<![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/2009/04?registers=between&min-day=1&max-day=30 Mon, 06 May 2024 19:59:14 -0700 Mon, 06 May 2024 19:59:14 -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/2009/04?registers=between&min-day=1&max-day=30 Notice - Pax Clean Energy, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/04/30/E9-10035.html https://regulations.justia.com/regulations/fedreg/2009/04/30/E9-10035.html Thu, 30 Apr 2009 00:00:00 -0700 E9-10035 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-30/pdf/E9-10035.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9879.html https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9879.html Wed, 29 Apr 2009 00:00:00 -0700 E9-9879 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9879.pdf Notice - 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 Reports https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9820.html https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9820.html Wed, 29 Apr 2009 00:00:00 -0700 E9-9820 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9820.pdf Notice - 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®) https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9819.html https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9819.html Wed, 29 Apr 2009 00:00:00 -0700 E9-9819 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9819.pdf Notice - 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 Reports https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9818.html https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9818.html Wed, 29 Apr 2009 00:00:00 -0700 E9-9818 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9818.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9749.html https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9749.html Wed, 29 Apr 2009 00:00:00 -0700 E9-9749 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9749.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9704.html https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9704.html Wed, 29 Apr 2009 00:00:00 -0700 E9-9704 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9704.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9673.html https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9673.html Wed, 29 Apr 2009 00:00:00 -0700 E9-9673 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9673.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9672.html https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9672.html Wed, 29 Apr 2009 00:00:00 -0700 E9-9672 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9672.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9671.html https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9671.html Wed, 29 Apr 2009 00:00:00 -0700 E9-9671 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9671.pdf Notice - William Blair & Company, L.L.C. and Wilblairco II, L.L.C.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9576.html https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9576.html Tue, 28 Apr 2009 00:00:00 -0700 E9-9576 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9576.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fee Change https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9573.html https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9573.html Tue, 28 Apr 2009 00:00:00 -0700 E9-9573 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9573.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9561.html https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9561.html Tue, 28 Apr 2009 00:00:00 -0700 E9-9561 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9561.pdf Notice - 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 Customers https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9560.html https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9560.html Tue, 28 Apr 2009 00:00:00 -0700 E9-9560 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9560.pdf Notice - 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-2008-011 https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9559.html https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9559.html Tue, 28 Apr 2009 00:00:00 -0700 E9-9559 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9559.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Regarding Market Maker Obligations https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9558.html https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9558.html Tue, 28 Apr 2009 00:00:00 -0700 E9-9558 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9558.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9557.html https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9557.html Tue, 28 Apr 2009 00:00:00 -0700 E9-9557 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9557.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9556.html https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9556.html Tue, 28 Apr 2009 00:00:00 -0700 E9-9556 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9556.pdf Notice - 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 Internet https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9555.html https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9555.html Tue, 28 Apr 2009 00:00:00 -0700 E9-9555 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9555.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9554.html https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9554.html Tue, 28 Apr 2009 00:00:00 -0700 E9-9554 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9554.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Implementing the NYSE Arca Realtime Reference Prices Service on a Permanent Basis https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9402.html https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9402.html Fri, 24 Apr 2009 00:00:00 -0700 E9-9402 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9402.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc., Order Approving Proposed Rule Change Relating to the Nomination and Election of Candidates for Governor and Independent Governor https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9389.html https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9389.html Fri, 24 Apr 2009 00:00:00 -0700 E9-9389 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9389.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Its Obvious Error Rules https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9388.html https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9388.html Fri, 24 Apr 2009 00:00:00 -0700 E9-9388 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9388.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Implementing NYSE Realtime Reference Price Service on a Permanent Basis https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9387.html https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9387.html Fri, 24 Apr 2009 00:00:00 -0700 E9-9387 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9387.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9386.html https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9386.html Fri, 24 Apr 2009 00:00:00 -0700 E9-9386 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9386.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9385.html https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9385.html Fri, 24 Apr 2009 00:00:00 -0700 E9-9385 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9385.pdf Notice - 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 Interpositioning https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9374.html https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9374.html Fri, 24 Apr 2009 00:00:00 -0700 E9-9374 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9374.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9373.html https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9373.html Fri, 24 Apr 2009 00:00:00 -0700 E9-9373 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9373.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9372.html https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9372.html Fri, 24 Apr 2009 00:00:00 -0700 E9-9372 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9372.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/2009/04/24/E9-9370.html https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9370.html Fri, 24 Apr 2009 00:00:00 -0700 E9-9370 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9370.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Amendment to Board Rules Relating to Inspections https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9367.html https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9367.html Fri, 24 Apr 2009 00:00:00 -0700 E9-9367 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9367.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9418.html https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9418.html Thu, 23 Apr 2009 00:00:00 -0700 E9-9418 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9418.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9314.html https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9314.html Thu, 23 Apr 2009 00:00:00 -0700 E9-9314 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9314.pdf Notice - 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 II https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9241.html https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9241.html Thu, 23 Apr 2009 00:00:00 -0700 E9-9241 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9241.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9240.html https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9240.html Thu, 23 Apr 2009 00:00:00 -0700 E9-9240 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9240.pdf Rule - Technical Amendments to Rules, Forms, Schedules, and Codification of Financial Reporting Policies https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9089.html https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9089.html Thu, 23 Apr 2009 00:00:00 -0700 E9-9089 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9089.pdf Notice - 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 Payments https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9239.html https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9239.html Wed, 22 Apr 2009 00:00:00 -0700 E9-9239 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9239.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/2009/04/22/E9-9203.html https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9203.html Wed, 22 Apr 2009 00:00:00 -0700 E9-9203 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9203.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9202.html https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9202.html Wed, 22 Apr 2009 00:00:00 -0700 E9-9202 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9202.pdf Notice - Submission for OMB Review; Comment Requested https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9163.html https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9163.html Wed, 22 Apr 2009 00:00:00 -0700 E9-9163 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9163.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9162.html https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9162.html Wed, 22 Apr 2009 00:00:00 -0700 E9-9162 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9162.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9161.html https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9161.html Wed, 22 Apr 2009 00:00:00 -0700 E9-9161 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9161.pdf Notice - OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9160.html https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9160.html Wed, 22 Apr 2009 00:00:00 -0700 E9-9160 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9160.pdf Notice - 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 Annuities https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9159.html https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9159.html Wed, 22 Apr 2009 00:00:00 -0700 E9-9159 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9159.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9157.html https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9157.html Wed, 22 Apr 2009 00:00:00 -0700 E9-9157 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9157.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9179.html https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9179.html Tue, 21 Apr 2009 00:00:00 -0700 E9-9179 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9179.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9059.html https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9059.html Tue, 21 Apr 2009 00:00:00 -0700 E9-9059 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9059.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2320 in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9058.html https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9058.html Tue, 21 Apr 2009 00:00:00 -0700 E9-9058 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9058.pdf Notice - 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 Professionals https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9057.html https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9057.html Tue, 21 Apr 2009 00:00:00 -0700 E9-9057 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9057.pdf Notice - ProShares Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9056.html https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9056.html Tue, 21 Apr 2009 00:00:00 -0700 E9-9056 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9056.pdf Proposed Rule - Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8977.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8977.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8977 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8977.pdf Notice - Triangle Capital Corporation; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8965.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8965.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8965 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8965.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Fee Schedule https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8964.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8964.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8964 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8964.pdf Notice - 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 Liffe https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8963.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8963.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8963 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8963.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8962.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8962.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8962 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8962.pdf Notice - 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® Index https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8961.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8961.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8961 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8961.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8960.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8960.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8960 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8960.pdf Notice - Order Approving Increase to Public Company Accounting Oversight Board Annual Accounting Support Fee for Calendar Year 2009 https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8886.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8886.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8886 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8886.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8879.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8879.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8879 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8879.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8878.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8878.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8878 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8878.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8877.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8877.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8877 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8877.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8876.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8876.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8876 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8876.pdf Proposed Rule - Amendments to Regulation SHO https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8730.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8730.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8730 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8730.pdf Rule - Staff Accounting Bulletin No. 111 https://regulations.justia.com/regulations/fedreg/2009/04/17/E9-8801.html https://regulations.justia.com/regulations/fedreg/2009/04/17/E9-8801.html Fri, 17 Apr 2009 00:00:00 -0700 E9-8801 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-04-17/pdf/E9-8801.pdf Notice - Poseidis, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8829.html https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8829.html Thu, 16 Apr 2009 00:00:00 -0700 E9-8829 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8829.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change Relating to Zero Bid Orders on the Boston Options Exchange Facility https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8737.html https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8737.html Thu, 16 Apr 2009 00:00:00 -0700 E9-8737 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8737.pdf Notice - 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 Makers https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8732.html https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8732.html Thu, 16 Apr 2009 00:00:00 -0700 E9-8732 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8732.pdf Notice - Roundtable on Oversight of Credit Rating Agencies https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8704.html https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8704.html Thu, 16 Apr 2009 00:00:00 -0700 E9-8704 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8704.pdf Notice - 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 Product https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8683.html https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8683.html Thu, 16 Apr 2009 00:00:00 -0700 E9-8683 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8683.pdf Notice - Self-Regulatory Organizations; One Chicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Eliminating the $3 Market Price Maintenance Standard https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8658.html https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8658.html Thu, 16 Apr 2009 00:00:00 -0700 E9-8658 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8658.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 975NY-Obvious Errors and Catastrophic Errors https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8657.html https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8657.html Thu, 16 Apr 2009 00:00:00 -0700 E9-8657 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8657.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8656.html https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8656.html Thu, 16 Apr 2009 00:00:00 -0700 E9-8656 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8656.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8655.html https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8655.html Thu, 16 Apr 2009 00:00:00 -0700 E9-8655 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8655.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8589.html https://regulations.justia.com/regulations/fedreg/2009/04/16/E9-8589.html Thu, 16 Apr 2009 00:00:00 -0700 E9-8589 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-04-16/pdf/E9-8589.pdf Notice - VoIP, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/04/15/E9-8743.html https://regulations.justia.com/regulations/fedreg/2009/04/15/E9-8743.html Wed, 15 Apr 2009 00:00:00 -0700 E9-8743 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-15/pdf/E9-8743.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8480.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8480.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8480 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8480.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8429.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8429.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8429 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8429.pdf Notice - Blackrock International Growth and Income Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8428.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8428.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8428 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8428.pdf Notice - ING Investments, LLC, et al.; Notice of Application; Correction https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8427.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8427.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8427 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8427.pdf Notice - 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 NYSE https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8426.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8426.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8426 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8426.pdf Notice - 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 Members https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8425.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8425.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8425 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8425.pdf Notice - 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 Rebates https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8424.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8424.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8424 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8424.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8423.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8423.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8423 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8423.pdf Notice - 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 II https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8422.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8422.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8422 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8422.pdf Notice - 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 Authority https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8421.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8421.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8421 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8421.pdf Notice - 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 2265 https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8420.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8420.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8420 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8420.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Amend Rule 6.69-Reporting Duties https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8419.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8419.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8419 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8419.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing a New Transaction Fee for Floor Brokers https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8418.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8418.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8418 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8418.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8417.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8417.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8417 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8417.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Reduce Fees for NASDAQ Basic Data Feeds https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8416.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8416.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8416 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8416.pdf Notice - 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 Providers https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8415.html https://regulations.justia.com/regulations/fedreg/2009/04/14/E9-8415.html Tue, 14 Apr 2009 00:00:00 -0700 E9-8415 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-14/pdf/E9-8415.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to SPDR Barclays Capital Convertible Bond ETF https://regulations.justia.com/regulations/fedreg/2009/04/13/E9-8326.html https://regulations.justia.com/regulations/fedreg/2009/04/13/E9-8326.html Mon, 13 Apr 2009 00:00:00 -0700 E9-8326 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-13/pdf/E9-8326.pdf Notice - 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 Center https://regulations.justia.com/regulations/fedreg/2009/04/13/E9-8325.html https://regulations.justia.com/regulations/fedreg/2009/04/13/E9-8325.html Mon, 13 Apr 2009 00:00:00 -0700 E9-8325 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-13/pdf/E9-8325.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Option Floor Broker Subsidy https://regulations.justia.com/regulations/fedreg/2009/04/13/E9-8324.html https://regulations.justia.com/regulations/fedreg/2009/04/13/E9-8324.html Mon, 13 Apr 2009 00:00:00 -0700 E9-8324 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-13/pdf/E9-8324.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/2009/04/13/E9-8323.html https://regulations.justia.com/regulations/fedreg/2009/04/13/E9-8323.html Mon, 13 Apr 2009 00:00:00 -0700 E9-8323 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-13/pdf/E9-8323.pdf Notice - All Line, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/04/10/E9-8332.html https://regulations.justia.com/regulations/fedreg/2009/04/10/E9-8332.html Fri, 10 Apr 2009 00:00:00 -0700 E9-8332 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-10/pdf/E9-8332.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2009/04/10/E9-8147.html https://regulations.justia.com/regulations/fedreg/2009/04/10/E9-8147.html Fri, 10 Apr 2009 00:00:00 -0700 E9-8147 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-10/pdf/E9-8147.pdf Notice - Phoenix Life Insurance Company, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8068.html https://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8068.html Thu, 09 Apr 2009 00:00:00 -0700 E9-8068 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-8068.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8067.html https://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8067.html Thu, 09 Apr 2009 00:00:00 -0700 E9-8067 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-8067.pdf Notice - 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 Makers https://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8066.html https://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8066.html Thu, 09 Apr 2009 00:00:00 -0700 E9-8066 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-8066.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Amend its Rules Prohibiting Members From Functioning as Market Makers https://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8002.html https://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8002.html Thu, 09 Apr 2009 00:00:00 -0700 E9-8002 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-8002.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8001.html https://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8001.html Thu, 09 Apr 2009 00:00:00 -0700 E9-8001 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-8001.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/2009/04/09/E9-8000.html https://regulations.justia.com/regulations/fedreg/2009/04/09/E9-8000.html Thu, 09 Apr 2009 00:00:00 -0700 E9-8000 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-8000.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Cancellation Fees https://regulations.justia.com/regulations/fedreg/2009/04/09/E9-7998.html https://regulations.justia.com/regulations/fedreg/2009/04/09/E9-7998.html Thu, 09 Apr 2009 00:00:00 -0700 E9-7998 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-09/pdf/E9-7998.pdf Notice - 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-Laws https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7978.html https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7978.html Wed, 08 Apr 2009 00:00:00 -0700 E9-7978 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7978.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7977.html https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7977.html Wed, 08 Apr 2009 00:00:00 -0700 E9-7977 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7977.pdf Notice - 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 Members https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7976.html https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7976.html Wed, 08 Apr 2009 00:00:00 -0700 E9-7976 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7976.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, LLC Relating to Amending the Fee Schedule https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7975.html https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7975.html Wed, 08 Apr 2009 00:00:00 -0700 E9-7975 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7975.pdf Notice - 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 Expirations https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7974.html https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7974.html Wed, 08 Apr 2009 00:00:00 -0700 E9-7974 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7974.pdf Notice - 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 Initiatives https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7973.html https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7973.html Wed, 08 Apr 2009 00:00:00 -0700 E9-7973 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7973.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7929.html https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7929.html Wed, 08 Apr 2009 00:00:00 -0700 E9-7929 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7929.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Modify Its Annual Report Distribution Requirements https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7871.html https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7871.html Wed, 08 Apr 2009 00:00:00 -0700 E9-7871 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7871.pdf Notice - 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 Standard https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7870.html https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7870.html Wed, 08 Apr 2009 00:00:00 -0700 E9-7870 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7870.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7869.html https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7869.html Wed, 08 Apr 2009 00:00:00 -0700 E9-7869 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7869.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Implementing a Cap on Vendors' Administrative Charges for NYSE OpenBook https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7868.html https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7868.html Wed, 08 Apr 2009 00:00:00 -0700 E9-7868 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7868.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7866.html https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7866.html Wed, 08 Apr 2009 00:00:00 -0700 E9-7866 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7866.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7865.html https://regulations.justia.com/regulations/fedreg/2009/04/08/E9-7865.html Wed, 08 Apr 2009 00:00:00 -0700 E9-7865 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-08/pdf/E9-7865.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7984.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7984.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7984 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7984.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7848.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7848.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7848 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7848.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Market Data Fees https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7836.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7836.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7836 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7836.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7834.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7834.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7834 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7834.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of “Primary Market” https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7833.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7833.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7833 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7833.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7832.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7832.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7832 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7832.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7831.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7831.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7831 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7831.pdf Rule - Interactive Data To Improve Financial Reporting https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7778.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7778.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7778 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7778.pdf Notice - Bridgeway Capital Management, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7776.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7776.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7776 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7776.pdf Notice - 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 Trusts https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7775.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7775.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7775 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7775.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Flexibly Structured Options https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7774.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7774.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7774 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7774.pdf Notice - 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 Disputes https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7773.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7773.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7773 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7773.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7732.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7732.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7732 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7732.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 48.10 To Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange To Declare an Extreme Market Volatility Condition and Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7711.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7711.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7711 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7711.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Commodity Options https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7710.html https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7710.html Tue, 07 Apr 2009 00:00:00 -0700 E9-7710 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-07/pdf/E9-7710.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7817.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7817.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7817 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7817.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7816.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7816.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7816 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7816.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposal To List and Trade S&P 500 Dividend Index Options https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7663.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7663.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7663 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7663.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7662.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7662.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7662 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7662.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market Through July 19, 2009 https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7631.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7631.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7631 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7631.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7630.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7630.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7630 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7630.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7628.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7628.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7628 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7628.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7605.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7605.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7605 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7605.pdf Notice - First American Strategy Funds, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7591.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7591.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7591 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7591.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7590.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7590.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7590 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7590.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7589.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7589.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7589 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7589.pdf Notice - 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 Offer https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7588.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7588.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7588 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7588.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7587.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7587.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7587 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7587.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Program for NASDAQ Last Sale Data Feeds and To Reduce the Monthly Cap on Fees https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7586.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7586.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7586 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7586.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7585.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7585.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7585 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7585.pdf Notice - 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 Trades https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7584.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7584.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7584 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7584.pdf Notice - 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®) https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7583.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7583.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7583 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7583.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7582.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7582.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7582 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7582.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7581.html https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7581.html Mon, 06 Apr 2009 00:00:00 -0700 E9-7581 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-06/pdf/E9-7581.pdf Notice - In the Matter of Continan Communications, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/04/03/E9-7646.html https://regulations.justia.com/regulations/fedreg/2009/04/03/E9-7646.html Fri, 03 Apr 2009 00:00:00 -0700 E9-7646 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-03/pdf/E9-7646.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/04/03/E9-7477.html https://regulations.justia.com/regulations/fedreg/2009/04/03/E9-7477.html Fri, 03 Apr 2009 00:00:00 -0700 E9-7477 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-03/pdf/E9-7477.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2009/04/03/E9-7458.html https://regulations.justia.com/regulations/fedreg/2009/04/03/E9-7458.html Fri, 03 Apr 2009 00:00:00 -0700 E9-7458 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-03/pdf/E9-7458.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7410.html https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7410.html Thu, 02 Apr 2009 00:00:00 -0700 E9-7410 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7410.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Permit Fees https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7409.html https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7409.html Thu, 02 Apr 2009 00:00:00 -0700 E9-7409 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7409.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7408.html https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7408.html Thu, 02 Apr 2009 00:00:00 -0700 E9-7408 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7408.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7371.html https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7371.html Thu, 02 Apr 2009 00:00:00 -0700 E9-7371 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7371.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7370.html https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7370.html Thu, 02 Apr 2009 00:00:00 -0700 E9-7370 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7370.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7356.html https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7356.html Thu, 02 Apr 2009 00:00:00 -0700 E9-7356 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7356.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7355.html https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7355.html Thu, 02 Apr 2009 00:00:00 -0700 E9-7355 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7355.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7354.html https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7354.html Thu, 02 Apr 2009 00:00:00 -0700 E9-7354 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7354.pdf Notice - 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 Second https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7353.html https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7353.html Thu, 02 Apr 2009 00:00:00 -0700 E9-7353 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7353.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7352.html https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7352.html Thu, 02 Apr 2009 00:00:00 -0700 E9-7352 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7352.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7351.html https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7351.html Thu, 02 Apr 2009 00:00:00 -0700 E9-7351 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7351.pdf Notice - 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-36 https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7340.html https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7340.html Thu, 02 Apr 2009 00:00:00 -0700 E9-7340 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-02/pdf/E9-7340.pdf Notice - In the Matter of Order of Suspension of Trading Global Matrechs, Inc. https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7397.html https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7397.html Wed, 01 Apr 2009 00:00:00 -0700 E9-7397 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-01/pdf/E9-7397.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7291.html https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7291.html Wed, 01 Apr 2009 00:00:00 -0700 E9-7291 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-01/pdf/E9-7291.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7228.html https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7228.html Wed, 01 Apr 2009 00:00:00 -0700 E9-7228 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-01/pdf/E9-7228.pdf Notice - 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 Initiatives https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7217.html https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7217.html Wed, 01 Apr 2009 00:00:00 -0700 E9-7217 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-01/pdf/E9-7217.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7214.html https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7214.html Wed, 01 Apr 2009 00:00:00 -0700 E9-7214 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-01/pdf/E9-7214.pdf