Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

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/2009/01?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-03T15:38:44-07:00 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/2009/01/30/E9-2159.html Notice - In the Matter of Future Canada China Environment Inc.; Order of Suspension of Trading 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-2159 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2159.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2061.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-2061 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2061.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2021.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 1506 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-2021 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2021.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2020.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 2.5, Entitled “Restrictions,” and BATS Rule 11.4, Entitled “Authorized Traders.” 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-2020 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2020.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2019.html Notice - Proposed Collection; Comment Request 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-2019 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2019.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2016.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Temporarily Lower Its Average Global Market Capitalization Continued Listing Standard 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-2016 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2016.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1983.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Provide The Options Clearing Corporation With Settlement Services for Stock Loan Transactions Entered Into Under the Market Loan Program 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-1983 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1983.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1981.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce a Pilot Program for NYSE Trades 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-1981 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1981.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1980.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a Pilot Program for NYSE Arca Trades 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-1980 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1980.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1979.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Professional Account Holders 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-1979 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1979.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1978.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Margin Requirements for Foreign Currency Options 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-1978 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1978.pdf https://regulations.justia.com/regulations/fedreg/2009/01/29/Z9-9.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Period for the NYSE Realtime Reference Prices Pilot Program 2009-01-29T00:00:00-08:00 2009-01-29T00:00:00-08:00 Z9-9 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/Z9-9.pdf https://regulations.justia.com/regulations/fedreg/2009/01/29/Z9-349.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Existing Operational Arrangements 2009-01-29T00:00:00-08:00 2009-01-29T00:00:00-08:00 Z9-349 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/Z9-349.pdf https://regulations.justia.com/regulations/fedreg/2009/01/29/Z8-31351.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Fee Changes 2009-01-29T00:00:00-08:00 2009-01-29T00:00:00-08:00 Z8-31351 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/Z8-31351.pdf https://regulations.justia.com/regulations/fedreg/2009/01/29/E9-1943.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Compliance Period Applicable to Companies That Fail To Meet the Market Value of Listed Securities Requirement 2009-01-29T00:00:00-08:00 2009-01-29T00:00:00-08:00 E9-1943 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/E9-1943.pdf https://regulations.justia.com/regulations/fedreg/2009/01/29/E9-1883.html Notice - Sunshine Act Meeting. 2009-01-29T00:00:00-08:00 2009-01-29T00:00:00-08:00 E9-1883 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/E9-1883.pdf https://regulations.justia.com/regulations/fedreg/2009/01/29/E9-1871.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Modified Sponsored Access Rule 2009-01-29T00:00:00-08:00 2009-01-29T00:00:00-08:00 E9-1871 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/E9-1871.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1873.html Notice - Proposed Collection; Comment Request 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1873 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1873.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1872.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.8, Entitled “Obligations of Market Makers.” 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1872 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1872.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1808.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program for Directed Orders 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1808 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1808.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1807.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1807 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1807.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1806.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Relating to the Limited Liability Company Agreement of New York Block Exchange, a Facility of NYSE 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1806 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1806.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1805.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Trading Rules for the New York Block Exchange 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1805 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1805.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1717.html Notice - Submission for OMB Review; Comment Request 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1717 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1717.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1716.html Notice - Submission for OMB Review; Comment Request 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1716 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1716.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1715.html Notice - Submission for OMB Review; Comment Request 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1715 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1715.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1714.html Notice - Submission for OMB Review; Comment Request 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1714 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1714.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1676.html Notice - Proposed Collection; Comment Request 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1676 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1676.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1675.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Technical Changes to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1675 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1675.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1674.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Create the Nasdaq Market Pathfinders Service and Establish Fees for the Service 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1674 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1674.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1673.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving Proposed Rule Change Relating to Delisting Standards 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1673 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1673.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1672.html Notice - Self-Regulatory Organizations; Notice of Filing of and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Amend or Eliminate Unnecessary Rule Text 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1672 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1672.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1671.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deferring Operation of Its Listing Standards for Primary Listings and Consolidating Into a Single Rule Certain Requirements for Products Traded on the Exchange Pursuant to Unlisted Trading Privileges 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1671 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1671.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1670.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.9, entitled “Orders and Modifiers” 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1670 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1670.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1656.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Adoption of FINRA Rule 2140 (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) in the Consolidated FINRA Rulebook 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1656 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1656.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1691.html Notice - In the Matter of: BBJ Environmental Technologies, Inc.; Order of Suspension of Trading 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1691 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1691.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1571.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Enhancement to Its Insurance and Retirement Services To Allow for the Electronic Exchange of Attachments to Messages 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1571 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1571.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1466.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto Relating to Private Placements of Securities Issued by Members 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1466 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1466.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1465.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7050 Governing Pricing for Nasdaq Members Using the NASDAQ Options Market (“NOM”) 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1465 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1465.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1464.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Post-Only Order 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1464 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1464.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1463.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until March 9, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions If They Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including Those Executions That Occur in the Event of a System Disruption or System Malfunction 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1463 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1463.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1462.html Notice - Submission for OMB Review; Comment Request 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1462 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1462.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1461.html Notice - Submission for OMB Review; Comment Request 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1461 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1461.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1460.html Notice - Submission for OMB Review; Comment Request 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1460 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1460.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1459.html Notice - Submission for OMB Review; Comment Request 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1459 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1459.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1458.html Notice - Submission for OMB Review; Comment Request 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1458 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1458.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1173.html Proposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00

E9-1173 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1173.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1035.html Rule - Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00

E9-1035 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1035.pdf https://regulations.justia.com/regulations/fedreg/2009/01/23/E9-1300.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Adding Liquidity Only Order 2009-01-23T00:00:00-08:00 2009-01-23T00:00:00-08:00 E9-1300 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-23/pdf/E9-1300.pdf https://regulations.justia.com/regulations/fedreg/2009/01/23/E9-1299.html Notice - Calamos Convertible Opportunities and Income Fund, et al.; Notice of Application 2009-01-23T00:00:00-08:00 2009-01-23T00:00:00-08:00 E9-1299 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-23/pdf/E9-1299.pdf https://regulations.justia.com/regulations/fedreg/2009/01/23/E9-1298.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 5280 (Trading Ahead of Research Reports) in the Consolidated FINRA Rulebook 2009-01-23T00:00:00-08:00 2009-01-23T00:00:00-08:00 E9-1298 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-23/pdf/E9-1298.pdf https://regulations.justia.com/regulations/fedreg/2009/01/23/E9-1297.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Phlx Fee Schedule 2009-01-23T00:00:00-08:00 2009-01-23T00:00:00-08:00 E9-1297 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-23/pdf/E9-1297.pdf https://regulations.justia.com/regulations/fedreg/2009/01/22/Z8-30319.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules 2009-01-22T00:00:00-08:00 2009-01-22T00:00:00-08:00 Z8-30319 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-22/pdf/Z8-30319.pdf https://regulations.justia.com/regulations/fedreg/2009/01/22/E9-1241.html Notice - Sunshine Act Meeting 2009-01-22T00:00:00-08:00 2009-01-22T00:00:00-08:00 E9-1241 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-22/pdf/E9-1241.pdf https://regulations.justia.com/regulations/fedreg/2009/01/22/E9-1232.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Phlx Fee Schedule 2009-01-22T00:00:00-08:00 2009-01-22T00:00:00-08:00 E9-1232 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-22/pdf/E9-1232.pdf https://regulations.justia.com/regulations/fedreg/2009/01/22/E9-1231.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto To Establish a Pilot Program for NASDAQ Basic Data Feeds 2009-01-22T00:00:00-08:00 2009-01-22T00:00:00-08:00 E9-1231 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-22/pdf/E9-1231.pdf https://regulations.justia.com/regulations/fedreg/2009/01/22/E9-1230.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Relating to Alternative Primary Market Makers 2009-01-22T00:00:00-08:00 2009-01-22T00:00:00-08:00 E9-1230 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-22/pdf/E9-1230.pdf https://regulations.justia.com/regulations/fedreg/2009/01/22/E9-1123.html Rule - Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps 2009-01-22T00:00:00-08:00 2009-01-22T00:00:00-08:00

E9-1123 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-01-22/pdf/E9-1123.pdf https://regulations.justia.com/regulations/fedreg/2009/01/22/E9-1083.html Notice - Allstate Financial Investment Trust, et al.; Notice of Application 2009-01-22T00:00:00-08:00 2009-01-22T00:00:00-08:00 E9-1083 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-22/pdf/E9-1083.pdf https://regulations.justia.com/regulations/fedreg/2009/01/21/E9-1022.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Reorganize Membership Rules and Procedures 2009-01-21T00:00:00-08:00 2009-01-21T00:00:00-08:00 E9-1022 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-21/pdf/E9-1022.pdf https://regulations.justia.com/regulations/fedreg/2009/01/21/E9-1021.html Notice - Consolidated Tape Association; Notice of Filing of the Thirteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Ninth Substantive Amendment to the Restated Consolidated Quotation Plan 2009-01-21T00:00:00-08:00 2009-01-21T00:00:00-08:00 E9-1021 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-21/pdf/E9-1021.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-932.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 103B (“Security Allocation and Reallocation”) to: (1) Prohibit DMM Units From Communicating With Issuers After Receipt of Notice From the Exchange of the Issuer's Impending Listing; (2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather Than the Day Before; and (3) Allow an Issuer Transferring From NYSE Alternext U.S. LLC to the NYSE To Retain its DMM Unit if Such DMM Unit Is an Approved and Registered DMM on the NYSE 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-932 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-932.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-931.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-931 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-931.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-930.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending NYSE Alternext Equities Rule 103B To Conform to Amendments Filed by the New York Stock Exchange To: (1) Prohibit DMM Units From Communicating With Issuers After Receipt of Notice From the Exchange of the Issuer's Impending Listing; and (2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather Than the Day Before 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-930 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-930.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-929.html Notice - Proposed Collection; Comment Request 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-929 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-929.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-882.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 1 to the National Market System Plan for the Selection and Reservation of Securities Symbols To Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Alternext Exchange US LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc. 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-882 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-882.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-881.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC To Memorialize an Interpretation of the Listed Company Manual Concerning Shareholder Approval Requirements and To Describe a Certain Application of its Audit Committee Rule 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-881 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-881.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-880.html Notice - Proposed Collection; Comment Request 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-880 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-880.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-597.html Rule - Indexed Annuities And Certain Other Insurance Contracts 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00

E9-597 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-597.pdf https://regulations.justia.com/regulations/fedreg/2009/01/15/E9-904.html Notice - The JPM Company, and Tidalwave Holdings, Inc.; Order of Suspension of Trading 2009-01-15T00:00:00-08:00 2009-01-15T00:00:00-08:00 E9-904 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-15/pdf/E9-904.pdf https://regulations.justia.com/regulations/fedreg/2009/01/15/E9-867.html Notice - Sunshine Act Meeting 2009-01-15T00:00:00-08:00 2009-01-15T00:00:00-08:00 E9-867 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-15/pdf/E9-867.pdf https://regulations.justia.com/regulations/fedreg/2009/01/15/E9-778.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market Through April 19, 2009 2009-01-15T00:00:00-08:00 2009-01-15T00:00:00-08:00 E9-778 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-15/pdf/E9-778.pdf https://regulations.justia.com/regulations/fedreg/2009/01/15/E9-777.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status and Interim Trading Permit Access Fees 2009-01-15T00:00:00-08:00 2009-01-15T00:00:00-08:00 E9-777 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-15/pdf/E9-777.pdf https://regulations.justia.com/regulations/fedreg/2009/01/14/E9-613.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 the Boston Stock Exchange, Incorporated 2009-01-14T00:00:00-08:00 2009-01-14T00:00:00-08:00 E9-613 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-14/pdf/E9-613.pdf https://regulations.justia.com/regulations/fedreg/2009/01/14/E9-612.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program 2009-01-14T00:00:00-08:00 2009-01-14T00:00:00-08:00 E9-612 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-14/pdf/E9-612.pdf https://regulations.justia.com/regulations/fedreg/2009/01/14/E9-611.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Generic Listing Standards for Index Multiple Exchange Traded Fund Shares and Index Inverse Exchange Traded Fund Shares 2009-01-14T00:00:00-08:00 2009-01-14T00:00:00-08:00 E9-611 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-14/pdf/E9-611.pdf https://regulations.justia.com/regulations/fedreg/2009/01/14/E9-610.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes to FINRA Rules 6380B and 6730 To Reflect Amendments Proposed Pursuant to SR-FINRA-2008-060 2009-01-14T00:00:00-08:00 2009-01-14T00:00:00-08:00 E9-610 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-14/pdf/E9-610.pdf https://regulations.justia.com/regulations/fedreg/2009/01/14/E9-409.html Rule - Modernization of Oil and Gas Reporting 2009-01-14T00:00:00-08:00 2009-01-14T00:00:00-08:00

E9-409 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-01-14/pdf/E9-409.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-462.html Notice - Sunshine Act Meeting 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-462 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-462.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-461.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Related to Obvious Error Rules 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-461 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-461.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-444.html Notice - Submission for OMB Review; Comment Request 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-444 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-444.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-443.html Notice - Submission for OMB Review; Comment Request 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-443 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-443.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-442.html Notice - Submission for OMB Review; Comment Request 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-442 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-442.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-441.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating 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 Obligations 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-441 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-441.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-440.html Notice - Macquarie Global Infrastructure Total Return Fund Inc., et al.; Notice of Application 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-440 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-440.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-439.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to BOX Rules Governing Doing Business With the Public 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-439 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-439.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-438.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, To Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-438 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-438.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-437.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change to Require Limited Partnerships to Obtain Shareholder Approval for the Use of Equity Compensation and Make Other Clarifying Changes to the Listing Requirements for Limited Partnerships 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-437 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-437.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-416.html Notice - SunAmerica Focused Alpha Growth Fund, Inc., et al.; Notice of Application 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-416 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-416.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-415.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 1500 (“MatchPoint”) To Clarify the Functionality of the Intra-Day Matching Sessions in Relation to Order Entry, Correction and Cancellation Capabilities, and When the MatchPoint System Cancels Unexecuted Orders Back to the User and Disseminates Intra-Day and After Hours Trade Reports 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-415 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-415.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-414.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Introduce a NYSE Order Imbalance Information Fee 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-414 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-414.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-413.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC Relating to Amending the Fee Schedule 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-413 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-413.pdf https://regulations.justia.com/regulations/fedreg/2009/01/13/E9-391.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by Chicago Board Options Exchange, Incorporated Regarding Fees for the CBOE Stock Exchange 2009-01-13T00:00:00-08:00 2009-01-13T00:00:00-08:00 E9-391 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-13/pdf/E9-391.pdf https://regulations.justia.com/regulations/fedreg/2009/01/12/E9-350.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Affiliations With Broker-Dealers 2009-01-12T00:00:00-08:00 2009-01-12T00:00:00-08:00 E9-350 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-12/pdf/E9-350.pdf https://regulations.justia.com/regulations/fedreg/2009/01/12/E9-349.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Existing Operational Arrangements 2009-01-12T00:00:00-08:00 2009-01-12T00:00:00-08:00 E9-349 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-12/pdf/E9-349.pdf https://regulations.justia.com/regulations/fedreg/2009/01/12/E9-348.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Introduce a NYSE OpenBook® Nonprofessional Subscriber Fee and To Revise the Unit of Count That Determines the Device Fees Payable by Data Recipients 2009-01-12T00:00:00-08:00 2009-01-12T00:00:00-08:00 E9-348 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-12/pdf/E9-348.pdf https://regulations.justia.com/regulations/fedreg/2009/01/09/E9-160.html Notice - Submission for OMB Review; Comment Request 2009-01-09T00:00:00-08:00 2009-01-09T00:00:00-08:00 E9-160 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-09/pdf/E9-160.pdf https://regulations.justia.com/regulations/fedreg/2009/01/09/E9-159.html Notice - Submission for OMB Review; Comment Request 2009-01-09T00:00:00-08:00 2009-01-09T00:00:00-08:00 E9-159 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-09/pdf/E9-159.pdf https://regulations.justia.com/regulations/fedreg/2009/01/09/E9-158.html Notice - Self-Regulatory Organizations; the Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rules Relating to Obvious Error Provisions To Address Catastrophic Errors, Erroneous Quotes or Prints in the Underlying Security, and Some Additional Modifications 2009-01-09T00:00:00-08:00 2009-01-09T00:00:00-08:00 E9-158 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-09/pdf/E9-158.pdf https://regulations.justia.com/regulations/fedreg/2009/01/09/E9-157.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of International Securities Exchange Holdings, Inc.'s Certificate of Incorporation 2009-01-09T00:00:00-08:00 2009-01-09T00:00:00-08:00 E9-157 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-09/pdf/E9-157.pdf https://regulations.justia.com/regulations/fedreg/2009/01/09/E9-156.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees for Fiscal Year 2009 2009-01-09T00:00:00-08:00 2009-01-09T00:00:00-08:00 E9-156 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-09/pdf/E9-156.pdf https://regulations.justia.com/regulations/fedreg/2009/01/09/E9-137.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed Rule Change Amending Rule 6.47A To Reduce the Order Exposure Period From Three Seconds to One Second 2009-01-09T00:00:00-08:00 2009-01-09T00:00:00-08:00 E9-137 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-09/pdf/E9-137.pdf https://regulations.justia.com/regulations/fedreg/2009/01/08/E9-83.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility 2009-01-08T00:00:00-08:00 2009-01-08T00:00:00-08:00 E9-83 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-08/pdf/E9-83.pdf https://regulations.justia.com/regulations/fedreg/2009/01/08/E9-82.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect the Closing of the FINRA/NSX Trade Reporting Facility on December 31, 2008 2009-01-08T00:00:00-08:00 2009-01-08T00:00:00-08:00 E9-82 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-08/pdf/E9-82.pdf https://regulations.justia.com/regulations/fedreg/2009/01/07/E9-9.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Period for the NYSE Realtime Reference Prices Pilot Program 2009-01-07T00:00:00-08:00 2009-01-07T00:00:00-08:00 E9-9 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-07/pdf/E9-9.pdf https://regulations.justia.com/regulations/fedreg/2009/01/07/E9-8.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Program for NYSE Arca Realtime Reference Prices Service 2009-01-07T00:00:00-08:00 2009-01-07T00:00:00-08:00 E9-8 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-07/pdf/E9-8.pdf https://regulations.justia.com/regulations/fedreg/2009/01/07/E9-7.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee 2009-01-07T00:00:00-08:00 2009-01-07T00:00:00-08:00 E9-7 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-07/pdf/E9-7.pdf https://regulations.justia.com/regulations/fedreg/2009/01/07/E9-6.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending Rule 5.2(j)(6) To Increase the Permissible Aggregate Weight of Underlying Foreign Country Securities 2009-01-07T00:00:00-08:00 2009-01-07T00:00:00-08:00 E9-6 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-07/pdf/E9-6.pdf https://regulations.justia.com/regulations/fedreg/2009/01/07/E9-5.html Notice - Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent the NYSE Alternext Bonds System Fee Schedule Which Is Currently Set To Expire on December 31, 2008 as Well as Make Technical Amendments to the Fee Schedule 2009-01-07T00:00:00-08:00 2009-01-07T00:00:00-08:00 E9-5 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-07/pdf/E9-5.pdf https://regulations.justia.com/regulations/fedreg/2009/01/07/E9-4.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program That Offers Liquidity Takers a Reduced Transaction Fee Structure for Certain Bond Trades Executed on the NYSE Bonds System 2009-01-07T00:00:00-08:00 2009-01-07T00:00:00-08:00 E9-4 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-07/pdf/E9-4.pdf https://regulations.justia.com/regulations/fedreg/2009/01/07/E9-3.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Liquidity Provider Credit on the NYSE Bonds System 2009-01-07T00:00:00-08:00 2009-01-07T00:00:00-08:00 E9-3 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-07/pdf/E9-3.pdf https://regulations.justia.com/regulations/fedreg/2009/01/07/E9-2.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC Extending the Implementation of the NYSE Alternext Book Clerk Program From January 1, 2009 Through March 31, 2009 2009-01-07T00:00:00-08:00 2009-01-07T00:00:00-08:00 E9-2 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-07/pdf/E9-2.pdf https://regulations.justia.com/regulations/fedreg/2009/01/07/E9-16.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending the Minor Rule Plan To Increase Certain Sanctions 2009-01-07T00:00:00-08:00 2009-01-07T00:00:00-08:00 E9-16 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-07/pdf/E9-16.pdf https://regulations.justia.com/regulations/fedreg/2009/01/07/E9-12.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Address Motions To Dismiss and To Amend the Eligibility Rule Related to Dismissals 2009-01-07T00:00:00-08:00 2009-01-07T00:00:00-08:00 E9-12 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-07/pdf/E9-12.pdf https://regulations.justia.com/regulations/fedreg/2009/01/07/E9-11.html Notice - 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 NASDAQ OMX BX, Inc., as a Party Thereto 2009-01-07T00:00:00-08:00 2009-01-07T00:00:00-08:00 E9-11 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-07/pdf/E9-11.pdf https://regulations.justia.com/regulations/fedreg/2009/01/07/E9-10.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Program for NASDAQ Last Sale Data Feeds 2009-01-07T00:00:00-08:00 2009-01-07T00:00:00-08:00 E9-10 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-07/pdf/E9-10.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31451.html Notice - Sunshine Act Meeting 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31451 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31451.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31450.html Notice - Sunshine Act Meeting 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31450 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31450.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31390.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Trades for Less Than $1 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31390 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31390.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31358.html Notice - Submission for OMB Review; Comment Request 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31358 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31358.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31357.html Notice - Submission for OMB Review; Comment Request 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31357 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31357.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31356.html Notice - Submission for OMB Review; Comment Request 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31356 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31356.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31355.html Notice - Franklin Templeton Fund Allocator Series, et al.; Notice of Application 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31355 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31355.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31354.html Notice - Submission for OMB Review; Comment Request 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31354 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31354.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31353.html Notice - Submission for OMB Review; Comment Request 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31353 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31353.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31352.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing of Units of the United States Short Oil Fund 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31352 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31352.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31351.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31351 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31351.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31350.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC To Amend Certain Regulatory Fees Applicable to Its Member Organizations 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31350 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31350.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31349.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending NYSE Alternext US, LLC Equities Rule 48.10 To Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange To Declare an Extreme Market Volatility Condition and Suspend Certain Exchange Requirements Relating to the Closing of Securities at the Exchange 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31349 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31349.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31348.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 48.10 To Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange to Declare an Extreme Market Volatility Condition and Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31348 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31348.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31347.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Arca, Inc. Implementing Fee Change 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31347 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31347.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31346.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31346 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31346.pdf https://regulations.justia.com/regulations/fedreg/2009/01/06/E8-31345.html Notice - Submission for OMB Review; Comment Request 2009-01-06T00:00:00-08:00 2009-01-06T00:00:00-08:00 E8-31345 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-06/pdf/E8-31345.pdf https://regulations.justia.com/regulations/fedreg/2009/01/05/E8-31259.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Rule 1028 (Confirmations) 2009-01-05T00:00:00-08:00 2009-01-05T00:00:00-08:00 E8-31259 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-05/pdf/E8-31259.pdf https://regulations.justia.com/regulations/fedreg/2009/01/02/E8-31205.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendments to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add New York Stock Exchange LLC, NYSE Arca, Inc., NYSE Alternext US LLC and Chicago Board Options Exchange, Incorporated as Parties Thereto 2009-01-02T00:00:00-08:00 2009-01-02T00:00:00-08:00 E8-31205 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-02/pdf/E8-31205.pdf https://regulations.justia.com/regulations/fedreg/2009/01/02/E8-31204.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook 2009-01-02T00:00:00-08:00 2009-01-02T00:00:00-08:00 E8-31204 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-02/pdf/E8-31204.pdf https://regulations.justia.com/regulations/fedreg/2009/01/02/E8-31203.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by The NASDAQ Stock Market LLC Adopting a Limited Exemption From OATS Order Data Recordation Requirements for Registered Options Market Makers 2009-01-02T00:00:00-08:00 2009-01-02T00:00:00-08:00 E8-31203 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-02/pdf/E8-31203.pdf https://regulations.justia.com/regulations/fedreg/2009/01/02/E8-31193.html Notice - Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with Request of Liffe Administration and Management and Lch.Clearnet Ltd. Related to Central Clearing of Credit Default Swaps, and Request for Comments 2009-01-02T00:00:00-08:00 2009-01-02T00:00:00-08:00 E8-31193 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-02/pdf/E8-31193.pdf https://regulations.justia.com/regulations/fedreg/2009/01/02/E8-31192.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Amendment of the International Securities Exchange Holdings, Inc.'s Certificate of Incorporation 2009-01-02T00:00:00-08:00 2009-01-02T00:00:00-08:00 E8-31192 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-02/pdf/E8-31192.pdf https://regulations.justia.com/regulations/fedreg/2009/01/02/E8-31191.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Policy Relating to Its Treatment of Trade Reports That It Determines To Be Inconsistent With the Prevailing Market 2009-01-02T00:00:00-08:00 2009-01-02T00:00:00-08:00 E8-31191 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-02/pdf/E8-31191.pdf https://regulations.justia.com/regulations/fedreg/2009/01/02/E8-31190.html Notice - Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions From Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps 2009-01-02T00:00:00-08:00 2009-01-02T00:00:00-08:00 E8-31190 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-02/pdf/E8-31190.pdf https://regulations.justia.com/regulations/fedreg/2009/01/02/E8-31150.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Policy Relating to Its Treatment of Trade Reports That It Determines To Be Inconsistent With the Prevailing Market Retroactive to September 1, 2008 2009-01-02T00:00:00-08:00 2009-01-02T00:00:00-08:00 E8-31150 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-02/pdf/E8-31150.pdf https://regulations.justia.com/regulations/fedreg/2009/01/02/E8-31149.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Adopt a Trade, Flash and Cancel Order Type for CBSX 2009-01-02T00:00:00-08:00 2009-01-02T00:00:00-08:00 E8-31149 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-02/pdf/E8-31149.pdf https://regulations.justia.com/regulations/fedreg/2009/01/02/E8-31148.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposal To Eliminate $3 Underlying Price Requirement for Continued Listing and Listing of Additional Series 2009-01-02T00:00:00-08:00 2009-01-02T00:00:00-08:00 E8-31148 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-02/pdf/E8-31148.pdf