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/2008/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-20T12:05:30-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2008/11/28/E8-28274.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402008-11-28T00:00:00-08:002008-11-28T00:00:00-08:00E8-28274Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-28/pdf/E8-28274.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/28/E8-28243.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. To Amend Certain BOX Rules Related to the PIP To Eliminate the Requirement That There Be at Least Three Market Makers Quoting in a Relevant Options Class in Order for a PIP To Commence2008-11-28T00:00:00-08:002008-11-28T00:00:00-08:00E8-28243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-28/pdf/E8-28243.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/28/E8-28242.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, To Establish a Transparency System for Municipal Auction Rate Securities and Municipal Variable Rate Demand Obligations2008-11-28T00:00:00-08:002008-11-28T00:00:00-08:00E8-28242Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-28/pdf/E8-28242.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/28/E8-28241.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Listing of PowerShares DB Funds2008-11-28T00:00:00-08:002008-11-28T00:00:00-08:00E8-28241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-28/pdf/E8-28241.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/28/E8-28240.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Delisting Standards2008-11-28T00:00:00-08:002008-11-28T00:00:00-08:00E8-28240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-28/pdf/E8-28240.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/28/E8-28222.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees of Other Market Centers Related to Clearly Erroneous Rulings2008-11-28T00:00:00-08:002008-11-28T00:00:00-08:00E8-28222Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-28/pdf/E8-28222.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/28/E8-28221.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enable the Listing and Trading of Options on Index-Linked Securities2008-11-28T00:00:00-08:002008-11-28T00:00:00-08:00E8-28221Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-28/pdf/E8-28221.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/28/E8-28220.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 5.2(j)(6) To Increase the Permissible Aggregate Weight of Underlying Foreign Country Securities2008-11-28T00:00:00-08:002008-11-28T00:00:00-08:00E8-28220Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-28/pdf/E8-28220.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/28/E8-28219.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Its Obvious Errors Rule and the Adoption of a Catastrophic Error Provision2008-11-28T00:00:00-08:002008-11-28T00:00:00-08:00E8-28219Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-28/pdf/E8-28219.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/26/E8-28253.htmlNotice - American Custom Components, Inc., Creditgroup Com, Inc. (n/k/a Tradex Global Financial Services, Inc.), Frederick Brewing Co., and Infinicall Corp., Respondents; Order of Suspension of Trading2008-11-26T00:00:00-08:002008-11-26T00:00:00-08:00E8-28253Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-26/pdf/E8-28253.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/26/E8-28239.htmlNotice - Sunshine Act Meeting2008-11-26T00:00:00-08:002008-11-26T00:00:00-08:00E8-28239Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-26/pdf/E8-28239.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/26/E8-28140.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Exchange Rule 9.11 Relating to Confirmations to Customers2008-11-26T00:00:00-08:002008-11-26T00:00:00-08:00E8-28140Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-26/pdf/E8-28140.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/26/E8-28127.htmlNotice - Sunshine Act Meeting2008-11-26T00:00:00-08:002008-11-26T00:00:00-08:00E8-28127Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-26/pdf/E8-28127.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/26/E8-28111.htmlNotice - Submission for OMB Review; Comment Request2008-11-26T00:00:00-08:002008-11-26T00:00:00-08:00E8-28111Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-26/pdf/E8-28111.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/26/E8-28095.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation and National Securities Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes Relating to Amendment No. 2 to the Third Amended and Restated Options Exercise Settlement Agreement2008-11-26T00:00:00-08:002008-11-26T00:00:00-08:00E8-28095Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-26/pdf/E8-28095.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/26/E8-28091.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by The NASDAQ Stock Market LLC Regarding a Clerical Change to Nasdaq Rules2008-11-26T00:00:00-08:002008-11-26T00:00:00-08:00E8-28091Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-26/pdf/E8-28091.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/26/E8-28090.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Options Price Reporting Authority's Policies With Respect to Device-Based Fees2008-11-26T00:00:00-08:002008-11-26T00:00:00-08:00E8-28090Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-26/pdf/E8-28090.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/26/E8-28050.htmlRule - Temporary Exemption for Liquidation of Certain Money Market Funds2008-11-26T00:00:00-08:002008-11-26T00:00:00-08:00E8-28050Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-26/pdf/E8-28050.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/26/E8-28045.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 an Expansion of the SPX Trading Crowd2008-11-26T00:00:00-08:002008-11-26T00:00:00-08:00E8-28045Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-26/pdf/E8-28045.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/26/E8-28044.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to Eligible Margin Assets2008-11-26T00:00:00-08:002008-11-26T00:00:00-08:00E8-28044Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-26/pdf/E8-28044.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/26/E8-28042.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 411(b) Concerning Certain Odd-Lot Order Handling Requirements, Rescinding NYSE Information Memorandum 94-14 and Issuing a New Information Memo That Provides Comprehensive and Updated Interpretive Guidance on, and Application of, Current NYSE Odd-Lot Trading Practices and Rules2008-11-26T00:00:00-08:002008-11-26T00:00:00-08:00E8-28042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-26/pdf/E8-28042.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/25/E8-28046.htmlNotice - Sunshine Act Meeting2008-11-25T00:00:00-08:002008-11-25T00:00:00-08:00E8-28046Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-25/pdf/E8-28046.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/25/E8-27989.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Transactions in Stocks With a Price of Less than $1.00 per Share2008-11-25T00:00:00-08:002008-11-25T00:00:00-08:00E8-27989Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-25/pdf/E8-27989.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/25/E8-27988.htmlNotice - Proposed Collection; Comment Request2008-11-25T00:00:00-08:002008-11-25T00:00:00-08:00E8-27988Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-25/pdf/E8-27988.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/25/E8-27987.htmlNotice - Proposed Collection; Comment Request2008-11-25T00:00:00-08:002008-11-25T00:00:00-08:00E8-27987Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-25/pdf/E8-27987.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/25/E8-27986.htmlNotice - Proposed Collection; Comment Request2008-11-25T00:00:00-08:002008-11-25T00:00:00-08:00E8-27986Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-25/pdf/E8-27986.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/25/E8-27897.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Reducing the Exposure Time for Option Limit Orders to One Second2008-11-25T00:00:00-08:002008-11-25T00:00:00-08:00E8-27897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-25/pdf/E8-27897.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/24/E8-27939.htmlNotice - Order of Suspension of Trading; 2TheMart.com, Inc., and The 3DO Co., Respondents2008-11-24T00:00:00-08:002008-11-24T00:00:00-08:00E8-27939Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-24/pdf/E8-27939.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/24/E8-27886.htmlNotice - Proposed Extension of Existing Collection; Comment Request2008-11-24T00:00:00-08:002008-11-24T00:00:00-08:00E8-27886Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-24/pdf/E8-27886.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/24/E8-27884.htmlNotice - Submission for OMB Review; Comment Request2008-11-24T00:00:00-08:002008-11-24T00:00:00-08:00E8-27884Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-24/pdf/E8-27884.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/24/E8-27883.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed Rule Change 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 Asset2008-11-24T00:00:00-08:002008-11-24T00:00:00-08:00E8-27883Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-24/pdf/E8-27883.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/24/E8-27882.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services That Apply to Mid-Point Passive Liquidity Orders2008-11-24T00:00:00-08:002008-11-24T00:00:00-08:00E8-27882Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-24/pdf/E8-27882.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/24/E8-27881.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Assessments2008-11-24T00:00:00-08:002008-11-24T00:00:00-08:00E8-27881Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-24/pdf/E8-27881.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/24/E8-27880.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Units of the United States Oil Fund, United States Heating Oil Fund, United States Gasoline Fund, United States 12 Month Oil Fund, United States 12 Month Natural Gas Fund, and the United States Natural Gas Fund2008-11-24T00:00:00-08:002008-11-24T00:00:00-08:00E8-27880Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-24/pdf/E8-27880.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/24/E8-27879.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To List Shares of iShares Silver Trust2008-11-24T00:00:00-08:002008-11-24T00:00:00-08:00E8-27879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-24/pdf/E8-27879.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/24/E8-27878.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to Listing Certain Derivative Products Pursuant to Continued Listing Criteria2008-11-24T00:00:00-08:002008-11-24T00:00:00-08:00E8-27878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-24/pdf/E8-27878.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/24/E8-27877.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services2008-11-24T00:00:00-08:002008-11-24T00:00:00-08:00E8-27877Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-24/pdf/E8-27877.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/24/E8-27833.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Exchange Rule 104T To Make Certain Technical Amendments to the Rule To Conform it to the Exchange's Recently Instituted New Market Model Pilot2008-11-24T00:00:00-08:002008-11-24T00:00:00-08:00E8-27833Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-24/pdf/E8-27833.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/24/E8-27795.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange, LLC Relating to the Limited Liability Company Agreement of New York Block Exchange, a Facility of NYSE2008-11-24T00:00:00-08:002008-11-24T00:00:00-08:00E8-27795Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-24/pdf/E8-27795.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/24/E8-27794.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC To Establish the New York Block Exchange2008-11-24T00:00:00-08:002008-11-24T00:00:00-08:00E8-27794Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-24/pdf/E8-27794.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/21/E8-27832.htmlNotice - Sunshine Act Meeting2008-11-21T00:00:00-08:002008-11-21T00:00:00-08:00E8-27832Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-21/pdf/E8-27832.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/21/E8-27757.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NYSE Arca Equities Rule Governing the Anti-Money Laundering Compliance Program2008-11-21T00:00:00-08:002008-11-21T00:00:00-08:00E8-27757Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-21/pdf/E8-27757.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/21/E8-27756.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NYSE Arca Options Rule Governing the Anti-Money Laundering Compliance Program2008-11-21T00:00:00-08:002008-11-21T00:00:00-08:00E8-27756Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-21/pdf/E8-27756.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/21/E8-27755.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Consolidate into a Single Rule Certain Requirements for Products Traded on the CBOE Stock Exchange Pursuant to Unlisted Trading Privileges2008-11-21T00:00:00-08:002008-11-21T00:00:00-08:00E8-27755Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-21/pdf/E8-27755.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/21/E8-27674.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change to Expand DTC's Debit Cap Look-Ahead Processing2008-11-21T00:00:00-08:002008-11-21T00:00:00-08:00E8-27674Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-21/pdf/E8-27674.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/21/E8-27559.htmlProposed Rule - Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers2008-11-21T00:00:00-08:002008-11-21T00:00:00-08:00E8-27559Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-21/pdf/E8-27559.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/20/E8-27600.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program That Allows for No Minimum Size Order Requirement for the Price Improvement Period Process on the Boston Options Exchange Facility2008-11-20T00:00:00-08:002008-11-20T00:00:00-08:00E8-27600Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-20/pdf/E8-27600.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/20/E8-27599.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enable the Listing and Trading of Options on Index-linked Securities2008-11-20T00:00:00-08:002008-11-20T00:00:00-08:00E8-27599Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-20/pdf/E8-27599.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/20/E8-27597.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Trading Licenses for Foreign Currency Options2008-11-20T00:00:00-08:002008-11-20T00:00:00-08:00E8-27597Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-20/pdf/E8-27597.pdfhttps://regulations.justia.com/regulations/fedreg/2008/11/20/E8-27581.htmlNotice - Proposed Collection; Comment Request2008-11-20T00:00:00-08:002008-11-20T00:00:00-08:00E8-27581Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-11-20/pdf/E8-27581.pdf