Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2009/06?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-05T20:50:15-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2009/06/30/E9-15399.htmlNotice - Proposed Collection; Comment Request2009-06-30T00:00:00-07:002009-06-30T00:00:00-07:00E9-15399Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-30/pdf/E9-15399.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/30/E9-15351.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Flash and Cancel Order2009-06-30T00:00:00-07:002009-06-30T00:00:00-07:00E9-15351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-30/pdf/E9-15351.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/30/E9-15350.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Permanently Establish the Quarterly Option Series Program2009-06-30T00:00:00-07:002009-06-30T00:00:00-07:00E9-15350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-30/pdf/E9-15350.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15268.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change To Retroactively Amend the Fee Schedule To Clarify and Correct References to the Volume Discount Given to Market Makers2009-06-29T00:00:00-07:002009-06-29T00:00:00-07:00E9-15268Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-29/pdf/E9-15268.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15267.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan2009-06-29T00:00:00-07:002009-06-29T00:00:00-07:00E9-15267Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-29/pdf/E9-15267.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15226.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Ancillary Fee Changes2009-06-29T00:00:00-07:002009-06-29T00:00:00-07:00E9-15226Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-29/pdf/E9-15226.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15225.htmlNotice - Embarcadero Funds, Inc., et al.; Notice of Application2009-06-29T00:00:00-07:002009-06-29T00:00:00-07:00E9-15225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-29/pdf/E9-15225.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15224.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to $1 Strikes for Reduced Value Nasdaq 100 Options (MNX)2009-06-29T00:00:00-07:002009-06-29T00:00:00-07:00E9-15224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-29/pdf/E9-15224.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15223.htmlNotice - Consolidated Tape Association; Notice of Filing of the Eleventh Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan To Waive the Automatic Annual Increase in the Enterprise Cap for 20082009-06-29T00:00:00-07:002009-06-29T00:00:00-07:00E9-15223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-29/pdf/E9-15223.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15253.htmlNotice - In the Matter of Paivis Corp., Peabodys Coffee, Inc., Penge Corp., Petrol Industries, Inc. (n/k/a Caddo International, Inc.), Phantom Entertainment, Inc., Phoenix Medical Technology, Inc., Phoenix Metals USA II, Inc. (a/k/a TM Media Group, Inc.), Phymed, Inc., Pico Products, Inc., and Piemonte Foods, Inc.; File No. 500-1; Order of Suspension of Trading2009-06-26T00:00:00-07:002009-06-26T00:00:00-07:00E9-15253Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-26/pdf/E9-15253.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15252.htmlNotice - Sunshine Act Meeting2009-06-26T00:00:00-07:002009-06-26T00:00:00-07:00E9-15252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-26/pdf/E9-15252.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15155.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Floor Broker Agency Interest Containing Pegging and/or Discretionary Instructions, Eligible for Execution in the Closing Transaction, in the NYSE Order Imbalance Information Datafeed Disseminated Prior to the Closing Transaction2009-06-26T00:00:00-07:002009-06-26T00:00:00-07:00E9-15155Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-26/pdf/E9-15155.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15154.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Floor Broker Agency Interest Containing Pegging and/or Discretionary Instructions, Eligible for Execution in the Closing Transaction, in the NYSE Amex Order Imbalance Information Datafeed Disseminated Prior to the Closing Transaction2009-06-26T00:00:00-07:002009-06-26T00:00:00-07:00E9-15154Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-26/pdf/E9-15154.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15153.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Definition of “Narrow-Based Index”2009-06-26T00:00:00-07:002009-06-26T00:00:00-07:00E9-15153Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-26/pdf/E9-15153.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15025.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Qualified Contingent Cross Orders2009-06-26T00:00:00-07:002009-06-26T00:00:00-07:00E9-15025Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-26/pdf/E9-15025.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/25/E9-15014.htmlRule - Technical Amendment; Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers2009-06-25T00:00:00-07:002009-06-25T00:00:00-07:00E9-15014Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-15014.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14972.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of Shares of the iShares® MSCI All Peru Capped Index Fund2009-06-25T00:00:00-07:002009-06-25T00:00:00-07:00E9-14972Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14972.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14967.htmlNotice - Order Granting Application for Extension of a Temporary Conditional Exemption Pursuant to Section 36(a) of the Exchange Act by the International Securities Exchange, LLC Relating to the Ownership Interest of International Securities Exchange Holdings, Inc. in an Electronic Communications Network2009-06-25T00:00:00-07:002009-06-25T00:00:00-07:00E9-14967Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14967.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14961.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to WAIT Modifiers, PNP Plus Orders, and Attributable Orders2009-06-25T00:00:00-07:002009-06-25T00:00:00-07:00E9-14961Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14961.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14959.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to the Penny Pilot Program2009-06-25T00:00:00-07:002009-06-25T00:00:00-07:00E9-14959Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14959.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14958.htmlNotice - Self-Regulatory Organizations; One Chicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Widening the Bid/Ask Spread for Quoting Market-Makers2009-06-25T00:00:00-07:002009-06-25T00:00:00-07:00E9-14958Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14958.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14957.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 124 To Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good ‘Til Cancelled Order During the Implementation of Exchange System Enhancements2009-06-25T00:00:00-07:002009-06-25T00:00:00-07:00E9-14957Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14957.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14956.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 124 To Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good 'Til Cancelled Order During the Implementation of Exchange System Enhancements2009-06-25T00:00:00-07:002009-06-25T00:00:00-07:00E9-14956Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14956.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14899.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of ProShares UltraShort MSCI Mexico Investable Market Fund2009-06-25T00:00:00-07:002009-06-25T00:00:00-07:00E9-14899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14899.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14802.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rulebook2009-06-24T00:00:00-07:002009-06-24T00:00:00-07:00E9-14802Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14802.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14801.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Until July 15, 2009 the Operation of Interim NYSE Rule 128, Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions2009-06-24T00:00:00-07:002009-06-24T00:00:00-07:00E9-14801Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14801.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14800.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Related to the Complex Order Book2009-06-24T00:00:00-07:002009-06-24T00:00:00-07:00E9-14800Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14800.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14799.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Regarding Appointments of CBSX DPMs2009-06-24T00:00:00-07:002009-06-24T00:00:00-07:00E9-14799Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14799.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14798.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Margin Requirements2009-06-24T00:00:00-07:002009-06-24T00:00:00-07:00E9-14798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14798.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14797.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Margin Requirements2009-06-24T00:00:00-07:002009-06-24T00:00:00-07:00E9-14797Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14797.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14796.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change to Charge a $500 Monthly Fee to Recipients of the NYSE Amex Order Imbalance Information Datafeed2009-06-24T00:00:00-07:002009-06-24T00:00:00-07:00E9-14796Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14796.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14726.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases2009-06-24T00:00:00-07:002009-06-24T00:00:00-07:00E9-14726Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14726.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14725.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Available Without Charge the NYSE Amex OpenBookTM2009-06-24T00:00:00-07:002009-06-24T00:00:00-07:00E9-14725Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14725.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14723.htmlNotice - Self-Regulatory Organizations; NYSE Amex, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees and Charges for Exchange Services by Adding a Ratio Threshold Fee2009-06-24T00:00:00-07:002009-06-24T00:00:00-07:00E9-14723Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14723.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/23/E9-14656.htmlNotice - Sunshine Act Meeting2009-06-23T00:00:00-07:002009-06-23T00:00:00-07:00E9-14656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-23/pdf/E9-14656.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14673.htmlNotice - In the Matter of Petro America Corp.; Order of Suspension of Trading2009-06-22T00:00:00-07:002009-06-22T00:00:00-07:00E9-14673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-22/pdf/E9-14673.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14657.htmlNotice - Sunshine Act Meeting2009-06-22T00:00:00-07:002009-06-22T00:00:00-07:00E9-14657Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-22/pdf/E9-14657.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14593.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Relating to the Subscription Service for Continuing Disclosure Documents Through the Electronic Municipal Market Access System (EMMA®)2009-06-22T00:00:00-07:002009-06-22T00:00:00-07:00E9-14593Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-22/pdf/E9-14593.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14531.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook2009-06-22T00:00:00-07:002009-06-22T00:00:00-07:00E9-14531Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-22/pdf/E9-14531.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14530.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding Statutory Disqualification Procedures2009-06-22T00:00:00-07:002009-06-22T00:00:00-07:00E9-14530Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-22/pdf/E9-14530.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14538.htmlNotice - Sunshine Act Meeting2009-06-19T00:00:00-07:002009-06-19T00:00:00-07:00E9-14538Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-19/pdf/E9-14538.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14367.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Modernize and Simplify NASD Rule 27202009-06-19T00:00:00-07:002009-06-19T00:00:00-07:00E9-14367Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-19/pdf/E9-14367.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14353.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing Fees2009-06-19T00:00:00-07:002009-06-19T00:00:00-07:00E9-14353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-19/pdf/E9-14353.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14352.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, by NYSE Arca, Inc. Implementing Schedule of Fees and Charges for Exchange Services by adding a Ratio Threshold Fee2009-06-19T00:00:00-07:002009-06-19T00:00:00-07:00E9-14352Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-19/pdf/E9-14352.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14351.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, by NYSE Arca, Inc. Implementing Schedule of Fees and Charges for Exchange Services2009-06-19T00:00:00-07:002009-06-19T00:00:00-07:00E9-14351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-19/pdf/E9-14351.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14350.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 7.36 Governing Order Ranking and Display2009-06-19T00:00:00-07:002009-06-19T00:00:00-07:00E9-14350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-19/pdf/E9-14350.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/18/E9-14294.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Annual and Special Reporting by Registered Public Accounting Firms2009-06-18T00:00:00-07:002009-06-18T00:00:00-07:00E9-14294Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-18/pdf/E9-14294.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/18/E9-14293.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Succeeding to the Registration Status of a Predecessor Firm2009-06-18T00:00:00-07:002009-06-18T00:00:00-07:00E9-14293Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-18/pdf/E9-14293.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/18/E9-14288.htmlNotice - Nationwide Life Insurance Company, et al.2009-06-18T00:00:00-07:002009-06-18T00:00:00-07:00E9-14288Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-18/pdf/E9-14288.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/18/E9-14090.htmlProposed Rule - Facilitating Shareholder Director Nominations2009-06-18T00:00:00-07:002009-06-18T00:00:00-07:00E9-14090Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-18/pdf/E9-14090.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14300.htmlNotice - Hunt Gold Corporation, F/K/A Prime Time Group, Inc.; Order of Suspension of Trading2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14300Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14300.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14192.htmlNotice - X Exchange-Traded Funds, Inc., et al.; Notice of Application2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14192Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14192.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14191.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Web Inquiry Notification System2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14191Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14191.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14190.htmlNotice - Proposed Collection; Comment Request2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14190Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14190.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14176.htmlNotice - Proposed Collection; Comment Request2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14176Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14176.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14175.htmlNotice - Proposed Collection; Comment Request2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14175Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14175.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14174.htmlNotice - Proposed Collection; Comment Request2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14174Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14174.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14173.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NASDAQ Listing Rules To Reflect Changes to the Rules of the Commission2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14173Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14173.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14172.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14172Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14172.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14171.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee for Use of a Hand Held Device Configured To Provide Only Opening and Closing Order Imbalance Data2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14171Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14171.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14170.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14170Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14170.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14169.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Approval of Proposed Rule Change Relating to Quoting Requirements for Streaming Quote Traders, Remote Streaming Quote Traders and Specialists2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14169Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14169.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14150.htmlNotice - Proposed Extension of Existing Collection; Comment Request2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14150Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14150.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14149.htmlNotice - Proposed Extension of Existing Collection; Comment Request2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14149Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14149.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14148.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 2320 in the Consolidated FINRA Rulebook2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14148Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14148.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14147.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 6440 To Require Members To Create a Contemporaneous Record of Certain Customer and Order Information2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14147Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14147.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14146.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the Rejection of Undisplayed Odd-Lot Orders From the Exchange's Matching System2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14146Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14146.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14145.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Amex, Inc. Implementing Schedule of Fees and Charges for Exchange Services2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14145Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14145.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14143.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Cross-Margining Agreement Between OCC and CME2009-06-17T00:00:00-07:002009-06-17T00:00:00-07:00E9-14143Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14143.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14075.htmlNotice - Sunshine Act Meeting2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-14075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14075.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14007.htmlNotice - Proposed Collection; Comment Request2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-14007Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14007.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14006.htmlNotice - Banc of America Securities LLC, et al.; Notice of Application and Temporary Order2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-14006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14006.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14005.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Safety First Trust Certificates Linked to the S&P 500® Index2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-14005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14005.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13981.htmlNotice - Deutsche Bank Securities Inc., et al.; Notice of Application and Temporary Order2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-13981Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13981.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13980.htmlNotice - RBC Capital Markets Corporation, et al.; Notice of Application and Temporary Order2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-13980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13980.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13975.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Repeal Incorporated NYSE Rule 134 (Differences and Omissions-Cleared Transactions) and NYSE Rule 440I (Records of Compensation Arrangements-Floor Brokerage) as Part of the Process To Develop the Consolidated FINRA Rulebook2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-13975Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13975.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13974.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Pricing for NASDAQ “Flash” Functionality for Routable Orders2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-13974Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13974.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13973.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule To (i) Increase From 50,000 to 5 Million the Liquidity Adding Average Daily Volume Thresholds in the Automatic Execution Mode of Order Interaction (“AutoEx”); (ii) Include Securities Less Than One Dollar in the Calculation of Liquidity Adding and Total Average Volume Thresholds in AutoEx; and (iii) Eliminate the Two Lower Tiers With Respect to the AutoEx Liquidity Adding Zero Display Order Rebate2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-13973Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13973.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13972.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-13972Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13972.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13971.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2124 (Net Transactions With Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-13971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13971.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13970.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Generic Listing Rules for Currency Trust Shares2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-13970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13970.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13969.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Adoption of Listing Standards for Managed Trust Securities and the Listing and Trading of Shares of the iShares® Diversified Alternatives Trust2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-13969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13969.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13968.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 110 to the Earlier of the Approval of SR-NYSE-2009-08 or June 30, 20092009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-13968Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13968.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13967.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend the Panel Composition Rules of the Code of Arbitration Procedure for Industry Disputes2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-13967Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13967.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13966.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC, Notice of Filing of a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-side Liquidity To Trigger the Execution of a d-Quote2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-13966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13966.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13934.htmlNotice - Investor Advisory Committee; Notice of Federal Advisory Committee Establishment; Correction2009-06-15T00:00:00-07:002009-06-15T00:00:00-07:00E9-13934Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13934.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13814.htmlNotice - Proposed Extension of Existing Collection; Comment Request2009-06-12T00:00:00-07:002009-06-12T00:00:00-07:00E9-13814Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13814.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13813.htmlNotice - Submission for OMB Review; Comment Request2009-06-12T00:00:00-07:002009-06-12T00:00:00-07:00E9-13813Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13813.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13812.htmlNotice - PowerShares Exchange-Traded Fund Trust, et al.; Notice of Application2009-06-12T00:00:00-07:002009-06-12T00:00:00-07:00E9-13812Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13812.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13811.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan2009-06-12T00:00:00-07:002009-06-12T00:00:00-07:00E9-13811Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13811.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13810.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Termination of the CDINet System2009-06-12T00:00:00-07:002009-06-12T00:00:00-07:00E9-13810Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13810.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13809.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee2009-06-12T00:00:00-07:002009-06-12T00:00:00-07:00E9-13809Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13809.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13808.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish an Alternate Choice in DTC's Profile Modification System Indemnity Insurance Program2009-06-12T00:00:00-07:002009-06-12T00:00:00-07:00E9-13808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13808.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13807.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC and NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Comparison of Executed Transactions2009-06-12T00:00:00-07:002009-06-12T00:00:00-07:00E9-13807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13807.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/11/E9-13723.htmlNotice - Nuveen Tax-Advantaged Total Return Strategy Fund, et al.; Notice of Application2009-06-11T00:00:00-07:002009-06-11T00:00:00-07:00E9-13723Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-11/pdf/E9-13723.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/11/E9-13722.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status and Interim Trading Permit Access Fees2009-06-11T00:00:00-07:002009-06-11T00:00:00-07:00E9-13722Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-11/pdf/E9-13722.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/11/E9-13721.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, Notice of Filing of a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-side Liquidity To Trigger the Execution of a d-Quote2009-06-11T00:00:00-07:002009-06-11T00:00:00-07:00E9-13721Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-11/pdf/E9-13721.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/11/E9-13683.htmlNotice - Sunshine Act Meeting2009-06-11T00:00:00-07:002009-06-11T00:00:00-07:00E9-13683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-11/pdf/E9-13683.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13569.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Modifying the CBOE Stock Exchange Rule Regarding Processing of Round-Lot Orders2009-06-10T00:00:00-07:002009-06-10T00:00:00-07:00E9-13569Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-10/pdf/E9-13569.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13568.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD IM-2110-2 (Trading Ahead of Customer Limit Order) To Clarify the Scope of the Minimum Price Improvement Obligations2009-06-10T00:00:00-07:002009-06-10T00:00:00-07:00E9-13568Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-10/pdf/E9-13568.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13553.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2009-06-10T00:00:00-07:002009-06-10T00:00:00-07:00E9-13553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-10/pdf/E9-13553.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13552.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend BATS Rule 11.13, Entitled “Order Execution”2009-06-10T00:00:00-07:002009-06-10T00:00:00-07:00E9-13552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-10/pdf/E9-13552.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13511.htmlRule - Staff Accounting Bulletin No. 1122009-06-10T00:00:00-07:002009-06-10T00:00:00-07:00E9-13511Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-10/pdf/E9-13511.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13551.htmlNotice - In the Matter of Sunrise Solar Corporation; Order of Suspension of Trading2009-06-09T00:00:00-07:002009-06-09T00:00:00-07:00E9-13551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13551.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13547.htmlNotice - Sunshine Act Meeting2009-06-09T00:00:00-07:002009-06-09T00:00:00-07:00E9-13547Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13547.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13503.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend FINRA's Authority Under the Cease and Desist Pilot Program2009-06-09T00:00:00-07:002009-06-09T00:00:00-07:00E9-13503Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13503.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13424.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Reduce the Length of the Optional Pre-Routing Display Period for Its DOT, SCAN and STGY Routing Strategies2009-06-09T00:00:00-07:002009-06-09T00:00:00-07:00E9-13424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13424.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13423.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, Thereto To Establish a New Voluntary Flash and Cancel Order2009-06-09T00:00:00-07:002009-06-09T00:00:00-07:00E9-13423Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13423.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13404.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Relating to the Voluntary Submission of Continuing Disclosure Documents to Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA®)2009-06-09T00:00:00-07:002009-06-09T00:00:00-07:00E9-13404Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13404.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13403.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC Relating to Amending the Direct Edge ECN Fee Schedule To Expand the Applicability of the Super Tier Rebate to All Securities Priced at or Above $1.00 and To Increase the Take Fee2009-06-09T00:00:00-07:002009-06-09T00:00:00-07:00E9-13403Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13403.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13402.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change 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 Members2009-06-09T00:00:00-07:002009-06-09T00:00:00-07:00E9-13402Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13402.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13397.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt a Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis2009-06-09T00:00:00-07:002009-06-09T00:00:00-07:00E9-13397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13397.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13396.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Regarding Market Maker Obligations2009-06-09T00:00:00-07:002009-06-09T00:00:00-07:00E9-13396Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13396.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13395.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours2009-06-09T00:00:00-07:002009-06-09T00:00:00-07:00E9-13395Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13395.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13394.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan2009-06-09T00:00:00-07:002009-06-09T00:00:00-07:00E9-13394Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13394.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13349.htmlNotice - Investor Advisory Committee2009-06-09T00:00:00-07:002009-06-09T00:00:00-07:00E9-13349Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13349.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13260.htmlNotice - Submission for OMB Review; Comment Request2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13260Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13260.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13259.htmlNotice - Submission for OMB Review; Comment Request2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13259Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13259.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13258.htmlNotice - Submission for OMB Review; Comment Request2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13258Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13258.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13257.htmlNotice - Submission for OMB Review; Comment Request2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13257Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13257.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13256.htmlNotice - Submission for OMB Review; Comment Request2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13256Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13256.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13255.htmlNotice - Submission for OMB Review; Comment Request2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13255Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13255.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13254.htmlNotice - Proposed Extension of Existing Request; Comment Request2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13254Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13254.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13253.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13253Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13253.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13252.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Cross-References in FINRA Rules2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13252.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13210.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Listing and Trading New Currencies2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13210Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13210.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13209.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trades for Less Than $12009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13209Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13209.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13208.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Criteria for Becoming a Member of the Nominating Committee2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13208Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13208.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13207.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Amending CBOE Rules Relating to the Penny Pilot Program2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13207Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13207.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13205.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13205.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13204.htmlNotice - WisdomTree Investments, Inc., et al.; Notice of Application2009-06-08T00:00:00-07:002009-06-08T00:00:00-07:00E9-13204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13204.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/04/E9-13144.htmlNotice - In the Matter of Patriot Energy Corp.; Order of Suspension of Trading2009-06-04T00:00:00-07:002009-06-04T00:00:00-07:00E9-13144Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-13144.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/04/E9-13039.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving the Proposed Rule Change Implementing NYSE Arca Realtime Reference Prices Service on a Permanent Basis2009-06-04T00:00:00-07:002009-06-04T00:00:00-07:00E9-13039Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-13039.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/04/E9-13001.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving the Proposed Rule Change Implementing NYSE Realtime Reference Prices Service on a Permanent Basis2009-06-04T00:00:00-07:002009-06-04T00:00:00-07:00E9-13001Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-13001.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/04/E9-13000.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123E To Be More Consistent With the Exchange's Current Designated Market Maker System2009-06-04T00:00:00-07:002009-06-04T00:00:00-07:00E9-13000Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-13000.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12999.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing2009-06-04T00:00:00-07:002009-06-04T00:00:00-07:00E9-12999Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-12999.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12998.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the Exchange's Continued Listing Standards on a Pilot Program Basis2009-06-04T00:00:00-07:002009-06-04T00:00:00-07:00E9-12998Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-12998.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12997.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change as Amended, Relating to the Adoption of FINRA Rule 2080 (Obtaining an Order of Expungement of Customer Dispute Information From the Central Registration Depository (CRD System)), FINRA Rule 2310 (Direct Participation Programs), FINRA Rule 4551 (Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures) and FINRA Rule 2266 (SIPC Information) in the Consolidated FINRA Rulebook2009-06-04T00:00:00-07:002009-06-04T00:00:00-07:00E9-12997Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-12997.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12996.htmlNotice - Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 19402009-06-04T00:00:00-07:002009-06-04T00:00:00-07:00E9-12996Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-12996.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12983.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2009-06-04T00:00:00-07:002009-06-04T00:00:00-07:00E9-12983Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-12983.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12956.htmlRule - Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies2009-06-04T00:00:00-07:002009-06-04T00:00:00-07:00E9-12956Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-12956.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/03/E9-12918.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II2009-06-03T00:00:00-07:002009-06-03T00:00:00-07:00E9-12918Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-03/pdf/E9-12918.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/03/E9-12917.htmlNotice - The Managers Funds, et al.; Notice of Application2009-06-03T00:00:00-07:002009-06-03T00:00:00-07:00E9-12917Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-03/pdf/E9-12917.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/03/E9-12914.htmlNotice - Sunshine Act Meeting2009-06-03T00:00:00-07:002009-06-03T00:00:00-07:00E9-12914Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-03/pdf/E9-12914.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12744.htmlNotice - Public Company Accounting Oversight Board; Order Approving Proposed Amendment to Board Rules Relating to Inspections2009-06-02T00:00:00-07:002009-06-02T00:00:00-07:00E9-12744Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12744.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12719.htmlNotice - Proposed Collection; Comment Request2009-06-02T00:00:00-07:002009-06-02T00:00:00-07:00E9-12719Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12719.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12718.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing Exchange's Directed Order Process on the Boston Options Exchange2009-06-02T00:00:00-07:002009-06-02T00:00:00-07:00E9-12718Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12718.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12717.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change Related to Its Obvious Error Rules2009-06-02T00:00:00-07:002009-06-02T00:00:00-07:00E9-12717Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12717.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12716.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees Charged for the Floor Member Continuing Education Program for Qualified Floor Members Pursuant to NYSE Rule 103A2009-06-02T00:00:00-07:002009-06-02T00:00:00-07:00E9-12716Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12716.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12715.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules Related to Doing a Public Business in Options2009-06-02T00:00:00-07:002009-06-02T00:00:00-07:00E9-12715Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12715.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12714.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Changing Certain NYSE Amex Equities Rules To Conform Them With Changes to Corresponding Rules Filed by the New York Stock Exchange LLC2009-06-02T00:00:00-07:002009-06-02T00:00:00-07:00E9-12714Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12714.pdfhttps://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12713.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule Issued Pursuant to Exchange Rule 16.1(c) in Order to Include Securities Priced at Less Than One Dollar in the Calculation of Volume Thresholds Used To Determine Rebates Payable for Displayed Order Liquidity Adding Tape A and C Securities Executed at One Dollar or Above2009-06-02T00:00:00-07:002009-06-02T00:00:00-07:00E9-12713Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12713.pdf