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Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents
Results 1 - 50 of over 8,300
| Document | Doc Number | Type | Agency | |
|---|---|---|---|---|
| November 6, 2009 | ||||
| Agency Information Collection Activities; Proposals, Submissions, and Approvals | 57539–57540 [E9–26751] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Rule 17Ad-11; SEC File No. 270-261; OMB Control No. 3235-0274] Proposed Collection; Comment Request Upon Written Request, Copies Available
From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213. Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of... [read document] |
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| Agency Information Collection Activities; Proposals, Submissions, and Approvals | 57540 [E9–26753] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor
Education and Advocacy, Washington, DC 20549-0213. Extension: Rule 17Ad-13; SEC File No. 270-263; OMB Control No. 3235-0275. Notice is hereby given that, pursuant to the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing... [read document] |
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| Agency Information Collection Activities; Proposals, Submissions, and Approvals | 57540–57541 [E9–26752] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor
Education and Advocacy, Washington, DC 20549-0213. Extension: Form N-8B-2; SEC File No. 270-186; OMB Control No. 3235-0186. Notice is hereby given that, pursuant to the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection... [read document] |
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| Order of Suspension of Trading: | 57541–57542 [E9–26750] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60908; File No. SR-NYSEAmex-2009-77] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed
Rule Change by NYSE Amex, LLC Amending Its Schedule of Fees and Charges for Exchange Services October 30, 2009. Pursuant to Section 19(b)(1)\1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given that, on October 27, 2009, NYSE Amex LLC (``NYSE Amex'' or the... [read document] |
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| Order of Suspension of Trading: Minecore International, Inc. | 57541 [E9–26896] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] Minecore International, Inc.; Order of Suspension of Trading November 4, 2009. It appears to the Securities and Exchange
Commission that there is a lack of current and accurate information concerning the securities of Minecore International, Inc. (``Minecore'') because it has not filed a periodic
report since its 10-KSB for the fiscal year ending December 31, 2001, filed on June 30, 2004. The Commission is of the opinion that the public... [read document] |
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| Meetings; Sunshine Act | 57541 [E9–26894] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the
Securities and Exchange Commission will hold its annual forum on small business capital formation on November 19, 2009 beginning at 9 a.m. The forum will include roundtables
focusing on the state of small business capital formation and the SEC's accredited investor definition for private and limited offerings. The... [read document] |
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| Order of Suspension of Trading: NYSE Amex, LLC | 57542–57544 [E9–26749] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60907; File No. SR-NYSEAmex-2009-73] Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate
Effectiveness of Proposed Rule Change To Add Commentary .04 to Rule 904C October 30, 2009. Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 1934 (the ``Act'')
and Rule 19b-4 thereunder,\2\ notice is hereby given that, on October 19, 2009, NYSE Amex LLC (``NYSE Amex'' or the ``Exchange'') filed with the Securities... [read document] |
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| Order of Suspension of Trading: NASDAQ Stock Market LLC | 57544–57546 [E9–26748] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60905; File No. SR-NASDAQ-2009-093] Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate
Effectiveness of Proposed Rule Change to Modify the Opening of Trading on the NASDAQ Options Market October 30, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act
of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 26, 2009, The NASDAQ Stock Market LLC (``Nasdaq'')... [read document] |
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| November 5, 2009 | ||||
| Applications for Deregistration under Section 8(f) of the Investment Company Act (of 1940) | 57354–57357 [E9–26660] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. IC-28988] Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 October 30, 2009.
The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of October, 2009. A copy of each application
may be obtained via the Commission's Web site by searching for the file number, or an applicant using the Company name box, at... [read document] |
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| Filing of Proposed Rules on Auditing Standard No. 7, Engagement Quality Review, and Conforming Amendment: Public Company Accounting Oversight Board | 57357–57371 [E9–26659] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60903; File No. PCAOB-2009-02] Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing
Standard No. 7, Engagement Quality Review, and Conforming Amendment October 29, 2009. Pursuant to Section 107(b) of the Sarbanes-Oxley Act of 2002 (the ``Act''), notice is
hereby given that on August 4, 2009, the Public Company Accounting Oversight Board (the ``Board'' or the ``PCAOB'') filed with the Securities and Exchange... [read document] |
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| Filing of Proposed Rules on Auditing Standard No. 7, Engagement Quality Review, and Conforming Amendment: International Securities Exchange, LLC | 57371–57372 [E9–26588] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60902; File No. SR-ISE-2009-83] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and
Immediate Effectiveness of Proposed Rule Change To Clarify the Definition of ``Narrow-Based Index'' October 29, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act
of 1934 (the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 19, 2009, the International Securities Exchange,... [read document] |
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| November 4, 2009 | ||||
| Staff Accounting Bulletin (No. 113) | 57062–57070 [E9–26525] | Rule | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 211 [Release No. SAB 113] Staff Accounting Bulletin No. 113 AGENCY: Securities and Exchange Commission. ACTION: Publication of
staff accounting bulletin. SUMMARY: This Staff Accounting Bulletin (SAB) revises or rescinds portions of the interpretive guidance included in the section of the Staff
Accounting Bulletin Series titled ``Topic 12: Oil and Gas Producing Activities'' (Topic 12) and revises a technical reference in ``Topic 3: Senior... [read document] |
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| Agency Information Collection Activities; Proposals, Submissions, and Approvals | 57207–57208 [E9–26514] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor
Education and Advocacy, Washington, DC 20549-0213. Extension: Rule 154, SEC File No. 270-438, OMB Control No. 3235-0495. Notice is hereby given that, under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501-3520), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and... [read document] |
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| Applications: MFS Government Markets Income Trust et al. | 57208–57211 [E9–26512] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 28987; 812-13482] MFS Government Markets Income Trust et al.; Notice of Application October 29, 2009.
AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of application under section 6(c) of the Investment Company Act of 1940 (``Act'') for an exemption
from section 19(b) of the Act and rule 19b-1 under the Act. Summary of Application: Applicants request an order to permit certain closed-end investment... [read document] |
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| Meetings; Sunshine Act | 57211–57212 [E9–26721] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the
Securities and Exchange Commission will hold a Closed Meeting on Monday, November 9, 2009 at 10 a.m. Commissioners, Counsel to the Commissioners, the Secretary to the
Commission, and recording secretaries will attend the Closed Meeting. Certain staff members who have an interest in the matters also may be present. The... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: | 57212–57214 [E9–26513] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60899; File No. SR-NASDAQ-2009-081] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed
Rule Change To Modify the Fees for Listing on the Nasdaq Stock Market and the Fee for Written Interpretations of Nasdaq Listing Rules October 28, 2009. Pursuant to Section
19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 6, 2009, The NASDAQ... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: NASDAQ Stock Market LLC | 57214–57215 [E9–26511] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60893; File No. SR-NASDAQ-2009-089] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate
Effectiveness of a Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality October 28, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act
of 1934 (``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 14, 2009, The NASDAQ Stock Market LLC (the... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: NASDAQ OMX BX, Inc. | 57215–57217 [E9–26510] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60894; File No. SR-BX-2009-068] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate
Effectiveness of a Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality October 28, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act
of 1934 (``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 23, 2009, NASDAQ OMX BX, Inc. (``Exchange'') filed with the... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: International Securities Exchange, LLC | 57217–57219 [E9–26509] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60897; File No. SR-ISE-2009-85] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule
Change by the International Securities Exchange, LLC Related to Market Maker Guidelines October 28, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that, on October 22, 2009, the International Securities Exchange, LLC (the... [read document] |
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| November 3, 2009 | ||||
| Self-Regulatory Organizations; Proposed Rule Changes: NASDAQ OMX BX, Inc. | 56897–56899 [E9–26357] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60886; File No. SR-BX-2009-067] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate
Effectiveness of a Proposed Rule Change To Extend the Effective Date of and Expand the Penny Pilot Program on the Boston Options Exchange Facility October 27, 2009. Pursuant to
Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 19, 2009, NASDAQ... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: NYSE Amex LLC | 56899–56902 [E9–26358] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60887; File No. SR-NYSEAmex-2009-76] Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC
Amending NYSE Amex Equities Rule 70 in Order To Update d-Quote Functionality and Provide for e-Quotes To Peg to the National Best Bid or Offer October 27, 2009. Pursuant to
Section 19(b)(1) \1\ of the Securities Exchange Act of 1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given that, on October... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: New York Stock Exchange LLC | 56902–56905 [E9–26359] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60888; File No. SR-NYSE-2009-106] Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock
Exchange LLC Amending Rule 70 in Order To Update d-Quote Functionality and Provide for e-Quotes To Peg to the National Best Bid or Offer October 27, 2009. Pursuant to Section
19(b)(1) \1\ of the Securities Exchange Act of 1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given that, on October 26, 2009,... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: NYSE Arca, Inc. | 56906–56907 [E9–26403] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60896; File No. SR-NYSEArca-2009-98] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed
Rule Change by NYSE Arca, Inc. Relating to $1 Strikes for KBW Bank Index Options (BKX) October 28, 2009. Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 1934
(the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given that, on October 27, 2009, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange'')... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: Depository Trust Co. | 56907–56908 [E9–26360] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60889; File No. SR-DTC-2009-13] Self-Regulatory Organizations; the Depository Trust Company; Order Approving Proposed Rule
Change Relating to Municipal Bonds Redemption Process October 27, 2009. I. Introduction On July 15, 2009, The Depository Trust Company (``DTC'') filed with the Securities and
Exchange Commission (``Commission'') a proposed rule change pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'').\1\ On... [read document] |
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| November 2, 2009 | ||||
| Self-Regulatory Organizations; Proposed Rule Changes: NASDAQ OMX PHLX, Inc. | 56675–56677 [E9–26252] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60873; File No. SR-Phlx-2009-91] Self-Regulatory Organizations; The NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate
Effectiveness of a Proposed Rule Change Relating to the Expansion and Extension of the Exchange's Penny Pilot Program October 23, 2009. Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act'') \1\, and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 16, 2009, NASDAQ OMX PHLX, Inc.... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: | 56677–56679 [E9–26255] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60880; File No. SR-NASDAQ-2009-090] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate
Effectiveness of a Proposed Rule Change To Permit Listing Option Series That Are Restricted to Closing Transactions if Such Series Are Listed and Restricted to Closing
Transactions on Another National Securities Exchange October 26, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\,... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: Financial Industry Regulatory Authority, Inc. | 56679–56682 [E9–26254] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60878; No. SR-FINRA-2009-041] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing
Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Rules 12100, 12506, and 12902 of the Code of
Arbitration Procedure for Customer Disputes and Rule 13100 of the Code of Arbitration Procedure for Industry Disputes To Implement Conforming... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: NASDAQ Stock Market LLC | 56682–56684 [E9–26253] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60874; File No. SR-NASDAQ-2009-091] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate
Effectiveness of a Proposed Rule Change Relating to the Expansion and Extension of the Exchange's Penny Pilot Program October 23, 2009. Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 16, 2009, The NASDAQ Stock Market... [read document] |
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| October 29, 2009 | ||||
| Order of Suspension of Trading: International Securities Exchange, LLC | 55872–55873 [E9–26021] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60861; File No. SR-ISE-2009-77] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and
Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees for Crossing Orders October 22, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of
1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 1, 2009, International Securities Exchange, LLC (``ISE'' or... [read document] |
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| Order of Suspension of Trading: Planetgood Technologies, Inc., et al. | 55872 [E9–26158] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] Planetgood Technologies, Inc (n/k/a All American Coffee & Beverage, Inc.), Platronics, Inc., Plus Solutions, Inc.,
Portacom Wireless, Inc., Prime Holdings & Investments, Inc., Pro-After, Inc. (f/ k/a PurchasePro.Com, Inc.), Project Group, Inc., ProLong International Corp., PSS, Inc., and
Purus, Inc.; Order of Suspension of Trading October 27, 2009. It appears to the Securities and Exchange Commission that there is a lack of current and... [read document] |
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| Order of Suspension of Trading: NASDAQ Stock Market LLC | 55874–55875 [E9–26022] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60862; File No. SR-NASDAQ-2009-088] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order
Granting Accelerated Approval of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center October 22, 2009. Pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 13, 2009, The NASDAQ Stock Market LLC... [read document] |
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| Order of Suspension of Trading: NASDAQ OMX BX, Inc. | 55875–55876 [E9–26023] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60863; File No. SR-BX-2009-055] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To
Retroactively Correct an Error in Rule 7018 October 22, 2009. On August 28, 2009, NASDAQ OMX BX, Inc. (the ``Exchange'' or ``BX'') 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... [read document] |
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| Order of Suspension of Trading: Chicago Board Options Exchange, Inc. | 55876–55878 [E9–26024] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60864; File No. SR-CBOE-2009-076] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program October 22, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of
1934 (the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 20, 2009, the Chicago Board Options Exchange, Incorporated... [read document] |
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| Order of Suspension of Trading: Options Clearing Corp. | 55878–55879 [E9–26027] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60872; File No. SR-OCC-2009-14] Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule
Change To Clear Options Based on Index- Linked Securities October 23, 2009. I. Introduction On August 12, 2009, The Options Clearing Corporation (``OCC'') filed with the
Securities and Exchange Commission (``Commission'') proposed rule change SR-OCC-2009-14 pursuant to Section 19(b)(1) of the Securities Exchange Act of... [read document] |
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| Order of Suspension of Trading: | 55879–55880 [E9–26025] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION Release No. 34-60866; File No. SR-ISE-2009-81] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and
Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, to Extend the Pilot Program to Expose All-Or-None Orders for an Additional One Month
October 22, 2009. 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... [read document] |
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| Order of Suspension of Trading: | 55880–55883 [E9–26061] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60865; File No. SR-ISE-2009-82] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and
Immediate Effectiveness of Proposed Rule Change To Expand the Penny Pilot Program October 22, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the
``Act'') \1\, and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 19, 2009, the International Securities Exchange, LLC (the... [read document] |
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| Order of Suspension of Trading: New York Stock Exchange LLC | 55883–55884 [E9–26026] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60868; File No. SR-NYSE-2009-83] Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule
Change Amending Its Initial Listing Fees for Operating Companies October 22, 2009. I. Introduction On August 26, 2009, New York Stock Exchange LLC (``NYSE'' or ``Exchange'')
filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\... [read document] |
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| October 28, 2009 | ||||
| Self-Regulatory Organizations; Proposed Rule Changes: NASDAQ OMX PHLX, Inc. | 55593–55594 [E9–25826] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60840; File No. SR-Phlx-2009-77] Self-Regulatory Organizations; Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc.
Regarding Listing Certain Options at $1 Strike Price Intervals Below $200 and Listing Certain Options at $2.50 Strike Price Intervals Below $200 October 20, 2009. On September
4, 2009, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: | 55594–55596 [E9–25827] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60853; File No. SR-Phlx-2009-89] Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate
Effectiveness of Proposed Rule Change Relating to Retroactively Waiving the Cancellation Fee October 21, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of
1934 (``Act'') \1\, and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 13, 2009, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange'') filed... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: NYSE Arca, Inc. | 55596–55597 [E9–25829] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60855; File No. SR-NYSEArca-2009-92] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate
Effectiveness of a Proposed Rule Change Amending Obligations of Lead Market Makers October 21, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the
``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that, on October 14, 2009, NYSE Arca, Inc. (``NYSE Arca'' or the ``Exchange'') filed with... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: | 55597–55598 [E9–25831] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60858; File No. SR-CBOE-2009-077] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of
Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Chicago Board Options Exchange Stock Exchange Fees Schedule Related to Stock Component of Stock-Option
Cross Trade October 21, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: Financial Industry Regulatory Authority, Inc. | 55598–55600 [E9–25872] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60850; File No. SR-FINRA-2009-067] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of
Filing of Proposed Rule Change To Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated
FINRA Rulebook October 21, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: | 55600–55606 [E9–25875] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60860; File No. SR-FINRA-2009-065] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of
Filing of Proposed Rule Change To Define Asset-Backed Securities, Mortgage-Backed Securities, and Other Similar Securities as TRACE-Eligible Securities and Require the Reporting
of Transactions in Such Securities to TRACE October 21, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act'') \1\... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: | 55606–55610 [E9–25873] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60851; File No. SR-FINRA-2009-068] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of
Filing of Proposed Rule Change Relating to FINRA's Rules Governing Clearly Erroneous Executions October 21, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of
1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 19, 2009, Financial Industry Regulatory Authority, Inc.... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: | 55610–55611 [E9–25832] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60859; File No. SR-ISE-2009-64] Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a
Proposed Rule Change Relating to Historical ISE Open/Close Trade Profile Fees October 21, 2009. On August 25, 2009, the International Securities Exchange, LLC (the ``Exchange''
or the ``ISE'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: Chicago Board Options Exchange, Inc. | 55611–55613 [E9–25830] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60857; File No. SR-CBOE-2009-074] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change Amending Interpretation and Policy .13 to Rule 5.3 October 21, 2009. Pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on October 20, 2009, the Chicago Board Options Exchange,... [read document] |
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| Self-Regulatory Organizations; Proposed Rule Changes: International Securities Exchange, LLC | 55613–55614 [E9–25828] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60854; File No. SR-ISE-2009-84] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule
Change by the International Securities Exchange, LLC To Amend ISE Rules Relating to the Minimum Size Requirement for Quotations October 21, 2009. Pursuant to Section 19(b)(1) of
the Securities Exchange Act of 1934 (the ``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that, on October 19, 2009, the... [read document] |
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| October 27, 2009 | ||||
| Credit Ratings Disclosure | 55162 [E9–25813] | Proposed Rule | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 229, 239, 240, 249 and 274 [Release Nos. 33-9070A; 34-60797A; IC-28942A; File No. S7-24-09] RIN 3235-AK41 Credit Ratings
Disclosure AGENCY: Securities and Exchange Commission. ACTION: Proposed rule; correction. SUMMARY: This document corrects the file number in the preamble to a proposed rule
regarding credit ratings disclosure published in the Federal Register of Thursday, October 15, 2009 (74 FR 53086). The file number should read as set forth... [read document] |
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| Concept Release on Possible Recission of Rule 436(g) under the Securities Act (of 1933) | 55162 [E9–25811] | Proposed Rule | Securities and Exchange Commission | |
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Proposed Rules Federal Register SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 220 [Release Nos. 33-9071A; 34-60798A; IC-28943A; File No. S7-25-09] RIN 3235-AK45 Concept Release
on Possible Rescission of Rule 436(g) Under the Securities Act of 1933 AGENCY: Securities and Exchange Commission. ACTION: Concept release; request for comments; correction.
SUMMARY: This document corrects the file number in the preamble to a concept release on possible rescission of rule 436(g) under the Securities Act... [read document] |
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| Joint Industry Plan: Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols, etc. | 55276–55277 [E9–25874] | Notice | Securities and Exchange Commission | |
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SECURITIES AND EXCHANGE COMMISSION [Release No. 34-60856; File No. 4-533] Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market
System Plan for the Selection and Reservation of Securities Symbols To Add BATS Exchange, Inc., as a Party Thereto October 21, 2009. Pursuant to Section 11A(a)(3) of the
Securities Exchange Act of 1934 (``Act'') \1\ and Rule 608 thereunder,\2\ notice is hereby given that on September 30, 2009, BATS Exchange, Inc.,... [read document] |
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