EMPLOYEE BENEFITS SECURITY ADMINISTRATION, DEPARTMENT OF LABOR TEMPORARY BONDING RULES UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 TEMPORARY BONDING RULES Qualified Agents, Brokers and Surety Companies...

  17. 75 FR 71473 - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-23

    ... the Requirement To Maintain a Balance Certificate in the Fast Automated Securities Transfer Program... custody a balance certificate. II. Self-Regulatory Organization's Statement of the Purpose of, and... Proposed Rule Change Under DTC's FAST program, DTC leaves securities in the form of balance certificates in...

  18. 17 CFR 8.27 - Violations of rules regarding decorum, submission of records or other similar activities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Violations of rules regarding decorum, submission of records or other similar activities. 8.27 Section 8.27 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP...

  19. 17 CFR 7.200-7.201 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false [Reserved] 7.200-7.201 Section 7.200-7.201 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CONTRACT MARKET RULES ALTERED OR SUPPLEMENTED BY THE COMMISSION Board of Trade of the City of Chicago Rules § 7.200-7...

  20. 17 CFR 7.200-7.201 - [Reserved

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false [Reserved] 7.200-7.201 Section 7.200-7.201 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CONTRACT MARKET RULES ALTERED OR SUPPLEMENTED BY THE COMMISSION Board of Trade of the City of Chicago Rules § 7.200-7...

  1. 17 CFR 39.4 - Procedures for implementing derivatives clearing organization rules and clearing new products.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Procedures for implementing derivatives clearing organization rules and clearing new products. 39.4 Section 39.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES CLEARING ORGANIZATIONS § 39.4 Procedures for...

  2. 49 CFR 393.130 - What are the rules for securing heavy vehicles, equipment and machinery?

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 49 Transportation 5 2014-10-01 2014-10-01 false What are the rules for securing heavy vehicles, equipment and machinery? 393.130 Section 393.130 Transportation Other Regulations Relating to Transportation (Continued) FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION, DEPARTMENT OF TRANSPORTATION FEDERAL MOTOR CARRIER SAFETY REGULATIONS PARTS AND...

  3. 76 FR 49650 - Private Security Contractors (PSCs) Operating in Contingency Operations, Combat Operations or...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-11

    ...] Private Security Contractors (PSCs) Operating in Contingency Operations, Combat Operations or Other..., ``Contractor Personnel Authorized to Accompany the U.S. Armed Forces,'' which provides guidance for all DoD contractors operating in contingency operations. This Rule was published as an Interim Final Rule on July 17...

  4. 76 FR 76205 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-06

    ... relating to codes of ethics. This Rule requires investment advisers to adopt a code of ethics that reflects... securities laws. Accordingly, procedures designed to prevent the communication and misuse of non-public... securities of large, medium and small capitalization companies across the globe including developed countries...

  5. 77 FR 19153 - Nonpayment of Benefits to Fugitive Felons and Probation or Parole Violators

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-30

    ... SOCIAL SECURITY ADMINISTRATION 20 CFR Parts 404 and 416 [Docket No. SSA 2006-0173] RIN 0960-AG12 Nonpayment of Benefits to Fugitive Felons and Probation or Parole Violators AGENCY: Social Security Administration. ACTION: Proposed rules; withdrawal. SUMMARY: We are withdrawing the proposed rules we published...

  6. 17 CFR 300.307 - Completion with cash or securities of customer.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Completion with cash or securities of customer. 300.307 Section 300.307 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION...

  7. 17 CFR 250.102 - Effective date of rules.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Effective date of rules. 250...) GENERAL RULES AND REGULATIONS, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Miscellaneous Rules § 250.102 Effective date of rules. Unless the Commission otherwise prescribes in any case, the manner of publication...

  8. 33 CFR 83.08 - Action to avoid collision (Rule 8).

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 33 Navigation and Navigable Waters 1 2010-07-01 2010-07-01 false Action to avoid collision (Rule 8). 83.08 Section 83.08 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY INLAND NAVIGATION RULES RULES Steering and Sailing Rules Conduct of Vessels in Any Condition of...

  9. 33 CFR 83.08 - Action to avoid collision (Rule 8).

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 33 Navigation and Navigable Waters 1 2011-07-01 2011-07-01 false Action to avoid collision (Rule 8). 83.08 Section 83.08 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY INLAND NAVIGATION RULES RULES Steering and Sailing Rules Conduct of Vessels in Any Condition of...

  10. 33 CFR 83.08 - Action to avoid collision (Rule 8).

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 33 Navigation and Navigable Waters 1 2014-07-01 2014-07-01 false Action to avoid collision (Rule 8). 83.08 Section 83.08 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY INLAND NAVIGATION RULES RULES Steering and Sailing Rules Conduct of Vessels in Any Condition of...

  11. 33 CFR 83.08 - Action to avoid collision (Rule 8).

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... 33 Navigation and Navigable Waters 1 2012-07-01 2012-07-01 false Action to avoid collision (Rule 8). 83.08 Section 83.08 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY INLAND NAVIGATION RULES RULES Steering and Sailing Rules Conduct of Vessels in Any Condition of...

  12. 33 CFR 83.08 - Action to avoid collision (Rule 8).

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... 33 Navigation and Navigable Waters 1 2013-07-01 2013-07-01 false Action to avoid collision (Rule 8). 83.08 Section 83.08 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY INLAND NAVIGATION RULES RULES Steering and Sailing Rules Conduct of Vessels in Any Condition of...

  13. Review of health information technology usability study methodologies

    PubMed Central

    Bakken, Suzanne

    2011-01-01

    Usability factors are a major obstacle to health information technology (IT) adoption. The purpose of this paper is to review and categorize health IT usability study methods and to provide practical guidance on health IT usability evaluation. 2025 references were initially retrieved from the Medline database from 2003 to 2009 that evaluated health IT used by clinicians. Titles and abstracts were first reviewed for inclusion. Full-text articles were then examined to identify final eligibility studies. 629 studies were categorized into the five stages of an integrated usability specification and evaluation framework that was based on a usability model and the system development life cycle (SDLC)-associated stages of evaluation. Theoretical and methodological aspects of 319 studies were extracted in greater detail and studies that focused on system validation (SDLC stage 2) were not assessed further. The number of studies by stage was: stage 1, task-based or user–task interaction, n=42; stage 2, system–task interaction, n=310; stage 3, user–task–system interaction, n=69; stage 4, user–task–system–environment interaction, n=54; and stage 5, user–task–system–environment interaction in routine use, n=199. The studies applied a variety of quantitative and qualitative approaches. Methodological issues included lack of theoretical framework/model, lack of details regarding qualitative study approaches, single evaluation focus, environmental factors not evaluated in the early stages, and guideline adherence as the primary outcome for decision support system evaluations. Based on the findings, a three-level stratified view of health IT usability evaluation is proposed and methodological guidance is offered based upon the type of interaction that is of primary interest in the evaluation. PMID:21828224

  14. 49 CFR 1522.5 - TSA inspection authority.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... threats to transportation; (ii) Enforce security-related regulations, directives, and requirements: (iii... Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY SECURITY RULES FOR ALL MODES OF TRANSPORTATION TSA-APPROVED VALIDATION FIRMS...

  15. 17 CFR 230.610 - Suspension of exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Suspension of exemption. 230.610 Section 230.610 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business...

  16. 17 CFR 230.608 - Prohibition of certain statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Prohibition of certain statements. 230.608 Section 230.608 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small...

  17. 49 CFR 1542.1 - Applicability of this part.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY AIRPORT SECURITY General § 1542.1 Applicability of this part. This part describes aviation security rules governing: (a) The operation of airports.... (c) Each airport operator that receives a Security Directive or Information Circular and each person...

  18. 49 CFR 1542.1 - Applicability of this part.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY AIRPORT SECURITY General § 1542.1 Applicability of this part. This part describes aviation security rules governing: (a) The operation of airports.... (c) Each airport operator that receives a Security Directive or Information Circular and each person...

  19. 49 CFR 1542.1 - Applicability of this part.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY AIRPORT SECURITY General § 1542.1 Applicability of this part. This part describes aviation security rules governing: (a) The operation of airports.... (c) Each airport operator that receives a Security Directive or Information Circular and each person...

  20. 49 CFR 1542.1 - Applicability of this part.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY AIRPORT SECURITY General § 1542.1 Applicability of this part. This part describes aviation security rules governing: (a) The operation of airports.... (c) Each airport operator that receives a Security Directive or Information Circular and each person...

  1. 49 CFR 1542.1 - Applicability of this part.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY AIRPORT SECURITY General § 1542.1 Applicability of this part. This part describes aviation security rules governing: (a) The operation of airports.... (c) Each airport operator that receives a Security Directive or Information Circular and each person...

  2. Implementation of data security and data privacy provisions will bring sweeping changes to laboratory service providers.

    PubMed

    Boothe, J F

    2000-01-01

    The Health Insurance Portability and Accountability Act included substantial changes involving handling of health information by establishing national standards for electronic transactions, data privacy, and data security. The first final rule for electronic transaction standards was published August 17, 2000. The remaining final rules are expected to be published in Winter 2000. Providers, such as clinical laboratories, will have 26 months from the data of publication to comply. The civil monetary fines for noncompliance are substantial. This article will review the key provisions of the data security and data privacy proposed rules. These provisions will touch virtually every aspect of electronic claims submissions, electronic data transactions, and the electronic storage of medical information. The proposed rules will require a coordinated approach by providers to develop the policies and procedures, and the technical and physical infrastructure to protect health information. Moreover, providers will need to identify a privacy officer, to review existing privacy policies to compare the proposed rule with any existing state laws to determine which may be more stringent, and to develop new policies to address the particular requirements of the final rule.

  3. Farmland Tenure Security in China: Influencing Factors of Actual and Perceived Farmland Tenure Security

    NASA Astrophysics Data System (ADS)

    Ren, Guangcheng; Zhu, Xueqin; Heerink, Nico; van Ierland, Ekko; Feng, Shuyi

    2017-04-01

    Tenure security plays an important role in farm households' investment, land renting and other decisions. Recent literature distinguishes between actual farmland tenure security (i.e. farm households' actual control of farmland) and perceived farmland tenure security (i.e. farm households' subjective understanding of their farmland tenure situation and expectation regarding government enforcement and equality of the law). However little is known on what factors influence the actual and perceived farmland tenure security in rural China. Theoretically, actual farmland tenure security is related to village self-governance as a major informal governance rule in rural China. Both economic efficiency and equity considerations are likely to play a role in the distribution of land and its tenure security. Household perceptions of farmland tenure security depend not only on the actual farmland tenure security in a village, but may also be affected by households' investment in and ability of changing social rules. Our study examines what factors contribute to differences in actual and perceived farmland tenure security between different villages and farm households in different regions of China. Applying probit models to the data collected from 1,485 households in 124 villages in Jiangsu, Jiangxi, Liaoning and Chongqing, we find that development of farmland rental market and degree of self-governance of a village have positive impacts, and development of labour market has a negative effect on actual farmland tenure security. Household perceptions of tenure security depend not only on actual farmland tenure security and on households' investment in and ability of changing social rules, but also on risk preferences of households. This finding has interesting policy implications for future land reforms in rural China.

  4. 49 CFR 1520.7 - Covered persons.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY SECURITY RULES FOR ALL MODES OF TRANSPORTATION PROTECTION OF SENSITIVE SECURITY INFORMATION § 1520.7 Covered persons. Persons subject to the requirements of part 1520 are: (a...

  5. 49 CFR 1520.7 - Covered persons.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY SECURITY RULES FOR ALL MODES OF TRANSPORTATION PROTECTION OF SENSITIVE SECURITY INFORMATION § 1520.7 Covered persons. Persons subject to the requirements of part 1520 are: (a...

  6. 49 CFR 1520.7 - Covered persons.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY SECURITY RULES FOR ALL MODES OF TRANSPORTATION PROTECTION OF SENSITIVE SECURITY INFORMATION § 1520.7 Covered persons. Persons subject to the requirements of part 1520 are: (a...

  7. 49 CFR 1520.7 - Covered persons.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY SECURITY RULES FOR ALL MODES OF TRANSPORTATION PROTECTION OF SENSITIVE SECURITY INFORMATION § 1520.7 Covered persons. Persons subject to the requirements of part 1520 are: (a...

  8. 49 CFR 1520.7 - Covered persons.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY SECURITY RULES FOR ALL MODES OF TRANSPORTATION PROTECTION OF SENSITIVE SECURITY INFORMATION § 1520.7 Covered persons. Persons subject to the requirements of part 1520 are: (a...

  9. 75 FR 11603 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-11

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61647; File No. SR-MSRB-2010-01] Self... of the self- regulatory organization pursuant to Section 19(b)(3)(A)(i) of the Act,\\3\\ and Rule 19b-4...)(1). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule...

  10. 77 FR 213 - United States Savings Bonds, Series EE and I

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-04

    ... (APA). Because this rule relates to United States securities, which are contracts between Treasury and the owner of the security, this rule falls within the contract exception to the APA, 5 U.S.C. 553(a)(2). As a result, the notice, public comment, and delayed effective date provisions of the APA are...

  11. 17 CFR 12.105 - Submission of proof only in documentary or tangible form.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Submission of proof only in documentary or tangible form. 12.105 Section 12.105 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS Rules Applicable to Voluntary Decisional Proceedings § 12.105 Submission of proof only in...

  12. 17 CFR 12.105 - Submission of proof only in documentary or tangible form.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Submission of proof only in documentary or tangible form. 12.105 Section 12.105 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS Rules Applicable to Voluntary Decisional Proceedings § 12.105 Submission of proof only in...

  13. 17 CFR 12.105 - Submission of proof only in documentary or tangible form.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Submission of proof only in documentary or tangible form. 12.105 Section 12.105 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS Rules Applicable to Voluntary Decisional Proceedings § 12.105 Submission of proof only in...

  14. 17 CFR 12.105 - Submission of proof only in documentary or tangible form.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Submission of proof only in documentary or tangible form. 12.105 Section 12.105 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS Rules Applicable to Voluntary Decisional Proceedings § 12.105 Submission of proof only in...

  15. 17 CFR 12.105 - Submission of proof only in documentary or tangible form.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Submission of proof only in documentary or tangible form. 12.105 Section 12.105 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS Rules Applicable to Voluntary Decisional Proceedings § 12.105 Submission of proof only in...

  16. 77 FR 40668 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-10

    ...-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change To Amend Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements July 3, 2012. Pursuant.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance...

  17. 76 FR 72741 - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-25

    ...-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Rules Relating to the Creation of a Service To Provide Post-Trade Information November 18.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of the...

  18. 78 FR 15773 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69038; File No. SR-BATS-2013-016] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Modify the BATS..., 2013, BATS Exchange, Inc. (the ``Exchange'' or ``BATS'') filed with the Securities and Exchange...

  19. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2000-04-01

    ... 17 Commodity and Securities Exchanges 3 2000-04-01 2000-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each application for a stay of a trustee's duty to...

  20. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2000-04-01

    ... 17 Commodity and Securities Exchanges 3 2000-04-01 2000-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each application for an order under section 304(d) of...

  1. 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...

  2. 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...

  3. 78 FR 79534 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Designation of a Longer Period for...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-30

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71177; File No. SR-Phlx-2013-106] Self... on Proposed Rule Change To Amend Rules 1064 and 1080 to More Specifically Address the Number and Size..., NASDAQ OMX PHLX LLC (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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...

  9. 75 FR 42270 - Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-20

    ... Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules; Final Rule #0;#0;Federal Register / Vol. 75, No. 138... CFR Part 4401 and 17 CFR Part 200 [Release No. 34-62501] Adoption of Supplemental Standards of Ethical...

  10. 75 FR 42269 - Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-20

    ... Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules; Final Rule #0;#0;Federal Register / Vol. 75, No. 138... CFR Part 4401 and 17 CFR Part 200 [Release No. 34-62501] Adoption of Supplemental Standards of Ethical...

  11. Algorithm Diversity for Resilent Systems

    DTIC Science & Technology

    2016-06-27

    data structures. 15. SUBJECT TERMS computer security, software diversity, program transformation 16. SECURITY CLASSIFICATION OF: 17. LIMITATION OF 18...systematic method for transforming Datalog rules with general universal and existential quantification into efficient algorithms with precise complexity...worst case in the size of the ground rules. There are numerous choices during the transformation that lead to diverse algorithms and different

  12. 77 FR 52083 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-28

    ... codes of ethics. This Rule requires investment advisers to adopt a code of ethics that reflects the... may purchase fixed income securities issued by U.S. or foreign corporations \\8\\ or financial... stocks. The Fund also may purchase securities issued or guaranteed by the U.S. Government or foreign...

  13. 77 FR 61649 - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-10

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67970; File No. SR-ICC-2012-12] Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Amend Schedule 502 of the ICE Clear..., 2012. I. Introduction On August 9, 2012, ICE Clear Credit LLC (``ICC'') filed with the Securities and...

  14. 75 FR 9987 - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-04

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61593; File No. SR-DTC-2009-17] Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Allow The Depository Trust Company To Provide Settlement Services to European Central Counterparty Limited for U.S. Securities Traded on European Trading Venues...

  15. 77 FR 57625 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-18

    ... its common stock listed on a foreign market and list some other type of security on the Exchange, such...-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending... 30, 2012, New York Stock Exchange LLC (``NYSE'' or the ``Exchange'') filed with the Securities and...

  16. 20 CFR 416.1147a - Income rules in change-of-status situations involving in-kind support and maintenance.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... involving in-kind support and maintenance. 416.1147a Section 416.1147a Employees' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income In-Kind Support and... support and maintenance. (a) General. This section explains the rules for determining countable income...

  17. 20 CFR 416.1147a - Income rules in change-of-status situations involving in-kind support and maintenance.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... involving in-kind support and maintenance. 416.1147a Section 416.1147a Employees' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income In-Kind Support and... support and maintenance. (a) General. This section explains the rules for determining countable income...

  18. 77 FR 5613 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-03

    ... proposed rule change to increase FINRA's Trading Activity Fee (``TAF'') rate for transactions in covered... would amend Section 1 of Schedule A to the FINRA By-Laws to adjust the rate of FINRA's TAF for transactions in Covered Securities that are equity securities.\\4\\ The rules governing the TAF also include a...

  19. 75 FR 14227 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-24

    ... Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. See... security.''). See also Newton v. Merrill, Lynch, Pierce, Fenner & Smith, Inc., 135 F.3d 266, at 271, 274 (3d Cir.), cert. denied, 525 U.S. 811 (1998); Payment for Order Flow, Securities Exchange Act Release...

  20. 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...

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