Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2008/09?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-22T23:58:58-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2008/09/30/E8-22962.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto Related to Amendments to Rule 991 (Communications to Customers) and Rule 921 (Opening of Accounts)2008-09-30T00:00:00-07:002008-09-30T00:00:00-07:00E8-22962Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-30/pdf/E8-22962.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/30/E8-22927.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, To Amend the By-Laws of FINRA Regulation To Realign the Representation of Industry Members on the National Adjudicatory Council To Follow More Closely the Categories of Industry Representation on the FINRA Board2008-09-30T00:00:00-07:002008-09-30T00:00:00-07:00E8-22927Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-30/pdf/E8-22927.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/30/E8-22859.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish a PORTAL Reference Database and Related Fees2008-09-30T00:00:00-07:002008-09-30T00:00:00-07:00E8-22859Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-30/pdf/E8-22859.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/30/E8-22858.htmlNotice - Sunshine Act Meeting2008-09-30T00:00:00-07:002008-09-30T00:00:00-07:00E8-22858Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-30/pdf/E8-22858.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/30/E8-22830.htmlNotice - Sunshine Act Meeting2008-09-30T00:00:00-07:002008-09-30T00:00:00-07:00E8-22830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-30/pdf/E8-22830.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/29/E8-22749.htmlNotice - Morgan Stanley Series Funds, et al.; Notice of Application2008-09-29T00:00:00-07:002008-09-29T00:00:00-07:00E8-22749Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-29/pdf/E8-22749.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/29/E8-22748.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by Chicago Board Options Exchange, Incorporated Relating to Transfer of Interim Trading Permits2008-09-29T00:00:00-07:002008-09-29T00:00:00-07:00E8-22748Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-29/pdf/E8-22748.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/29/E8-22747.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rules Relating to Appointment Costs2008-09-29T00:00:00-07:002008-09-29T00:00:00-07:00E8-22747Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-29/pdf/E8-22747.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/26/E8-22658.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Enable the Exchange To Waive Annual Listing Fees for Securities Transferring From the Amex or NYSE Arca, Inc.2008-09-26T00:00:00-07:002008-09-26T00:00:00-07:00E8-22658Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-26/pdf/E8-22658.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/26/E8-22656.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule To Establish a CBSX-Only Order Type2008-09-26T00:00:00-07:002008-09-26T00:00:00-07:00E8-22656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-26/pdf/E8-22656.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/26/E8-22655.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Waive Annual Fees for Securities Transferring to NYSE Arca From NYSE Alternext US2008-09-26T00:00:00-07:002008-09-26T00:00:00-07:00E8-22655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-26/pdf/E8-22655.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/26/E8-22654.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc., Amending NYSE Arca Equities Rule 7.35 Governing Auctions2008-09-26T00:00:00-07:002008-09-26T00:00:00-07:00E8-22654Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-26/pdf/E8-22654.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/26/E8-22638.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Changes to Disclosure Regarding Certain Variability Index Options, Strategy-Based Index Options, and Adjustments of Stock Option Contracts2008-09-26T00:00:00-07:002008-09-26T00:00:00-07:00E8-22638Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-26/pdf/E8-22638.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/26/E8-22587.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Amend Section 902.09 of the Listed Company Manual To Establish Fees for Securities Listed Under Sections 703.21 and 703.22 of the Listed Company Manual and Traded on NYSE Bonds and To Waive Fees for Structured Products Transferred From the Amex to the NYSE2008-09-26T00:00:00-07:002008-09-26T00:00:00-07:00E8-22587Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-26/pdf/E8-22587.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22644.htmlNotice - Sunshine Act Meeting2008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22644Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22644.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22547.htmlNotice - The Reserve Fund, on Behalf of Two of Its Series, the Primary Fund and the U.S. Government Fund; Order Temporarily Suspending Redemption of Investment Company Shares and Postponing Payment for Investment Company Shares Which Have Been Submitted for Redemption for Which Payment Has Not Been Made Pursuant to Section 22(E)(3) of the Investment Company Act of 19402008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22547Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22547.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22546.htmlNotice - Sunshine Act Meeting2008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22546Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22546.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22509.htmlNotice - Securities Exchange Act of 1934; Amendment to Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments2008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22509Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22509.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22508.htmlNotice - Triangle Capital Corporation, et al.; Notice of Application2008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22508Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22508.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22507.htmlNotice - Trust for Professional Managers, et al.; Notice of Application2008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22507Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22507.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22506.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Proposing To Temporarily Suspend the Requirements of NYSE Rule 311 and Related NYSE Rules Concerning the Approval of New Member Organizations in Order To Approve Barclays Capital Inc. as an NYSE Member Organization2008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22506Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22506.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22505.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the American Stock Exchange LLC Temporarily Suspending the Requirements of Its Rules Concerning the Approval of New Member Organizations in Order To Approve Barclays Capital Inc. Immediately and Provisionally as a New Member Organization2008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22505Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22505.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22504.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Temporarily Suspend the Requirements of NYSE Arca Rule 2.4 and Related NYSE Arca Rules Concerning Options Trading Permit Holder Applications and Approvals In Order To Immediately Approve Barclays Capital Inc. as an NYSE Arca OTP Holder2008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22504Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22504.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22503.htmlNotice - Order Granting Temporary, Conditional Relief From the Net Capital Rule for Barclays Capital, Inc.2008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22503Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22503.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22502.htmlNotice - Securities Exchange Act of 1934 Amendment to Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments2008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22502Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22502.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22489.htmlNotice - Consolidated Tape Association; Order Approving the Twelfth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Eighth Substantive Amendment to the Restated Consolidated Quotation Plan2008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22489Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22489.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22488.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Cash Dividend Threshold2008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22488Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22488.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/25/E8-22463.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Consolidating Into a Single Rule Certain Requirements for Securities Traded on the Exchange Pursuant to Unlisted Trading Privileges2008-09-25T00:00:00-07:002008-09-25T00:00:00-07:00E8-22463Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-25/pdf/E8-22463.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/24/E8-22487.htmlNotice - Securities Exchange Act of 1934; Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments2008-09-24T00:00:00-07:002008-09-24T00:00:00-07:00E8-22487Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-24/pdf/E8-22487.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/24/E8-22462.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Revise Its Initial Listing Process To Eliminate the Current Appeal Process for Initial Listing Decisions, Add a New Confidential Pre-application Eligibility Review Process, and Upgrade Its Listing Requirements by Eliminating the Alternative Listing Standards2008-09-24T00:00:00-07:002008-09-24T00:00:00-07:00E8-22462Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-24/pdf/E8-22462.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/24/E8-22391.htmlRule - Adoption of Updated EDGAR Filer Manual2008-09-24T00:00:00-07:002008-09-24T00:00:00-07:00E8-22391Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-24/pdf/E8-22391.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/24/E8-22379.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Related to Submission of Non-Tape Reports2008-09-24T00:00:00-07:002008-09-24T00:00:00-07:00E8-22379Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-24/pdf/E8-22379.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/24/E8-22378.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Quotation Size Decrementation2008-09-24T00:00:00-07:002008-09-24T00:00:00-07:00E8-22378Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-24/pdf/E8-22378.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/24/E8-22370.htmlNotice - Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments2008-09-24T00:00:00-07:002008-09-24T00:00:00-07:00E8-22370Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-24/pdf/E8-22370.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/24/E8-22369.htmlNotice - Emergency Order Pursuant to Section 12(K)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments2008-09-24T00:00:00-07:002008-09-24T00:00:00-07:00E8-22369Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-24/pdf/E8-22369.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/24/E8-22308.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed Rule Change To List and Trade the WisdomTree Dreyfus Emerging Markets Fund2008-09-24T00:00:00-07:002008-09-24T00:00:00-07:00E8-22308Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-24/pdf/E8-22308.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/24/E8-22249.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ OMX PHLX, Inc. To Enable the Listing and Trading of Options on Index-Linked Securities2008-09-24T00:00:00-07:002008-09-24T00:00:00-07:00E8-22249Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-24/pdf/E8-22249.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/24/E8-22246.htmlNotice - Sunshine Act Meeting2008-09-24T00:00:00-07:002008-09-24T00:00:00-07:00E8-22246Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-24/pdf/E8-22246.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/24/E8-22212.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BATS Exchange, Inc.2008-09-24T00:00:00-07:002008-09-24T00:00:00-07:00E8-22212Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-24/pdf/E8-22212.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/23/E8-22380.htmlNotice - In the Matter of Ragen Corp. Rainwire Partners, Inc., Rako Capital Corp., Ramtek Corp. (n/k/a Ramtek I Corp.), Ranger Industries, Inc., RCS Holdings, Inc., and Recycling Industries, Inc., Respondents.; Order of Suspension of Trading2008-09-23T00:00:00-07:002008-09-23T00:00:00-07:00E8-22380Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-23/pdf/E8-22380.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/23/E8-22373.htmlNotice - In the Matter of Quality Resorts of America, Inc., Quentra Networks, Inc., and Quokka Sports, Inc.; Order of Suspension of Trading2008-09-23T00:00:00-07:002008-09-23T00:00:00-07:00E8-22373Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-23/pdf/E8-22373.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/23/E8-22195.htmlNotice - Sunshine Act Meeting2008-09-23T00:00:00-07:002008-09-23T00:00:00-07:00E8-22195Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-23/pdf/E8-22195.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/23/E8-22166.htmlNotice - Emergency Order Pursuant to Section 12(K)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments2008-09-23T00:00:00-07:002008-09-23T00:00:00-07:00E8-22166Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-23/pdf/E8-22166.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/23/E8-22115.htmlNotice - Proposed Collection; Comment Request2008-09-23T00:00:00-07:002008-09-23T00:00:00-07:00E8-22115Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-23/pdf/E8-22115.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/22/E8-22133.htmlNotice - Sunshine Act Meeting2008-09-22T00:00:00-07:002008-09-22T00:00:00-07:00E8-22133Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-22/pdf/E8-22133.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/22/E8-22081.htmlNotice - Sunshine Act Meeting2008-09-22T00:00:00-07:002008-09-22T00:00:00-07:00E8-22081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-22/pdf/E8-22081.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/22/E8-22015.htmlNotice - Public Company Accounting Oversight Board; Order Approving Proposed Rule on Auditing Standard No. 6, Evaluating Consistency of Financial Statements, and Conforming Amendments2008-09-22T00:00:00-07:002008-09-22T00:00:00-07:00E8-22015Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-22/pdf/E8-22015.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/22/E8-22014.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Amend By-Laws2008-09-22T00:00:00-07:002008-09-22T00:00:00-07:00E8-22014Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-22/pdf/E8-22014.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/22/E8-22013.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, Boston Stock Exchange, Inc., CBOE Stock Exchange, LLC, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE Arca Inc., NYSE Regulation, Inc., and Philadelphia Stock Exchange, Inc.2008-09-22T00:00:00-07:002008-09-22T00:00:00-07:00E8-22013Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-22/pdf/E8-22013.pdfhttps://regulations.justia.com/regulations/fedreg/2008/09/22/E8-22012.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Incorporated NYSE Rules2008-09-22T00:00:00-07:002008-09-22T00:00:00-07:00E8-22012Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-09-22/pdf/E8-22012.pdf