<![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/2009/05/14?registers=between Sun, 22 Jun 2025 23:39:39 -0700 Sun, 22 Jun 2025 23:39:39 -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/2009/05/14?registers=between Notice - In the Matter of: Fortel, Inc., Now Known as Envit Capital Group, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11393.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11393.html Thu, 14 May 2009 00:00:00 -0700 E9-11393 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11393.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11380.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11380.html Thu, 14 May 2009 00:00:00 -0700 E9-11380 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11380.pdf Notice - Pacific Investment Management Company LLC and PIMCO ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11301.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11301.html Thu, 14 May 2009 00:00:00 -0700 E9-11301 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11301.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/2009/05/14/E9-11264.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11264.html Thu, 14 May 2009 00:00:00 -0700 E9-11264 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11264.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11263.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11263.html Thu, 14 May 2009 00:00:00 -0700 E9-11263 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11263.pdf Notice - Flaherty & Crumrine Preferred Income Fund Incorporated, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11234.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11234.html Thu, 14 May 2009 00:00:00 -0700 E9-11234 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11234.pdf Notice - Cohen & Steers Advantage Income Realty Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11233.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11233.html Thu, 14 May 2009 00:00:00 -0700 E9-11233 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11233.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11232.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11232.html Thu, 14 May 2009 00:00:00 -0700 E9-11232 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11232.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/2009/05/14/E9-11231.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11231.html Thu, 14 May 2009 00:00:00 -0700 E9-11231 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11231.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, by the International Securities Exchange, LLC Relating to Amending the Direct Edge ECN Fee Schedule To Increase the Super Tier Rebate in Securities Reported To Tape A and Tape C https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11230.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11230.html Thu, 14 May 2009 00:00:00 -0700 E9-11230 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11230.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 the Amounts That Direct Edge ECN, in Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11229.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11229.html Thu, 14 May 2009 00:00:00 -0700 E9-11229 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11229.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete All References in the NYSE Rule Book to “Alternext” and “Alternext US” and Substitute References to “Amex” To Reflect the Recent Name Change of NYSE Alternext US LLC to NYSE Amex LLC https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11228.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11228.html Thu, 14 May 2009 00:00:00 -0700 E9-11228 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11228.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Making Certain Amendments to Its Price List https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11227.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11227.html Thu, 14 May 2009 00:00:00 -0700 E9-11227 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11227.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11170.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11170.html Thu, 14 May 2009 00:00:00 -0700 E9-11170 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11170.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify DOT, SCAN and STGY Routing Strategies To Incorporate an Optional Pre-Routing Display Period https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11168.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11168.html Thu, 14 May 2009 00:00:00 -0700 E9-11168 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11168.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to MSRB Rule G-8 Requiring Brokers, Dealers and Municipal Securities Dealers To Maintain Certain Records Relating to Auction Rate Securities and Variable Rate Demand Obligations https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11167.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11167.html Thu, 14 May 2009 00:00:00 -0700 E9-11167 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11167.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until October 1, 2009 the Six-Month Pilot Program Which Established a New Class of NYSE Market Participants Referred to as “Supplemental Liquidity Providers” and Is Designated as Exchange Rule 107B https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11166.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11166.html Thu, 14 May 2009 00:00:00 -0700 E9-11166 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11166.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Modify Certain Equity Transaction Fees and Rebates https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11165.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11165.html Thu, 14 May 2009 00:00:00 -0700 E9-11165 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11165.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Regarding Amendments to NYSE Arca Equities Rule 8.3 (“Listing of Currency and Index Warrants”) https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11163.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11163.html Thu, 14 May 2009 00:00:00 -0700 E9-11163 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11163.pdf