Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2008/10?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-23T00:35:23-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2008/10/31/Z8-25388.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, Entitled “Order Execution” 2008-10-31T00:00:00-07:00 2008-10-31T00:00:00-07:00 Z8-25388 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-31/pdf/Z8-25388.pdf https://regulations.justia.com/regulations/fedreg/2008/10/31/E8-25976.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure To Require Arbitrators To Provide an Explained Decision Upon the Joint Request of the Parties 2008-10-31T00:00:00-07:00 2008-10-31T00:00:00-07:00 E8-25976 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-31/pdf/E8-25976.pdf https://regulations.justia.com/regulations/fedreg/2008/10/31/E8-25865.html Notice - Proposed Collection; Comment Request 2008-10-31T00:00:00-07:00 2008-10-31T00:00:00-07:00 E8-25865 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-31/pdf/E8-25865.pdf https://regulations.justia.com/regulations/fedreg/2008/10/31/E8-25864.html Notice - Proposed Collection; Comment Request 2008-10-31T00:00:00-07:00 2008-10-31T00:00:00-07:00 E8-25864 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-31/pdf/E8-25864.pdf https://regulations.justia.com/regulations/fedreg/2008/10/31/E8-25862.html Notice - Reserve Municipal Money-Market Trust, et al.; Notice of Application and Temporary Order 2008-10-31T00:00:00-07:00 2008-10-31T00:00:00-07:00 E8-25862 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-31/pdf/E8-25862.pdf https://regulations.justia.com/regulations/fedreg/2008/10/31/E8-25861.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Rule 17 To Rescind the Provisions of Paragraph (b) Governing Vendor Liability 2008-10-31T00:00:00-07:00 2008-10-31T00:00:00-07:00 E8-25861 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-31/pdf/E8-25861.pdf https://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25924.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing of the NETS S&P/MIB Index Fund (Italy) 2008-10-30T00:00:00-07:00 2008-10-30T00:00:00-07:00 E8-25924 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25924.pdf https://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25923.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing To Amend NYSE Arca Equities Rule 5.2(j)(6)(v) in Order To Add the CBOE Volatility Index® (VIX®) Futures (“VIX Futures”) to the Definition of Futures Reference Asset 2008-10-30T00:00:00-07:00 2008-10-30T00:00:00-07:00 E8-25923 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25923.pdf https://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25914.html Notice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Relocation of the Trading of Certain Debt Securities Conducted on or Through the Exchange's Legacy Trading Systems and Facilities to an Automated Bond Trading Platform Based on NYSE BondsSM 2008-10-30T00:00:00-07:00 2008-10-30T00:00:00-07:00 E8-25914 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25914.pdf https://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25913.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Subscribership to NYSE Bonds and Provide That All NYSE Members and Member Organizations Are Eligible To Access NYSE Bonds 2008-10-30T00:00:00-07:00 2008-10-30T00:00:00-07:00 E8-25913 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25913.pdf https://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25867.html Notice - Proposed Collection; Comment Request 2008-10-30T00:00:00-07:00 2008-10-30T00:00:00-07:00 E8-25867 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25867.pdf https://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25866.html Notice - Proposed Collection; Comment Request 2008-10-30T00:00:00-07:00 2008-10-30T00:00:00-07:00 E8-25866 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25866.pdf https://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25863.html Notice - Proposed Collection; Comment Request 2008-10-30T00:00:00-07:00 2008-10-30T00:00:00-07:00 E8-25863 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25863.pdf https://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25881.html Notice - Hat Trick Beverage, Inc.; Order of Suspension of Trading 2008-10-29T00:00:00-07:00 2008-10-29T00:00:00-07:00 E8-25881 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25881.pdf https://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25810.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Rules Governing Options Trading 2008-10-29T00:00:00-07:00 2008-10-29T00:00:00-07:00 E8-25810 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25810.pdf https://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25809.html Notice - Self-Regulatory Organizations; The New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Temporarily Suspend the Operation of NYSE Rule 123D(3) to Respond to Market Conditions for Thornburg Mortgage, Inc. (TMA) on September 29, 2008 2008-10-29T00:00:00-07:00 2008-10-29T00:00:00-07:00 E8-25809 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25809.pdf https://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25808.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend Section 4(c) of Schedule A of the FINRA By-Laws To Increase Certain Qualification Examination Fees 2008-10-29T00:00:00-07:00 2008-10-29T00:00:00-07:00 E8-25808 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25808.pdf https://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25807.html Notice - The Reserve Fund; Notice of Application 2008-10-29T00:00:00-07:00 2008-10-29T00:00:00-07:00 E8-25807 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25807.pdf https://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25806.html Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Fourteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Tenth Substantive Amendment to the Restated Consolidated Quotation Plan 2008-10-29T00:00:00-07:00 2008-10-29T00:00:00-07:00 E8-25806 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25806.pdf https://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25797.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Create a New NYSE Market Model, With Certain Components To Operate as a One-Year Pilot, That Would Alter NYSE's Priority and Parity Rules, Phase Out Specialists by Creating a Designated Market Maker, and Provide Market Participants With Additional Abilities To Post Hidden Liquidity 2008-10-29T00:00:00-07:00 2008-10-29T00:00:00-07:00 E8-25797 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25797.pdf https://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25715.html Notice - Sunshine Act Meeting 2008-10-29T00:00:00-07:00 2008-10-29T00:00:00-07:00 E8-25715 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25715.pdf https://regulations.justia.com/regulations/fedreg/2008/10/28/E8-25651.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Nasdaq Options Maintenance Tool and Related Fees 2008-10-28T00:00:00-07:00 2008-10-28T00:00:00-07:00 E8-25651 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-28/pdf/E8-25651.pdf https://regulations.justia.com/regulations/fedreg/2008/10/28/E8-25627.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change Related to Trades in Restricted Classes; Correction 2008-10-28T00:00:00-07:00 2008-10-28T00:00:00-07:00 E8-25627 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-28/pdf/E8-25627.pdf https://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25538.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Immediately Add Two New VIX Option Series Within Five Days of Expiration 2008-10-27T00:00:00-07:00 2008-10-27T00:00:00-07:00 E8-25538 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25538.pdf https://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25537.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rules Relating to the Minimum Size Requirement for Quotations 2008-10-27T00:00:00-07:00 2008-10-27T00:00:00-07:00 E8-25537 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25537.pdf https://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25536.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Change in the Percentage Ownership Interest in the Boston Options Exchange Group, LLC 2008-10-27T00:00:00-07:00 2008-10-27T00:00:00-07:00 E8-25536 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25536.pdf https://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25528.html Notice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC To Amend NYSE Alternext Equities Rule 123D(4) To Expand That Rule's Trading Halt Condition To Cover All Structured Products 2008-10-27T00:00:00-07:00 2008-10-27T00:00:00-07:00 E8-25528 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25528.pdf https://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25505.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending NYSE Arca Equities Rule 5.2(j)(3) in Connection With Generic Listing Standards for Multiple Fund Shares and Inverse Fund Shares 2008-10-27T00:00:00-07:00 2008-10-27T00:00:00-07:00 E8-25505 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25505.pdf https://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25504.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Amendments to Rule 9.21 (Communications to Customers) 2008-10-27T00:00:00-07:00 2008-10-27T00:00:00-07:00 E8-25504 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25504.pdf https://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25503.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BATS Exchange, Inc. 2008-10-27T00:00:00-07:00 2008-10-27T00:00:00-07:00 E8-25503 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25503.pdf https://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25502.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Registered Representative Fee and an Options Regulatory Fee 2008-10-27T00:00:00-07:00 2008-10-27T00:00:00-07:00 E8-25502 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25502.pdf https://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25428.html Notice - Sunshine Act Meeting 2008-10-27T00:00:00-07:00 2008-10-27T00:00:00-07:00 E8-25428 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25428.pdf https://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25402.html Notice - Boulder Total Return Fund, Inc., et al.; Notice of Application 2008-10-24T00:00:00-07:00 2008-10-24T00:00:00-07:00 E8-25402 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25402.pdf https://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25388.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, Entitled “Order Execution” 2008-10-24T00:00:00-07:00 2008-10-24T00:00:00-07:00 E8-25388 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25388.pdf https://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25387.html Notice - Roundtable on Mark-to-Market Accounting 2008-10-24T00:00:00-07:00 2008-10-24T00:00:00-07:00 E8-25387 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25387.pdf https://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25379.html Notice - Submission for OMB Review; Comment Request 2008-10-24T00:00:00-07:00 2008-10-24T00:00:00-07:00 E8-25379 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25379.pdf https://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25375.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Fee Schedule To Increase the Liquidity Taking Fee for Automatic Execution Mode Transactions 2008-10-24T00:00:00-07:00 2008-10-24T00:00:00-07:00 E8-25375 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25375.pdf https://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25374.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate FINRA/NSX Trade Reporting Facility Securities Transaction Credit Program 2008-10-24T00:00:00-07:00 2008-10-24T00:00:00-07:00 E8-25374 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25374.pdf https://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25373.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Adopt Rules To Permit the Trading of Rate-Modified Foreign Currency Options 2008-10-24T00:00:00-07:00 2008-10-24T00:00:00-07:00 E8-25373 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25373.pdf https://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25372.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Revising NYSE Arca Rule 5.3 To Enable the Listing and Trading of Options on Managed Fund Shares 2008-10-24T00:00:00-07:00 2008-10-24T00:00:00-07:00 E8-25372 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25372.pdf https://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25371.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Related to Amendments to Rule 925 (Confirmations) and Rule 921 (Opening of Accounts) 2008-10-24T00:00:00-07:00 2008-10-24T00:00:00-07:00 E8-25371 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25371.pdf https://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25361.html Notice - The Zweig Total Return Fund, Inc., et al.; Notice of Application 2008-10-24T00:00:00-07:00 2008-10-24T00:00:00-07:00 E8-25361 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25361.pdf https://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25319.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Amending NYSE Rule 18 To Allow NYSE Alternext US LLC To Participate in the Compensation Fund Established by NYSE To Reimburse Claimants for Losses Associated With NYSE-Operated System Failures 2008-10-23T00:00:00-07:00 2008-10-23T00:00:00-07:00 E8-25319 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25319.pdf https://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25245.html Notice - Proposed Collection; Comment Request 2008-10-23T00:00:00-07:00 2008-10-23T00:00:00-07:00 E8-25245 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25245.pdf https://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25244.html Notice - Proposed Collection; Comment Request 2008-10-23T00:00:00-07:00 2008-10-23T00:00:00-07:00 E8-25244 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25244.pdf https://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25243.html Notice - WLD Enterprises, Inc.; Notice of Application 2008-10-23T00:00:00-07:00 2008-10-23T00:00:00-07:00 E8-25243 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25243.pdf https://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25242.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Suspend, Through January 16, 2009, the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares 2008-10-23T00:00:00-07:00 2008-10-23T00:00:00-07:00 E8-25242 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25242.pdf https://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25241.html Notice - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for BATS Exchange, Inc. 2008-10-23T00:00:00-07:00 2008-10-23T00:00:00-07:00 E8-25241 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25241.pdf https://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25240.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, BATS Exchange, Inc., Boston Stock Exchange, Inc., Chicago Board Options Exchange, Inc., 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. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules 2008-10-23T00:00:00-07:00 2008-10-23T00:00:00-07:00 E8-25240 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25240.pdf https://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25239.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Minor Rule Plan 2008-10-23T00:00:00-07:00 2008-10-23T00:00:00-07:00 E8-25239 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25239.pdf