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/2009/02?limit=200®isters=between&min-day=1&max-day=28&mode=atom2024-05-02T12:22:29-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4185.htmlNotice - Proposed Collection; Comment Request2009-02-27T00:00:00-08:002009-02-27T00:00:00-08:00E9-4185Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4185.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4184.htmlNotice - Proposed Collection; Comment Request2009-02-27T00:00:00-08:002009-02-27T00:00:00-08:00E9-4184Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4184.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4183.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change Relating to BOX Rules Governing Doing Business With the Public2009-02-27T00:00:00-08:002009-02-27T00:00:00-08:00E9-4183Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4183.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4182.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Its New Risk Management Gateway Service2009-02-27T00:00:00-08:002009-02-27T00:00:00-08:00E9-4182Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4182.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4181.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Its New Risk Management Gateway Service2009-02-27T00:00:00-08:002009-02-27T00:00:00-08:00E9-4181Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4181.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4153.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2009-02-27T00:00:00-08:002009-02-27T00:00:00-08:00E9-4153Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4153.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4120.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Its Rules Prohibiting Members From Functioning as Market-Makers2009-02-26T00:00:00-08:002009-02-26T00:00:00-08:00E9-4120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-26/pdf/E9-4120.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4064.htmlNotice - Mainstay VP Series Fund, Inc.2009-02-26T00:00:00-08:002009-02-26T00:00:00-08:00E9-4064Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-26/pdf/E9-4064.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4062.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Nasdaq's Definition of “Controlled Company”2009-02-26T00:00:00-08:002009-02-26T00:00:00-08:00E9-4062Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-26/pdf/E9-4062.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4038.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Reduce Certain Order Exposure Periods on the NASDAQ Options Market From Three Seconds to One Second2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-4038Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4038.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4037.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Exchange Direct Order for the NASDAQ Options Market2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-4037Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4037.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4036.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendments No. 1 and 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, Relating to FLEX Options Expirations2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-4036Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4036.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4035.htmlNotice - Submission for OMB Review; Comment Request2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-4035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4035.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3993.htmlNotice - Sunshine Act Meeting2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-3993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3993.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3982.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Instructions as to the Payment of Listing Fees in Connection With the Listing of Additional Securities2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-3982Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3982.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3981.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Certain NYSE Alternext Equities Rules To Reflect That Designated Market Makers (“DMMs”) on the Exchange No Longer Act as Agents for Orders Entered on the Exchange2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-3981Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3981.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3980.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Certain NYSE Rules To Reflect That Designated Market Makers on the Exchange No Longer Act as Agents for Orders Entered on the Exchange2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-3980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3980.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3979.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-3979Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3979.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3978.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the $3 Underlying Price Requirement for Continued Listing and Listing of Additional Series on the Boston Options Exchange Facility2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-3978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3978.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3861.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 DPMs and LMMs2009-02-24T00:00:00-08:002009-02-24T00:00:00-08:00E9-3861Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-24/pdf/E9-3861.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3860.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Addendum O To Allow Admission of Entities That Are Organized in a Country Other Than the U.S. for Admission as Limited Members2009-02-24T00:00:00-08:002009-02-24T00:00:00-08:00E9-3860Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-24/pdf/E9-3860.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3841.htmlNotice - Wachovia Securities, LLC, et al.; Notice of Application and Temporary Order2009-02-24T00:00:00-08:002009-02-24T00:00:00-08:00E9-3841Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-24/pdf/E9-3841.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/23/Z9-1807.htmlNotice - 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 Rulebook2009-02-23T00:00:00-08:002009-02-23T00:00:00-08:00Z9-1807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/Z9-1807.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3742.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Allowing Entry of Orders Into the PIP at a Price Matching the National Best Bid or Offer2009-02-23T00:00:00-08:002009-02-23T00:00:00-08:00E9-3742Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/E9-3742.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3741.htmlNotice - Self-Regulatory Organizations; 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”)2009-02-23T00:00:00-08:002009-02-23T00:00:00-08:00E9-3741Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/E9-3741.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3740.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Reformatting Its Fee Schedule2009-02-23T00:00:00-08:002009-02-23T00:00:00-08:00E9-3740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/E9-3740.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3611.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123E (“DMM Combination Review Policy”) To Be More Consistent With the Exchange's Current Designated Market Maker (“DMM”) System2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3611Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3611.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3580.htmlNotice - Proposed Collection; Comment Request2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3580Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3580.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3579.htmlNotice - Proposed Collection; Comment Request2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3579Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3579.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3578.htmlNotice - Proposed Collection; Comment Request2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3578Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3578.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3577.htmlNotice - Proposed Collection; Comment Request2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3577Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3577.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3576.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Its Fee Schedule2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3576.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3575.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending Its Limited Liability Company Operating Agreement and the Bylaws of Its Wholly-Owned Subsidiary NYSE Market, Inc. To Eliminate, in Each Case, a Requirement That Not Less Than Two Members of the Board of Directors Must Qualify as “Non-Affiliated Directors” and a Related Requirement That Not Less Than Two Members of the Board of Directors Must Qualify as “Fair Representation Candidates”2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3575Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3575.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3574.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Post-Only Order2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3574.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3573.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change Relating to Eliminating the SRO Requirement as a Condition of DTC-Eligibility for Securities That Are Eligible for Resale Under Rule 144A Under the Securities Act of 19332009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3573.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3466.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Amending Rule 6.42009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3466Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3466.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3465.htmlNotice - Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing of a Proposed Rule Change Amending Rule 9032009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3465Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3465.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3464.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by NASDAQ OMX PHLX, Inc. To Amend the Exchange's Fee Schedule2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3464Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3464.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3433.htmlNotice - Submission for OMB Review; Comment Request2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3433Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3433.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3431.htmlNotice - Submission for OMB Review; Comment Request2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3431Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3431.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3429.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Implement and Revise Fees Related to Non-Participant Services2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3429.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3428.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change, As Amended, To Modify End of Day Settlement Procedures Relating to Settlement Acknowledgement Cut-Off Time Frames for Settling Banks2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3428.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3427.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Exchange Directorships Under Its By-Laws2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3427.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3426.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order)2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3426.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3425.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Implement a Maturity Presentment Pend Function To Replace the Maturity Presentment Contingency System2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3425.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3424.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Broker-Dealer Transaction Fees for AIM Executions2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3424.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3423.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to the $1 Strike Program2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3423Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3423.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3422.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to the $1 Strike Program2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3422.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3359.htmlRule - Interactive Data for Mutual Fund Risk/Return Summary2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3359Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3359.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/18/E9-3484.htmlNotice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consolidating Into a Single Rule Certain Requirements for Products Traded on the Exchange Pursuant to Unlisted Trading Privileges2009-02-18T00:00:00-08:002009-02-18T00:00:00-08:00E9-3484Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-18/pdf/E9-3484.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/18/E9-3467.htmlNotice - Sunshine Act Meeting2009-02-18T00:00:00-08:002009-02-18T00:00:00-08:00E9-3467Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-18/pdf/E9-3467.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3377.htmlNotice - Carlyle Gaming & Entertainment Ltd., Daleigh Holdings Corp., Guy F. Atkinson Co. of California, Inc. (n/k/a ATKN Co. of California), Minex Resources, Inc., Pegasus Gold, Inc., Powerhouse Resources, Inc., SA Telecommunications, Inc., Storm Technology, Inc., Thorn Apple Valley, Inc., and Universal Seismic Associates, Inc. (n/k/a Pocketop Corp.); Order of Suspension of Trading2009-02-17T00:00:00-08:002009-02-17T00:00:00-08:00E9-3377Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-17/pdf/E9-3377.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3376.htmlNotice - Avicena Group, Inc., Northern Ethanol, Inc., Hydrogen Hybrid Technologies, Inc. and Stock-Trak Group, Inc.; Order of Suspension of Trading2009-02-17T00:00:00-08:002009-02-17T00:00:00-08:00E9-3376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-17/pdf/E9-3376.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3345.htmlNotice - Submission for OMB Review; Comment Request2009-02-17T00:00:00-08:002009-02-17T00:00:00-08:00E9-3345Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-17/pdf/E9-3345.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3238.htmlNotice - Proposed Collection; Comment Request2009-02-17T00:00:00-08:002009-02-17T00:00:00-08:00E9-3238Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-17/pdf/E9-3238.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3232.htmlNotice - Eaton Vance Enhanced Equity Income Fund, et al.; Notice of Application2009-02-17T00:00:00-08:002009-02-17T00:00:00-08:00E9-3232Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-17/pdf/E9-3232.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3230.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending the Minor Rule Plan To Increase Certain Sanctions2009-02-17T00:00:00-08:002009-02-17T00:00:00-08:00E9-3230Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-17/pdf/E9-3230.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/13/E9-3252.htmlNotice - The Jockey Club, Inc., Juina Mining Corp., Inc. (n/k/a AC Energy, Inc.), Jumbosports, Inc., Just Like Home, Inc., and Just Toys, Inc. (n/k/a Pachinko, Inc.); Order of Suspension of Trading2009-02-13T00:00:00-08:002009-02-13T00:00:00-08:00E9-3252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-13/pdf/E9-3252.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/13/E9-3097.htmlNotice - Proposed Collection; Comment Request2009-02-13T00:00:00-08:002009-02-13T00:00:00-08:00E9-3097Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-13/pdf/E9-3097.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/13/E9-3096.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To Adopt a Limited Exemption from OATS Order Data Recordation Requirements for Registered Options Market Makers2009-02-13T00:00:00-08:002009-02-13T00:00:00-08:00E9-3096Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-13/pdf/E9-3096.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/13/E9-3095.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving 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, 20082009-02-13T00:00:00-08:002009-02-13T00:00:00-08:00E9-3095Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-13/pdf/E9-3095.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/12/E9-2966.htmlNotice - Advisors Asset Management, Inc. and Advisors Disciplined Trust; Notice of Application2009-02-12T00:00:00-08:002009-02-12T00:00:00-08:00E9-2966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-12/pdf/E9-2966.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2858.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Sponsored Access2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2858Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2858.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2857.htmlNotice - Joint Industry Plan; Order Approving Amendment To Add the BATS Exchange, Inc. as Participant to National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2857Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2857.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2856.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC Amending NYSE Alternext Equities Rules 116 and 123C To Create a Single Closing Print To Be Reported to the Consolidated Tape for Each Security2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2856Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2856.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2855.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. To Establish a Technical Original Listing Fee Specific to Derivative Securities Products and Structured Products2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2855Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2855.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2854.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend Rules To Add an Agreement From Fund Members That Submit Mutual Fund Profile Information2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2854.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2853.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change To Discontinue Policy of Prohibiting Transfer Agents From Charging Fees for Issuing Stock Certificates2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2853Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2853.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2852.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Order Approving Proposed Rule Change To Establish the Risk Management Gateway Service2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2852Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2852.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2851.htmlNotice - Submission for OMB Review; Comment Request2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2851Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2851.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2850.htmlNotice - Submission for OMB Review; Comment Request2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2850Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2850.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2849.htmlNotice - Submission for OMB Review; Comment Request2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2849Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2849.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2848.htmlNotice - Sunshine Act Meeting2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2848Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2848.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2775.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving 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 Parties2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2775.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2774.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Adopt a Trade, Flash and Cancel Order Type for CBSX2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2774Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2774.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2773.htmlNotice - 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 Fees2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2773Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2773.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2772.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 5.4 To Eliminate the $3 Market Price Per Share Requirement2009-02-11T00:00:00-08:002009-02-11T00:00:00-08:00E9-2772Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2772.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2918.htmlNotice - In the Matter of BIH Corporation; Order of Suspension of Trading2009-02-10T00:00:00-08:002009-02-10T00:00:00-08:00E9-2918Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2918.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2700.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Establish the Risk Management Gateway Service2009-02-10T00:00:00-08:002009-02-10T00:00:00-08:00E9-2700Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2700.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2699.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. To Eliminate the $3 Price Requirement for Continued Approval for an Underlying Security and Listing Additional Series of Options2009-02-10T00:00:00-08:002009-02-10T00:00:00-08:00E9-2699Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2699.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2698.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Phlx Rule 1092, Obvious Errors and Catastrophic Errors2009-02-10T00:00:00-08:002009-02-10T00:00:00-08:00E9-2698Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2698.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2657.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2009-02-10T00:00:00-08:002009-02-10T00:00:00-08:00E9-2657Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2657.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2656.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US, LLC Amending Rule 916 To Eliminate the $3 Market Price Per Share Requirement2009-02-10T00:00:00-08:002009-02-10T00:00:00-08:00E9-2656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2656.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2655.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate $3 Underlying Price Requirement for Continued Listing and Listing of Additional Series2009-02-10T00:00:00-08:002009-02-10T00:00:00-08:00E9-2655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2655.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2334.htmlRule - Interactive Data To Improve Financial Reporting2009-02-10T00:00:00-08:002009-02-10T00:00:00-08:00E9-2334Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2334.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2650.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 116 and 123C To Create a Single Closing Print To Be Reported to the Consolidated Tape for Each Security2009-02-09T00:00:00-08:002009-02-09T00:00:00-08:00E9-2650Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2650.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2607.htmlProposed Rule - Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers2009-02-09T00:00:00-08:002009-02-09T00:00:00-08:00E9-2607Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2607.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2580.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC Making Changes to Certain NYSE Alternext Equities Rules to Conform With Amendments to Corresponding Rules Recently Filed for Immediate Effectiveness by the New York Stock Exchange LLC and To Make Other Technical Changes2009-02-09T00:00:00-08:002009-02-09T00:00:00-08:00E9-2580Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2580.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2579.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Market Hours Day Time-in-Force2009-02-09T00:00:00-08:002009-02-09T00:00:00-08:00E9-2579Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2579.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2578.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Establish Fees for Members2009-02-09T00:00:00-08:002009-02-09T00:00:00-08:00E9-2578Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2578.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2514.htmlProposed Rule - Re-Proposed Rules for Nationally Recognized Statistical Rating Organizations2009-02-09T00:00:00-08:002009-02-09T00:00:00-08:00E9-2514Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2514.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2513.htmlRule - Amendments to Rules for Nationally Recognized Statistical Rating Organizations2009-02-09T00:00:00-08:002009-02-09T00:00:00-08:00E9-2513Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2513.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2531.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Codes of Arbitration Procedure To Raise the Amount in Controversy Heard by a Single Chair-Qualified Arbitrator to $100,0002009-02-06T00:00:00-08:002009-02-06T00:00:00-08:00E9-2531Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-06/pdf/E9-2531.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2530.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 5240 (Anti-Intimidation/Coordination) in the Consolidated FINRA Rulebook2009-02-06T00:00:00-08:002009-02-06T00:00:00-08:00E9-2530Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-06/pdf/E9-2530.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2529.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending NYSE Arca Equities Rule 5.2(j)(6) Relating to the Initial Listing Standards for Equity Index-Linked Securities, Commodity-Linked Securities, Currency-Linked Securities, Fixed Income Index-Linked Securities, Futures-Linked Securities and Multifactor Index-Linked Securities2009-02-06T00:00:00-08:002009-02-06T00:00:00-08:00E9-2529Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-06/pdf/E9-2529.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2528.htmlNotice - 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 $12009-02-06T00:00:00-08:002009-02-06T00:00:00-08:00E9-2528Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-06/pdf/E9-2528.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2481.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposal To Eliminate the $3 Underlying Price Requirement for Continued Listing and Listing of Additional Series2009-02-06T00:00:00-08:002009-02-06T00:00:00-08:00E9-2481Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-06/pdf/E9-2481.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/05/E9-2430.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402009-02-05T00:00:00-08:002009-02-05T00:00:00-08:00E9-2430Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-05/pdf/E9-2430.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/05/E9-2429.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing an Equity Transaction Fee for Shares Executed on or Through the New York Block Exchange Effective Upon Filing With the Commission2009-02-05T00:00:00-08:002009-02-05T00:00:00-08:00E9-2429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-05/pdf/E9-2429.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/05/E9-2428.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; 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 Market2009-02-05T00:00:00-08:002009-02-05T00:00:00-08:00E9-2428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-05/pdf/E9-2428.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/05/E9-2427.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Nasdaq's Listing Requirements Related to the Distribution of Annual Reports2009-02-05T00:00:00-08:002009-02-05T00:00:00-08:00E9-2427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-05/pdf/E9-2427.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2448.htmlNotice - In the Matter of Global 1 Investment Holdings Corporation, Respondent; Order of Suspension of Trading2009-02-04T00:00:00-08:002009-02-04T00:00:00-08:00E9-2448Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2448.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2333.htmlNotice - Sunshine Act Meeting2009-02-04T00:00:00-08:002009-02-04T00:00:00-08:00E9-2333Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2333.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2297.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing Exchange's Directed Order Process on the Boston Options Exchange2009-02-04T00:00:00-08:002009-02-04T00:00:00-08:00E9-2297Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2297.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2253.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt Listing Fees for Securities Listed Under Section 703.21 and 703.22 and Traded on NYSE Bonds2009-02-04T00:00:00-08:002009-02-04T00:00:00-08:00E9-2253Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2253.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2252.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish Fees for NYSE Trades2009-02-04T00:00:00-08:002009-02-04T00:00:00-08:00E9-2252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2252.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2251.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Establish New Fees for Services Available to Members and Non-Members2009-02-04T00:00:00-08:002009-02-04T00:00:00-08:00E9-2251Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2251.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2250.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Alternext US LLC To Revise Its Listing Fees2009-02-04T00:00:00-08:002009-02-04T00:00:00-08:00E9-2250Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2250.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2231.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2009-02-03T00:00:00-08:002009-02-03T00:00:00-08:00E9-2231Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2231.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2228.htmlNotice - Proposed Collection; Comment Request:2009-02-03T00:00:00-08:002009-02-03T00:00:00-08:00E9-2228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2228.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2227.htmlNotice - Proposed Collection; Comment Request2009-02-03T00:00:00-08:002009-02-03T00:00:00-08:00E9-2227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2227.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2226.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Reduce The Order Exposure Period on the NASDAQ Options Market2009-02-03T00:00:00-08:002009-02-03T00:00:00-08:00E9-2226Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2226.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2225.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Establish Fees for NYSE Arca Trades2009-02-03T00:00:00-08:002009-02-03T00:00:00-08:00E9-2225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2225.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2224.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rules Governing Flexible Exchange Options to Increase Maximum Term2009-02-03T00:00:00-08:002009-02-03T00:00:00-08:00E9-2224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2224.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2204.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating To Establishing a Market Loan Program2009-02-03T00:00:00-08:002009-02-03T00:00:00-08:00E9-2204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2204.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2211.htmlNotice - In the Matter of: Leading Edge Packaging, Inc., Leadingside, Inc., Lecstar Corp., and Legal Club of America, Inc.; Order of Suspension of Trading2009-02-02T00:00:00-08:002009-02-02T00:00:00-08:00E9-2211Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2211.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2162.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to the Deposits Service Guide2009-02-02T00:00:00-08:002009-02-02T00:00:00-08:00E9-2162Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2162.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2161.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Fee Structure2009-02-02T00:00:00-08:002009-02-02T00:00:00-08:00E9-2161Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2161.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2160.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Amend Exchange Rule 4.21 Relating to Third Party Deposits2009-02-02T00:00:00-08:002009-02-02T00:00:00-08:00E9-2160Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2160.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2122.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exemptive Criteria in FINRA Rule 74702009-02-02T00:00:00-08:002009-02-02T00:00:00-08:00E9-2122Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2122.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2121.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Relating to Reduction of Annual Fee for Certain Issues Listed Under Rule 5.2(j)(6).2009-02-02T00:00:00-08:002009-02-02T00:00:00-08:00E9-2121Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2121.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2120.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow the Transfer and Reregistration of Fund/SERV Eligible Fund Positions to and From a Financial Intermediary and a Mutual Fund Company2009-02-02T00:00:00-08:002009-02-02T00:00:00-08:00E9-2120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2120.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2119.htmlNotice - Proposed Collection; Comment Request2009-02-02T00:00:00-08:002009-02-02T00:00:00-08:00E9-2119Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2119.pdf