<![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, 20 May 2024 12:17:39 -0700 Mon, 20 May 2024 12:17:39 -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