<![CDATA[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/2009/02?registers=between&min-day=1&max-day=28 Thu, 02 May 2024 10:26:18 -0700 Thu, 02 May 2024 10:26:18 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[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/2009/02?registers=between&min-day=1&max-day=28 Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4185.html https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4185.html Fri, 27 Feb 2009 00:00:00 -0800 E9-4185 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4185.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4184.html https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4184.html Fri, 27 Feb 2009 00:00:00 -0800 E9-4184 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4184.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change Relating to BOX Rules Governing Doing Business With the Public https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4183.html https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4183.html Fri, 27 Feb 2009 00:00:00 -0800 E9-4183 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4183.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4182.html https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4182.html Fri, 27 Feb 2009 00:00:00 -0800 E9-4182 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4182.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4181.html https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4181.html Fri, 27 Feb 2009 00:00:00 -0800 E9-4181 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4181.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4153.html https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4153.html Fri, 27 Feb 2009 00:00:00 -0800 E9-4153 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4153.pdf Notice - 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-Makers https://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4120.html https://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4120.html Thu, 26 Feb 2009 00:00:00 -0800 E9-4120 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-26/pdf/E9-4120.pdf Notice - Mainstay VP Series Fund, Inc. https://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4064.html https://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4064.html Thu, 26 Feb 2009 00:00:00 -0800 E9-4064 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-26/pdf/E9-4064.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4062.html https://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4062.html Thu, 26 Feb 2009 00:00:00 -0800 E9-4062 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-26/pdf/E9-4062.pdf Notice - 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 Second https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4038.html https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4038.html Wed, 25 Feb 2009 00:00:00 -0800 E9-4038 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4038.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4037.html https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4037.html Wed, 25 Feb 2009 00:00:00 -0800 E9-4037 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4037.pdf Notice - 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 Expirations https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4036.html https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4036.html Wed, 25 Feb 2009 00:00:00 -0800 E9-4036 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4036.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4035.html https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4035.html Wed, 25 Feb 2009 00:00:00 -0800 E9-4035 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4035.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3993.html https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3993.html Wed, 25 Feb 2009 00:00:00 -0800 E9-3993 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3993.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3982.html https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3982.html Wed, 25 Feb 2009 00:00:00 -0800 E9-3982 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3982.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3981.html https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3981.html Wed, 25 Feb 2009 00:00:00 -0800 E9-3981 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3981.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3980.html https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3980.html Wed, 25 Feb 2009 00:00:00 -0800 E9-3980 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3980.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3979.html https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3979.html Wed, 25 Feb 2009 00:00:00 -0800 E9-3979 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3979.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3978.html https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3978.html Wed, 25 Feb 2009 00:00:00 -0800 E9-3978 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3978.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rules Relating to DPMs and LMMs https://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3861.html https://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3861.html Tue, 24 Feb 2009 00:00:00 -0800 E9-3861 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-24/pdf/E9-3861.pdf Notice - 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 Members https://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3860.html https://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3860.html Tue, 24 Feb 2009 00:00:00 -0800 E9-3860 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-24/pdf/E9-3860.pdf Notice - Wachovia Securities, LLC, et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3841.html https://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3841.html Tue, 24 Feb 2009 00:00:00 -0800 E9-3841 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-24/pdf/E9-3841.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/02/23/Z9-1807.html https://regulations.justia.com/regulations/fedreg/2009/02/23/Z9-1807.html Mon, 23 Feb 2009 00:00:00 -0800 Z9-1807 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/Z9-1807.pdf Notice - 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 Offer https://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3742.html https://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3742.html Mon, 23 Feb 2009 00:00:00 -0800 E9-3742 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/E9-3742.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3741.html https://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3741.html Mon, 23 Feb 2009 00:00:00 -0800 E9-3741 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/E9-3741.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3740.html https://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3740.html Mon, 23 Feb 2009 00:00:00 -0800 E9-3740 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/E9-3740.pdf Notice - 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”) System https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3611.html https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3611.html Fri, 20 Feb 2009 00:00:00 -0800 E9-3611 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3611.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3580.html https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3580.html Fri, 20 Feb 2009 00:00:00 -0800 E9-3580 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3580.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3579.html https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3579.html Fri, 20 Feb 2009 00:00:00 -0800 E9-3579 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3579.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3578.html https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3578.html Fri, 20 Feb 2009 00:00:00 -0800 E9-3578 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3578.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3577.html https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3577.html Fri, 20 Feb 2009 00:00:00 -0800 E9-3577 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3577.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3576.html https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3576.html Fri, 20 Feb 2009 00:00:00 -0800 E9-3576 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3576.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3575.html https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3575.html Fri, 20 Feb 2009 00:00:00 -0800 E9-3575 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3575.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Post-Only Order https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3574.html https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3574.html Fri, 20 Feb 2009 00:00:00 -0800 E9-3574 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3574.pdf Notice - 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 1933 https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3573.html https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3573.html Fri, 20 Feb 2009 00:00:00 -0800 E9-3573 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3573.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Amending Rule 6.4 https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3466.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3466.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3466 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3466.pdf Notice - Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing of a Proposed Rule Change Amending Rule 903 https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3465.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3465.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3465 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3465.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3464.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3464.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3464 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3464.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3433.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3433.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3433 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3433.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3431.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3431.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3431 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3431.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Implement and Revise Fees Related to Non-Participant Services https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3429.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3429.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3429 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3429.pdf Notice - 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 Banks https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3428.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3428.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3428 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3428.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Exchange Directorships Under Its By-Laws https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3427.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3427.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3427 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3427.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3426.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3426.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3426 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3426.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3425.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3425.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3425 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3425.pdf Notice - 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 Executions https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3424.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3424.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3424 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3424.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to the $1 Strike Program https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3423.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3423.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3423 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3423.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to the $1 Strike Program https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3422.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3422.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3422 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3422.pdf Rule - Interactive Data for Mutual Fund Risk/Return Summary https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3359.html https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3359.html Thu, 19 Feb 2009 00:00:00 -0800 E9-3359 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3359.pdf Notice - 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 Privileges https://regulations.justia.com/regulations/fedreg/2009/02/18/E9-3484.html https://regulations.justia.com/regulations/fedreg/2009/02/18/E9-3484.html Wed, 18 Feb 2009 00:00:00 -0800 E9-3484 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-18/pdf/E9-3484.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/02/18/E9-3467.html https://regulations.justia.com/regulations/fedreg/2009/02/18/E9-3467.html Wed, 18 Feb 2009 00:00:00 -0800 E9-3467 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-18/pdf/E9-3467.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3377.html https://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3377.html Tue, 17 Feb 2009 00:00:00 -0800 E9-3377 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-17/pdf/E9-3377.pdf Notice - Avicena Group, Inc., Northern Ethanol, Inc., Hydrogen Hybrid Technologies, Inc. and Stock-Trak Group, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3376.html https://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3376.html Tue, 17 Feb 2009 00:00:00 -0800 E9-3376 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-17/pdf/E9-3376.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3345.html https://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3345.html Tue, 17 Feb 2009 00:00:00 -0800 E9-3345 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-17/pdf/E9-3345.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3238.html https://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3238.html Tue, 17 Feb 2009 00:00:00 -0800 E9-3238 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-17/pdf/E9-3238.pdf Notice - Eaton Vance Enhanced Equity Income Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3232.html https://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3232.html Tue, 17 Feb 2009 00:00:00 -0800 E9-3232 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-17/pdf/E9-3232.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending the Minor Rule Plan To Increase Certain Sanctions https://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3230.html https://regulations.justia.com/regulations/fedreg/2009/02/17/E9-3230.html Tue, 17 Feb 2009 00:00:00 -0800 E9-3230 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-17/pdf/E9-3230.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2009/02/13/E9-3252.html https://regulations.justia.com/regulations/fedreg/2009/02/13/E9-3252.html Fri, 13 Feb 2009 00:00:00 -0800 E9-3252 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-13/pdf/E9-3252.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/13/E9-3097.html https://regulations.justia.com/regulations/fedreg/2009/02/13/E9-3097.html Fri, 13 Feb 2009 00:00:00 -0800 E9-3097 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-13/pdf/E9-3097.pdf Notice - 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 Makers https://regulations.justia.com/regulations/fedreg/2009/02/13/E9-3096.html https://regulations.justia.com/regulations/fedreg/2009/02/13/E9-3096.html Fri, 13 Feb 2009 00:00:00 -0800 E9-3096 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-13/pdf/E9-3096.pdf Notice - 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, 2008 https://regulations.justia.com/regulations/fedreg/2009/02/13/E9-3095.html https://regulations.justia.com/regulations/fedreg/2009/02/13/E9-3095.html Fri, 13 Feb 2009 00:00:00 -0800 E9-3095 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-13/pdf/E9-3095.pdf Notice - Advisors Asset Management, Inc. and Advisors Disciplined Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/02/12/E9-2966.html https://regulations.justia.com/regulations/fedreg/2009/02/12/E9-2966.html Thu, 12 Feb 2009 00:00:00 -0800 E9-2966 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-12/pdf/E9-2966.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Sponsored Access https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2858.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2858.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2858 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2858.pdf Notice - 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 NMS https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2857.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2857.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2857 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2857.pdf Notice - 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 Security https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2856.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2856.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2856 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2856.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2855.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2855.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2855 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2855.pdf Notice - 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 Information https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2854.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2854.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2854 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2854.pdf Notice - 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 Certificates https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2853.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2853.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2853 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2853.pdf Notice - Self-Regulatory Organizations; NYSE Alternext US LLC; Order Approving Proposed Rule Change To Establish the Risk Management Gateway Service https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2852.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2852.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2852 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2852.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2851.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2851.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2851 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2851.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2850.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2850.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2850 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2850.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2849.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2849.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2849 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2849.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2848.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2848.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2848 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2848.pdf Notice - 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 Parties https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2775.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2775.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2775 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2775.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Adopt a Trade, Flash and Cancel Order Type for CBSX https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2774.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2774.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2774 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2774.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2773.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2773.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2773 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2773.pdf Notice - 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 Requirement https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2772.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2772.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2772 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2772.pdf Notice - In the Matter of BIH Corporation; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2918.html https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2918.html Tue, 10 Feb 2009 00:00:00 -0800 E9-2918 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2918.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Establish the Risk Management Gateway Service https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2700.html https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2700.html Tue, 10 Feb 2009 00:00:00 -0800 E9-2700 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2700.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2699.html https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2699.html Tue, 10 Feb 2009 00:00:00 -0800 E9-2699 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2699.pdf Notice - 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 Errors https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2698.html https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2698.html Tue, 10 Feb 2009 00:00:00 -0800 E9-2698 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2698.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2657.html https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2657.html Tue, 10 Feb 2009 00:00:00 -0800 E9-2657 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2657.pdf Notice - 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 Requirement https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2656.html https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2656.html Tue, 10 Feb 2009 00:00:00 -0800 E9-2656 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2656.pdf Notice - 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 Series https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2655.html https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2655.html Tue, 10 Feb 2009 00:00:00 -0800 E9-2655 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2655.pdf Rule - Interactive Data To Improve Financial Reporting https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2334.html https://regulations.justia.com/regulations/fedreg/2009/02/10/E9-2334.html Tue, 10 Feb 2009 00:00:00 -0800 E9-2334 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-02-10/pdf/E9-2334.pdf Notice - 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 Security https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2650.html https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2650.html Mon, 09 Feb 2009 00:00:00 -0800 E9-2650 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2650.pdf Proposed Rule - Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2607.html https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2607.html Mon, 09 Feb 2009 00:00:00 -0800 E9-2607 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2607.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2580.html https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2580.html Mon, 09 Feb 2009 00:00:00 -0800 E9-2580 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2580.pdf Notice - 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-Force https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2579.html https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2579.html Mon, 09 Feb 2009 00:00:00 -0800 E9-2579 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2579.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Establish Fees for Members https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2578.html https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2578.html Mon, 09 Feb 2009 00:00:00 -0800 E9-2578 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2578.pdf Proposed Rule - Re-Proposed Rules for Nationally Recognized Statistical Rating Organizations https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2514.html https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2514.html Mon, 09 Feb 2009 00:00:00 -0800 E9-2514 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2514.pdf Rule - Amendments to Rules for Nationally Recognized Statistical Rating Organizations https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2513.html https://regulations.justia.com/regulations/fedreg/2009/02/09/E9-2513.html Mon, 09 Feb 2009 00:00:00 -0800 E9-2513 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-02-09/pdf/E9-2513.pdf Notice - 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 $100,000 https://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2531.html https://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2531.html Fri, 06 Feb 2009 00:00:00 -0800 E9-2531 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-06/pdf/E9-2531.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2530.html https://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2530.html Fri, 06 Feb 2009 00:00:00 -0800 E9-2530 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-06/pdf/E9-2530.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2529.html https://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2529.html Fri, 06 Feb 2009 00:00:00 -0800 E9-2529 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-06/pdf/E9-2529.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2528.html https://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2528.html Fri, 06 Feb 2009 00:00:00 -0800 E9-2528 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-06/pdf/E9-2528.pdf Notice - 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 Series https://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2481.html https://regulations.justia.com/regulations/fedreg/2009/02/06/E9-2481.html Fri, 06 Feb 2009 00:00:00 -0800 E9-2481 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-06/pdf/E9-2481.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2009/02/05/E9-2430.html https://regulations.justia.com/regulations/fedreg/2009/02/05/E9-2430.html Thu, 05 Feb 2009 00:00:00 -0800 E9-2430 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-05/pdf/E9-2430.pdf Notice - 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 Commission https://regulations.justia.com/regulations/fedreg/2009/02/05/E9-2429.html https://regulations.justia.com/regulations/fedreg/2009/02/05/E9-2429.html Thu, 05 Feb 2009 00:00:00 -0800 E9-2429 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-05/pdf/E9-2429.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2009/02/05/E9-2428.html https://regulations.justia.com/regulations/fedreg/2009/02/05/E9-2428.html Thu, 05 Feb 2009 00:00:00 -0800 E9-2428 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-05/pdf/E9-2428.pdf Notice - 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 Reports https://regulations.justia.com/regulations/fedreg/2009/02/05/E9-2427.html https://regulations.justia.com/regulations/fedreg/2009/02/05/E9-2427.html Thu, 05 Feb 2009 00:00:00 -0800 E9-2427 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-05/pdf/E9-2427.pdf Notice - In the Matter of Global 1 Investment Holdings Corporation, Respondent; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2448.html https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2448.html Wed, 04 Feb 2009 00:00:00 -0800 E9-2448 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2448.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2333.html https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2333.html Wed, 04 Feb 2009 00:00:00 -0800 E9-2333 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2333.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2297.html https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2297.html Wed, 04 Feb 2009 00:00:00 -0800 E9-2297 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2297.pdf Notice - 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 Bonds https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2253.html https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2253.html Wed, 04 Feb 2009 00:00:00 -0800 E9-2253 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2253.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish Fees for NYSE Trades https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2252.html https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2252.html Wed, 04 Feb 2009 00:00:00 -0800 E9-2252 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2252.pdf Notice - 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-Members https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2251.html https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2251.html Wed, 04 Feb 2009 00:00:00 -0800 E9-2251 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2251.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Alternext US LLC To Revise Its Listing Fees https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2250.html https://regulations.justia.com/regulations/fedreg/2009/02/04/E9-2250.html Wed, 04 Feb 2009 00:00:00 -0800 E9-2250 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-04/pdf/E9-2250.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2231.html https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2231.html Tue, 03 Feb 2009 00:00:00 -0800 E9-2231 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2231.pdf Notice - Proposed Collection; Comment Request: https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2228.html https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2228.html Tue, 03 Feb 2009 00:00:00 -0800 E9-2228 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2228.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2227.html https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2227.html Tue, 03 Feb 2009 00:00:00 -0800 E9-2227 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2227.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2226.html https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2226.html Tue, 03 Feb 2009 00:00:00 -0800 E9-2226 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2226.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Establish Fees for NYSE Arca Trades https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2225.html https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2225.html Tue, 03 Feb 2009 00:00:00 -0800 E9-2225 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2225.pdf Notice - 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 Term https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2224.html https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2224.html Tue, 03 Feb 2009 00:00:00 -0800 E9-2224 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2224.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2204.html https://regulations.justia.com/regulations/fedreg/2009/02/03/E9-2204.html Tue, 03 Feb 2009 00:00:00 -0800 E9-2204 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-03/pdf/E9-2204.pdf Notice - In the Matter of: Leading Edge Packaging, Inc., Leadingside, Inc., Lecstar Corp., and Legal Club of America, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2211.html https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2211.html Mon, 02 Feb 2009 00:00:00 -0800 E9-2211 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2211.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to the Deposits Service Guide https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2162.html https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2162.html Mon, 02 Feb 2009 00:00:00 -0800 E9-2162 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2162.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Fee Structure https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2161.html https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2161.html Mon, 02 Feb 2009 00:00:00 -0800 E9-2161 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2161.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Amend Exchange Rule 4.21 Relating to Third Party Deposits https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2160.html https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2160.html Mon, 02 Feb 2009 00:00:00 -0800 E9-2160 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2160.pdf Notice - 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 7470 https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2122.html https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2122.html Mon, 02 Feb 2009 00:00:00 -0800 E9-2122 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2122.pdf Notice - 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). https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2121.html https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2121.html Mon, 02 Feb 2009 00:00:00 -0800 E9-2121 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2121.pdf Notice - 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 Company https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2120.html https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2120.html Mon, 02 Feb 2009 00:00:00 -0800 E9-2120 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2120.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2119.html https://regulations.justia.com/regulations/fedreg/2009/02/02/E9-2119.html Mon, 02 Feb 2009 00:00:00 -0800 E9-2119 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-02/pdf/E9-2119.pdf