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/2009/04?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-06T10:34:50-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2009/04/30/E9-10035.htmlNotice - Pax Clean Energy, Inc.; Order of Suspension of Trading2009-04-30T00:00:00-07:002009-04-30T00:00:00-07:00E9-10035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-30/pdf/E9-10035.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9879.htmlNotice - Sunshine Act Meeting2009-04-29T00:00:00-07:002009-04-29T00:00:00-07:00E9-9879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9879.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9820.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rules 15 and 123C Regarding the Operation of Its NYSE Order Imbalance Information Service To Modify the Reference Price at Which the Exchange Reports the Order Imbalance Information and Clarify What Information Is Included and Excluded From the Order Imbalance Information Reports2009-04-29T00:00:00-07:002009-04-29T00:00:00-07:00E9-9820Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9820.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9819.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to the Voluntary Submission of Continuing Disclosure Documents to Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA®)2009-04-29T00:00:00-07:002009-04-29T00:00:00-07:00E9-9819Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9819.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9818.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rules 15 and 123C Regarding the Operation of Its NYSE Amex Order Imbalance Information Service To Modify the Reference Price at Which the Exchange Reports the Order Imbalance Information and Clarify What Information Is Included and Excluded From the Order Imbalance Information Reports2009-04-29T00:00:00-07:002009-04-29T00:00:00-07:00E9-9818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9818.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9749.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402009-04-29T00:00:00-07:002009-04-29T00:00:00-07:00E9-9749Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9749.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9704.htmlNotice - Sunshine Act Meeting2009-04-29T00:00:00-07:002009-04-29T00:00:00-07:00E9-9704Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9704.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9673.htmlNotice - Submission for OMB Review; Comment Request2009-04-29T00:00:00-07:002009-04-29T00:00:00-07:00E9-9673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9673.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9672.htmlNotice - Submission for OMB Review; Comment Request2009-04-29T00:00:00-07:002009-04-29T00:00:00-07:00E9-9672Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9672.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9671.htmlNotice - Submission for OMB Review; Comment Request2009-04-29T00:00:00-07:002009-04-29T00:00:00-07:00E9-9671Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9671.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9576.htmlNotice - William Blair & Company, L.L.C. and Wilblairco II, L.L.C.; Notice of Application2009-04-28T00:00:00-07:002009-04-28T00:00:00-07:00E9-9576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9576.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9573.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fee Change2009-04-28T00:00:00-07:002009-04-28T00:00:00-07:00E9-9573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9573.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9561.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing2009-04-28T00:00:00-07:002009-04-28T00:00:00-07:00E9-9561Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9561.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9560.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness by International Securities Exchange, LLC of a Proposed Rule Change To Amend Exchange Rules Related to Confirmations to Customers2009-04-28T00:00:00-07:002009-04-28T00:00:00-07:00E9-9560Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9560.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9559.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Non-Substantive, Technical Changes to FINRA Trade Reporting Rules Upon Implementation of SR-FINRA-2008-0112009-04-28T00:00:00-07:002009-04-28T00:00:00-07:00E9-9559Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9559.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9558.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Regarding Market Maker Obligations2009-04-28T00:00:00-07:002009-04-28T00:00:00-07:00E9-9558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9558.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9557.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Impose a Charge on Members With a Fail-to-Deliver in Treasury Securities2009-04-28T00:00:00-07:002009-04-28T00:00:00-07:00E9-9557Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9557.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9556.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules 13, 902, 903, 904, 905 and 906 To Eliminate Certain Order Types From the Off-Hours Trading Facility2009-04-28T00:00:00-07:002009-04-28T00:00:00-07:00E9-9556Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9556.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9555.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change as Modified by Amendments No. 2 and 3 Thereto To Modify the Fee for Connecting to a Nasdaq Data Center Over the Internet2009-04-28T00:00:00-07:002009-04-28T00:00:00-07:00E9-9555Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9555.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9554.htmlNotice - Proposed Extension of Existing Collection; Comment Request2009-04-28T00:00:00-07:002009-04-28T00:00:00-07:00E9-9554Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9554.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9402.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Implementing the NYSE Arca Realtime Reference Prices Service on a Permanent Basis2009-04-24T00:00:00-07:002009-04-24T00:00:00-07:00E9-9402Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9402.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9389.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc., Order Approving Proposed Rule Change Relating to the Nomination and Election of Candidates for Governor and Independent Governor2009-04-24T00:00:00-07:002009-04-24T00:00:00-07:00E9-9389Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9389.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9388.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Its Obvious Error Rules2009-04-24T00:00:00-07:002009-04-24T00:00:00-07:00E9-9388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9388.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9387.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Implementing NYSE Realtime Reference Price Service on a Permanent Basis2009-04-24T00:00:00-07:002009-04-24T00:00:00-07:00E9-9387Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9387.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9386.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook2009-04-24T00:00:00-07:002009-04-24T00:00:00-07:00E9-9386Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9386.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9385.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Listing and Trading of Shares of the ETFS Silver Trust2009-04-24T00:00:00-07:002009-04-24T00:00:00-07:00E9-9385Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9385.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9374.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments Involving Best Execution and Interpositioning2009-04-24T00:00:00-07:002009-04-24T00:00:00-07:00E9-9374Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9374.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9373.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish InterACT, a New Service, and Related Fees.2009-04-24T00:00:00-07:002009-04-24T00:00:00-07:00E9-9373Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9373.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9372.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 1010 (Electronic Filing Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook2009-04-24T00:00:00-07:002009-04-24T00:00:00-07:00E9-9372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9372.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9370.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.2009-04-24T00:00:00-07:002009-04-24T00:00:00-07:00E9-9370Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9370.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9367.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Amendment to Board Rules Relating to Inspections2009-04-24T00:00:00-07:002009-04-24T00:00:00-07:00E9-9367Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9367.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9418.htmlNotice - Act Manufacturing, Inc., Aerovox, Inc. (n/k/a New Bedford Capacitor, Inc.), Agility Capital, Inc., Air Water International Corp. (f/k/a Universal Communications Systems, Inc.), Allegiant Physician Services, Inc., and Alpha Microsystems, Inc. (n/k/a NQL, Inc.); Order of Suspension of Trading2009-04-23T00:00:00-07:002009-04-23T00:00:00-07:00E9-9418Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9418.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9314.htmlRule - Adoption of Updated EDGAR Filer Manual2009-04-23T00:00:00-07:002009-04-23T00:00:00-07:00E9-9314Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9314.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9241.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II2009-04-23T00:00:00-07:002009-04-23T00:00:00-07:00E9-9241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9241.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9240.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Adopt a Policy Relating to Its Treatment of Trade Reports That It Determines To Be Inconsistent With the Prevailing Market2009-04-23T00:00:00-07:002009-04-23T00:00:00-07:00E9-9240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9240.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9089.htmlRule - Technical Amendments to Rules, Forms, Schedules, and Codification of Financial Reporting Policies2009-04-23T00:00:00-07:002009-04-23T00:00:00-07:00E9-9089Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9089.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9239.htmlNotice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Settlement Service Guide and Settlement Progress Payments2009-04-22T00:00:00-07:002009-04-22T00:00:00-07:00E9-9239Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9239.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9203.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2009-04-22T00:00:00-07:002009-04-22T00:00:00-07:00E9-9203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9203.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9202.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; the NASDAQ Stock Market LLC; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Amend the Certificate of Incorporation of the NASDAQ OMX Group, Inc.2009-04-22T00:00:00-07:002009-04-22T00:00:00-07:00E9-9202Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9202.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9163.htmlNotice - Submission for OMB Review; Comment Requested2009-04-22T00:00:00-07:002009-04-22T00:00:00-07:00E9-9163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9163.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9162.htmlNotice - Submission for OMB Review; Comment Request2009-04-22T00:00:00-07:002009-04-22T00:00:00-07:00E9-9162Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9162.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9161.htmlNotice - Submission for OMB Review; Comment Request2009-04-22T00:00:00-07:002009-04-22T00:00:00-07:00E9-9161Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9161.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9160.htmlNotice - OMB Review; Comment Request2009-04-22T00:00:00-07:002009-04-22T00:00:00-07:00E9-9160Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9160.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9159.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities2009-04-22T00:00:00-07:002009-04-22T00:00:00-07:00E9-9159Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9159.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9157.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Adoption of FINRA Rule 2080 (Obtaining an Order of Expungement of Customer Dispute Information From the Central Registration Depository (CRD System)), FINRA Rule 2310 (Direct Participation Programs), FINRA Rule 4551 (Requirements for Alternative Trading Systems To Record and Transmit Order and Execution Information for Security Futures) and FINRA Rule 2266 (SIPC Information) in the Consolidated FINRA Rulebook2009-04-22T00:00:00-07:002009-04-22T00:00:00-07:00E9-9157Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9157.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9179.htmlNotice - Sunshine Act Meeting2009-04-21T00:00:00-07:002009-04-21T00:00:00-07:00E9-9179Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9179.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9059.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, To Expand the Definition of “TRACE-Eligible Security”2009-04-21T00:00:00-07:002009-04-21T00:00:00-07:00E9-9059Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9059.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9058.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2320 in the Consolidated FINRA Rulebook2009-04-21T00:00:00-07:002009-04-21T00:00:00-07:00E9-9058Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9058.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9057.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals2009-04-21T00:00:00-07:002009-04-21T00:00:00-07:00E9-9057Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9057.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9056.htmlNotice - ProShares Trust, et al.; Notice of Application2009-04-21T00:00:00-07:002009-04-21T00:00:00-07:00E9-9056Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9056.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8977.htmlProposed Rule - Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act2009-04-20T00:00:00-07:002009-04-20T00:00:00-07:00E9-8977Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8977.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8965.htmlNotice - Triangle Capital Corporation; Notice of Application2009-04-20T00:00:00-07:002009-04-20T00:00:00-07:00E9-8965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8965.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8964.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Fee Schedule2009-04-20T00:00:00-07:002009-04-20T00:00:00-07:00E9-8964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8964.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8963.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Accommodate the Clearance and Settlement of Metals Futures and Options on Metals Futures Traded on NYSE Liffe2009-04-20T00:00:00-07:002009-04-20T00:00:00-07:00E9-8963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8963.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8962.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change Relating to Changes to the Third Amended and Restated Limited Liability Company Operating Agreement of Direct Edge Holdings LLC2009-04-20T00:00:00-07:002009-04-20T00:00:00-07:00E9-8962Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8962.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8961.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing and Trading of the Safety First Trust Certificates Linked to the S&P 500® Index2009-04-20T00:00:00-07:002009-04-20T00:00:00-07:00E9-8961Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8961.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8960.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.62 To Offer WAIT Modifier, PNP Plus Orders and Allow the Use of Attributable Orders2009-04-20T00:00:00-07:002009-04-20T00:00:00-07:00E9-8960Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8960.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8886.htmlNotice - Order Approving Increase to Public Company Accounting Oversight Board Annual Accounting Support Fee for Calendar Year 20092009-04-20T00:00:00-07:002009-04-20T00:00:00-07:00E9-8886Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8886.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8879.htmlNotice - Submission for OMB Review; Comment Request2009-04-20T00:00:00-07:002009-04-20T00:00:00-07:00E9-8879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8879.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8878.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC and NYSE Alternext US LLC (n/k/a NYSE Amex LLC); Order Granting Approval of Proposed Rule Changes Amending Rule 123C to Provide the Exchanges with the Ability to Temporarily Suspend Certain Requirements Relating to the Closing of Securities on the Exchange2009-04-20T00:00:00-07:002009-04-20T00:00:00-07:00E9-8878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8878.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8877.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt IM-2830-1 (“Breakpoint” Sales) in the Consolidated FINRA Rulebook2009-04-20T00:00:00-07:002009-04-20T00:00:00-07:00E9-8877Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8877.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8876.htmlNotice - Submission for OMB Review; Comment Request2009-04-20T00:00:00-07:002009-04-20T00:00:00-07:00E9-8876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8876.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8730.htmlProposed Rule - Amendments to Regulation SHO2009-04-20T00:00:00-07:002009-04-20T00:00:00-07:00E9-8730Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8730.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/17/E9-8801.htmlRule - Staff Accounting Bulletin No. 1112009-04-17T00:00:00-07:002009-04-17T00:00:00-07:00E9-8801Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-17/pdf/E9-8801.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8829.htmlNotice - Poseidis, Inc.; Order of Suspension of Trading2009-04-16T00:00:00-07:002009-04-16T00:00:00-07:00E9-8829Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8829.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8737.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change Relating to Zero Bid Orders on the Boston Options Exchange Facility2009-04-16T00:00:00-07:002009-04-16T00:00:00-07:00E9-8737Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8737.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8732.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Rescinding NYSE Rule 110 Which Establishes the Role of Competitive Traders and Exchange Rule 107A Which Establishes the Role of the Registered Competitive Market Makers2009-04-16T00:00:00-07:002009-04-16T00:00:00-07:00E9-8732Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8732.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8704.htmlNotice - Roundtable on Oversight of Credit Rating Agencies2009-04-16T00:00:00-07:002009-04-16T00:00:00-07:00E9-8704Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8704.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8683.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Available an NYSE Amex Order Imbalance Information Datafeed as a Separate, Stand-Alone Market Data Product2009-04-16T00:00:00-07:002009-04-16T00:00:00-07:00E9-8683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8683.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8658.htmlNotice - Self-Regulatory Organizations; One Chicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Eliminating the $3 Market Price Maintenance Standard2009-04-16T00:00:00-07:002009-04-16T00:00:00-07:00E9-8658Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8658.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8657.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 975NY-Obvious Errors and Catastrophic Errors2009-04-16T00:00:00-07:002009-04-16T00:00:00-07:00E9-8657Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8657.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8656.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Expand TRACE To Include Agency Debt Securities and Primary Market Transactions2009-04-16T00:00:00-07:002009-04-16T00:00:00-07:00E9-8656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8656.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8655.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt Incorporated NYSE Rule 406 (Designation of Accounts) as a FINRA Rule in the Consolidated FINRA Rulebook2009-04-16T00:00:00-07:002009-04-16T00:00:00-07:00E9-8655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8655.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8589.htmlRule - Adoption of Updated EDGAR Filer Manual2009-04-16T00:00:00-07:002009-04-16T00:00:00-07:00E9-8589Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8589.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/15/E9-8743.htmlNotice - VoIP, Inc.; Order of Suspension of Trading2009-04-15T00:00:00-07:002009-04-15T00:00:00-07:00E9-8743Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-15/pdf/E9-8743.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8480.htmlNotice - Sunshine Act Meeting2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8480Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8480.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8429.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8429.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8428.htmlNotice - Blackrock International Growth and Income Trust, et al.; Notice of Application2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8428.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8427.htmlNotice - ING Investments, LLC, et al.; Notice of Application; Correction2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8427.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8426.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Incorporated NYSE Rules 2, 2A and 325 To Conform to Amendments Made by NYSE2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8426.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8425.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Lowering the Liquidity Rebate Amount That Direct Edge ECN Passes Through to Non-International Securities Exchange, LLC Members2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8425.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8424.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule Relating to Liquidity Adding Rebates2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8424.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8423.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA's Regulatory Notice on the FINRA Rule 9520 Series (Eligibility Proceedings)2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8423Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8423.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8422.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8422.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8421.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Fees Payable by Member Organizations for Which the Exchange Is the Designated Examining Authority2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8421Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8421.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8420.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Extended Hours Trading Risk Disclosure Obligation as New FINRA Rule 22652009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8420Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8420.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8419.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Amend Rule 6.69-Reporting Duties2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8419Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8419.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8418.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing a New Transaction Fee for Floor Brokers2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8418Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8418.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8417.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8417Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8417.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8416.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Reduce Fees for NASDAQ Basic Data Feeds2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8416Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8416.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8415.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Revised Liquidity Credits for Supplemental Liquidity Providers2009-04-14T00:00:00-07:002009-04-14T00:00:00-07:00E9-8415Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8415.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/13/E9-8326.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to SPDR Barclays Capital Convertible Bond ETF2009-04-13T00:00:00-07:002009-04-13T00:00:00-07:00E9-8326Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-13/pdf/E9-8326.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/13/E9-8325.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center2009-04-13T00:00:00-07:002009-04-13T00:00:00-07:00E9-8325Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-13/pdf/E9-8325.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/13/E9-8324.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Option Floor Broker Subsidy2009-04-13T00:00:00-07:002009-04-13T00:00:00-07:00E9-8324Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-13/pdf/E9-8324.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/13/E9-8323.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.2009-04-13T00:00:00-07:002009-04-13T00:00:00-07:00E9-8323Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-13/pdf/E9-8323.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/10/E9-8332.htmlNotice - All Line, Inc.; Order of Suspension of Trading2009-04-10T00:00:00-07:002009-04-10T00:00:00-07:00E9-8332Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-10/pdf/E9-8332.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/10/E9-8147.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Options Transactions Charge for Customer Executions and To Remove the Per Trade Per Side Fee Cap in U.S. Dollar-Settled Foreign Currency Options2009-04-10T00:00:00-07:002009-04-10T00:00:00-07:00E9-8147Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-10/pdf/E9-8147.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8068.htmlNotice - Phoenix Life Insurance Company, et al.; Notice of Application2009-04-09T00:00:00-07:002009-04-09T00:00:00-07:00E9-8068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-8068.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8067.htmlNotice - Proposed Collection; Comment Request2009-04-09T00:00:00-07:002009-04-09T00:00:00-07:00E9-8067Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-8067.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8066.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Quoting Obligations of Second Market Competitive Market Makers2009-04-09T00:00:00-07:002009-04-09T00:00:00-07:00E9-8066Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-8066.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8002.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Amend its Rules Prohibiting Members From Functioning as Market Makers2009-04-09T00:00:00-07:002009-04-09T00:00:00-07:00E9-8002Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-8002.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8001.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto To Amend the By-Laws, Rules and Option Floor Procedure Advices of NASDAQ OMX PHLX, Inc.2009-04-09T00:00:00-07:002009-04-09T00:00:00-07:00E9-8001Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-8001.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8000.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 Fees2009-04-09T00:00:00-07:002009-04-09T00:00:00-07:00E9-8000Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-8000.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/09/E9-7998.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Cancellation Fees2009-04-09T00:00:00-07:002009-04-09T00:00:00-07:00E9-7998Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-7998.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7978.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws2009-04-08T00:00:00-07:002009-04-08T00:00:00-07:00E9-7978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7978.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7977.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Implement a Maturity Presentment Pend Function to Replace the Maturity Presentment Contingency System2009-04-08T00:00:00-07:002009-04-08T00:00:00-07:00E9-7977Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7977.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7976.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, LLC Relating to Amending the Direct Edge ECN Fee Schedule Applicable to International Securities Exchange Members2009-04-08T00:00:00-07:002009-04-08T00:00:00-07:00E9-7976Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7976.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7975.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, LLC Relating to Amending the Fee Schedule2009-04-08T00:00:00-07:002009-04-08T00:00:00-07:00E9-7975Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7975.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7974.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Close of Trading Hours on the Last Day of Trading in Expiring Quarterly Index Expirations2009-04-08T00:00:00-07:002009-04-08T00:00:00-07:00E9-7974Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7974.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7973.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Formally Adopting and Codifying Its Wireless Data Communications Initiatives2009-04-08T00:00:00-07:002009-04-08T00:00:00-07:00E9-7973Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7973.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7929.htmlNotice - Sunshine Act Meeting2009-04-08T00:00:00-07:002009-04-08T00:00:00-07:00E9-7929Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7929.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7871.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Modify Its Annual Report Distribution Requirements2009-04-08T00:00:00-07:002009-04-08T00:00:00-07:00E9-7871Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7871.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7870.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Extend Until August 31, 2009, the Application of the NYSE Arca Transfer Standard2009-04-08T00:00:00-07:002009-04-08T00:00:00-07:00E9-7870Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7870.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7869.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System2009-04-08T00:00:00-07:002009-04-08T00:00:00-07:00E9-7869Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7869.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7868.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Implementing a Cap on Vendors' Administrative Charges for NYSE OpenBook2009-04-08T00:00:00-07:002009-04-08T00:00:00-07:00E9-7868Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7868.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7866.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules2009-04-08T00:00:00-07:002009-04-08T00:00:00-07:00E9-7866Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7866.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7865.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Increasing Linkage Inbound Principal Orders and Principal Acting as Agent Orders2009-04-08T00:00:00-07:002009-04-08T00:00:00-07:00E9-7865Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7865.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7984.htmlNotice - In the Matter of Xino Corp. (n/k/a Asher Xino Corp.), Xstream Mobile Solutions Corp., Yellowbubble.com, Inc. (n/k/a Reality Racing, Inc.), Yes! Entertainment Corp., and Yifan Communications, Inc.; Order of Suspension of Trading2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7984Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7984.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7848.htmlNotice - Sunshine Act Meeting2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7848Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7848.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7836.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Market Data Fees2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7836Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7836.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7834.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change 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”2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7834Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7834.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7833.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of “Primary Market”2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7833Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7833.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7832.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Transaction Fees for the New York Block Exchange2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7832Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7832.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7831.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Deleting Rule 936C, Cancellation and Adjustment of Index Option Transactions2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7831Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7831.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7778.htmlRule - Interactive Data To Improve Financial Reporting2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7778Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7778.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7776.htmlNotice - Bridgeway Capital Management, Inc.; Notice of Application2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7776Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7776.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7775.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Leverage Factor Applicable to the MacroShares Major Metro Housing Trusts2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7775.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7774.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Flexibly Structured Options2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7774Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7774.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7773.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Tolling Provisions in Rules 12206 and 13206 of the Codes of Arbitration Procedure for Customer and Industry Disputes2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7773Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7773.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7732.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Equities Rule 48.10 To Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange To Declare an Extreme Market Volatility Condition and Suspend Certain Exchange Requirements Relating to the Closing of Securities at the Exchange2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7732Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7732.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7711.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 48.10 To Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange To Declare an Extreme Market Volatility Condition and Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7711Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7711.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7710.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Commodity Options2009-04-07T00:00:00-07:002009-04-07T00:00:00-07:00E9-7710Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7710.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7817.htmlNotice - In the Matter of FCS Laboratories, Inc., Federal Resources Corp., Filene's Basement Corp. (n/k/a FBC Distribution Corp.), and Film & Music Entertainment, Inc.; Order of Suspension of Trading2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7817.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7816.htmlNotice - In the Matter of Aegis Consumer Funding Group, Inc., APS Holding Corp., Childrobics, Inc., Churchill Technology, Inc., Complete Management, Inc., Dakota Mining Corp., Digital Communications Technology Corp., Global Intellicom, Inc., Horn Silver Mines, Inc., TCC Industries, Inc., and Tenney Engineering, Inc.; Order of Suspension of Trading2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7816.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7663.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposal To List and Trade S&P 500 Dividend Index Options2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7663Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7663.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7662.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending to September 1, 2009, the Operative Date of New York Stock Exchange Rule 2 Requirement That NYSE-Only Member Organizations Apply for and be Approved as a Member of the Financial Industry Regulatory Authority, Inc.2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7662Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7662.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7631.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market Through July 19, 20092009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7631.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7630.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions and Restructuring of the NASDAQ Listing Rules2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7630Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7630.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7628.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 2 Thereto To Extend the Pilot Program for NYSE Arca Realtime Reference Prices Service2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7628.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7605.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Amending Its Schedule of Fees and Charges for Exchange Services2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7605Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7605.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7591.htmlNotice - First American Strategy Funds, Inc., et al.; Notice of Application2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7591Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7591.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7590.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Alternext US LLC, as Modified by Amendment No. 1, Changing Certain NYSE Amex Equities Rules To Conform Them With Changes to Corresponding Rules Submitted in a Companion Filing by the New York Stock Exchange LLC2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7590Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7590.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7589.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC, as Modified by Amendment No. 2, Changing Certain NYSE Rules and Rule Interpretations To Harmonize Them With Changes to Corresponding Rules Recently Filed by the Financial Industry Regulatory Authority, Inc.2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7589Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7589.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7588.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Allowing Entry of Orders Into the PIP at a Price Matching the National Best Bid or Offer2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7588Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7588.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7587.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Extend the Pilot Period for the NYSE Realtime Reference Prices Pilot Program2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7587Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7587.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7586.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Program for NASDAQ Last Sale Data Feeds and To Reduce the Monthly Cap on Fees2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7586Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7586.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7585.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Grail American Beacon Large Cap Value ETF2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7585Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7585.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7584.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. To Adopt a Policy With Respect to the Treatment of Aberrant Trades2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7584Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7584.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7583.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to the Establishment of a Pilot Phase of Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access system (EMMA®)2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7583Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7583.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7582.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending the Option Trading Rules in Order To Extend the Penny Pilot Program2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7582Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7582.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7581.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Schedule of Fees2009-04-06T00:00:00-07:002009-04-06T00:00:00-07:00E9-7581Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7581.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/03/E9-7646.htmlNotice - In the Matter of Continan Communications, Inc.; Order of Suspension of Trading2009-04-03T00:00:00-07:002009-04-03T00:00:00-07:00E9-7646Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-03/pdf/E9-7646.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/03/E9-7477.htmlNotice - Sunshine Act Meeting2009-04-03T00:00:00-07:002009-04-03T00:00:00-07:00E9-7477Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-03/pdf/E9-7477.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/03/E9-7458.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402009-04-03T00:00:00-07:002009-04-03T00:00:00-07:00E9-7458Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-03/pdf/E9-7458.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7410.htmlNotice - Joint Industry Plan; Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc.; Notice of Filing of Proposed Options Order Protection and Locked/Crossed Market Plan2009-04-02T00:00:00-07:002009-04-02T00:00:00-07:00E9-7410Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7410.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7409.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Permit Fees2009-04-02T00:00:00-07:002009-04-02T00:00:00-07:00E9-7409Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7409.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7408.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program on the Boston Options Exchange Facility2009-04-02T00:00:00-07:002009-04-02T00:00:00-07:00E9-7408Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7408.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7371.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Penny Pilot Program2009-04-02T00:00:00-07:002009-04-02T00:00:00-07:00E9-7371Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7371.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7370.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Option Trading Rules in Order To Extend the Penny Pilot Program2009-04-02T00:00:00-07:002009-04-02T00:00:00-07:00E9-7370Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7370.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7356.htmlNotice - Submission for OMB Review; Comment Request2009-04-02T00:00:00-07:002009-04-02T00:00:00-07:00E9-7356Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7356.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7355.htmlNotice - Submission for OMB Review; Comment Request2009-04-02T00:00:00-07:002009-04-02T00:00:00-07:00E9-7355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7355.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7354.htmlNotice - Submission for OMB Review; Comment Request2009-04-02T00:00:00-07:002009-04-02T00:00:00-07:00E9-7354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7354.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7353.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Accelerated Approval of Proposed Rule Change Relating to Reduction of Certain Order Handling and Exposure Periods on the Boston Options Exchange Facility From Three Seconds to One Second2009-04-02T00:00:00-07:002009-04-02T00:00:00-07:00E9-7353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7353.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7352.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Penny Pilot Program2009-04-02T00:00:00-07:002009-04-02T00:00:00-07:00E9-7352Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7352.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7351.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program2009-04-02T00:00:00-07:002009-04-02T00:00:00-07:00E9-7351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7351.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7340.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to the Establishment of a Primary Market Disclosure Service and Trade Price Transparency Service of the Electronic Municipal Market Access System (EMMA®) and Amendments to MSRB Rules G-32 and G-362009-04-02T00:00:00-07:002009-04-02T00:00:00-07:00E9-7340Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7340.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7397.htmlNotice - In the Matter of Order of Suspension of Trading Global Matrechs, Inc.2009-04-01T00:00:00-07:002009-04-01T00:00:00-07:00E9-7397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-01/pdf/E9-7397.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7291.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Extend the Options Penny Pilot for The NASDAQ Options Market2009-04-01T00:00:00-07:002009-04-01T00:00:00-07:00E9-7291Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-01/pdf/E9-7291.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7228.htmlNotice - Sunshine Act Meeting2009-04-01T00:00:00-07:002009-04-01T00:00:00-07:00E9-7228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-01/pdf/E9-7228.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7217.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Formally Adopting and Codifying Its Wireless Data Communications Initiatives2009-04-01T00:00:00-07:002009-04-01T00:00:00-07:00E9-7217Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-01/pdf/E9-7217.pdfhttps://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7214.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Wireless Data Communications Initiatives and Codifying the Wireless Policy2009-04-01T00:00:00-07:002009-04-01T00:00:00-07:00E9-7214Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-04-01/pdf/E9-7214.pdf