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/2009/08?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T06:37:43-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20870.htmlNotice - OOK, Inc., et al.;2009-08-31T00:00:00-07:002009-08-31T00:00:00-07:00E9-20870Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-31/pdf/E9-20870.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20868.htmlNotice - Clough Global Allocation Fund, et al.; Notice of Application2009-08-31T00:00:00-07:002009-08-31T00:00:00-07:00E9-20868Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-31/pdf/E9-20868.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20867.htmlNotice - Submission for OMB Review; Comment Request2009-08-31T00:00:00-07:002009-08-31T00:00:00-07:00E9-20867Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-31/pdf/E9-20867.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20821.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until August 31, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions If They Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including Those Executions That Occur in the Event of a System Disruption or System Malfunction2009-08-28T00:00:00-07:002009-08-28T00:00:00-07:00E9-20821Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20821.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20820.htmlNotice - Self-Regulatory Organizations; NYSEAmex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Fee for Annual Regulatory Training2009-08-28T00:00:00-07:002009-08-28T00:00:00-07:00E9-20820Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20820.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20788.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan2009-08-28T00:00:00-07:002009-08-28T00:00:00-07:00E9-20788Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20788.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20787.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing Four Grail Advisors RP Exchange-Traded Funds2009-08-28T00:00:00-07:002009-08-28T00:00:00-07:00E9-20787Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20787.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20786.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan2009-08-28T00:00:00-07:002009-08-28T00:00:00-07:00E9-20786Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20786.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20785.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Permissible Expiration Dates for Flexible Exchange Options2009-08-28T00:00:00-07:002009-08-28T00:00:00-07:00E9-20785Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20785.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20784.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Late Charges and Provide for Suspension or Termination for Failure To Pay Dues, Fees, or Assessments Owed2009-08-28T00:00:00-07:002009-08-28T00:00:00-07:00E9-20784Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20784.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20783.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility2009-08-28T00:00:00-07:002009-08-28T00:00:00-07:00E9-20783Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20783.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20705.htmlNotice - Proposed Collection; Comment Request2009-08-28T00:00:00-07:002009-08-28T00:00:00-07:00E9-20705Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20705.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20704.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2124 (Net Transactions With Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payment for Market Making) in the Consolidated FINRA Rulebook2009-08-28T00:00:00-07:002009-08-28T00:00:00-07:00E9-20704Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20704.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20843.htmlNotice - Sunshine Act Meeting2009-08-27T00:00:00-07:002009-08-27T00:00:00-07:00E9-20843Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20843.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20656.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Definition of “Narrow-Based Index”2009-08-27T00:00:00-07:002009-08-27T00:00:00-07:00E9-20656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20656.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20655.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Extend the Delta Hedging Exemption From Equity Options Position Limits to Customers2009-08-27T00:00:00-07:002009-08-27T00:00:00-07:00E9-20655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20655.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20654.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Electronic Trading of Complex Orders2009-08-27T00:00:00-07:002009-08-27T00:00:00-07:00E9-20654Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20654.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20599.htmlNotice - MML Series Investment Fund, et al.; Notice of Application2009-08-27T00:00:00-07:002009-08-27T00:00:00-07:00E9-20599Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20599.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20594.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Modify Port Fees2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20594Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20594.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20545.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE AMEX LLC Amending the Permissible Expiration Dates for Flexible Exchange Options2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20545Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20545.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20544.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change in Connection With the Proposal of NYSE Euronext To Require That at Least Three-Fourths of Its Directors Satisfy Independence Requirements2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20544Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20544.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20543.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20543Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20543.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20542.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20542Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20542.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20541.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Approval of a Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20541Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20541.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20540.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes and an Incentive Plan for Three Foreign Currency Options2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20540Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20540.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20539.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending Section 107(H) of the NYSE Amex Company Guide2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20539Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20539.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20538.htmlNotice - Joint Industry Plan; Order Approving Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20538Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20538.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20537.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20537.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20536.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20536Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20536.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20535.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20535Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20535.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20534.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendment to Rule A-14, on Annual Fee2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20534Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20534.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20533.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of a Proposed Rule Change Amending Rule 476A-Imposition of Fines for Minor Violations of Rules2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20533Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20533.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20532.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20532Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20532.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20531.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing Standards for Selected Equity-Linked Debt Securities2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20531Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20531.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20530.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Processing of Orders on the NASDAQ Options Market2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20530Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20530.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20529.htmlNotice - Proposed Collection; Comment Request2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20529Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20529.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20528.htmlNotice - Submission for OMB Review; Comment Request2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20528Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20528.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20527.htmlNotice - Proposed Collection; Comment Request2009-08-26T00:00:00-07:002009-08-26T00:00:00-07:00E9-20527Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20527.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20506.htmlNotice - Sunshine Act Meeting.2009-08-25T00:00:00-07:002009-08-25T00:00:00-07:00E9-20506Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-25/pdf/E9-20506.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20381.htmlRule - Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification2009-08-25T00:00:00-07:002009-08-25T00:00:00-07:00E9-20381Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-25/pdf/E9-20381.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20356.htmlNotice - Joint Meetings on Harmonization of Regulation2009-08-25T00:00:00-07:002009-08-25T00:00:00-07:00E9-20356Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-25/pdf/E9-20356.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20241.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 10.12 (Minor Rule Plan)2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20241.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20240.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending NYSE Arca Options Rule 6.76A2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20240.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20198.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC Adopting Rule 406-NYSE Amex Equities as New Rule 3250-NYSE Amex Equities To Conform to a Proposed Rule Change Submitted in a Companion Filing by the New York Stock Exchange LLC2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20198Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20198.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20197.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of Proposed Rule Change To Modify the Rules of the Government Securities Division Regarding the Calculation of Clearing Fund Deposits Relating to Inter-Dealer Broker Positions2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20197Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20197.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20196.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by New York Stock Exchange LLC Adopting NYSE Rule 406 as New Rule 3250 To Correspond With a Rule Change Recently Filed by the Financial Industry Regulatory Authority, Inc.2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20196Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20196.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20195.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20195Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20195.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20194.htmlNotice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc.2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20194Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20194.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20193.htmlNotice - Self-Regulatory Organizations; the Boston Stock Exchange Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc.2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20193Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20193.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20192.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of the Boston Options Exchange Facility2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20192Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20192.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20191.htmlNotice - Joint Industry Plan; Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan, and Notice of Filing of Such Amendment2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20191Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20191.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20189.htmlNotice - Submission for OMB Review; Comment Request2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20189.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20188.htmlNotice - Submission for OMB Review; Comment Request2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20188Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20188.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20187.htmlNotice - Submission for OMB Review; Comment Request2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20187.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20186.htmlNotice - Submission for OMB Review; Comment Request2009-08-24T00:00:00-07:002009-08-24T00:00:00-07:00E9-20186Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20186.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20130.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Public Float Requirement for Initial Public Offerings2009-08-21T00:00:00-07:002009-08-21T00:00:00-07:00E9-20130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-21/pdf/E9-20130.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20065.htmlNotice - Old Mutual Global Shares Trust, et al.; Notice of Application2009-08-21T00:00:00-07:002009-08-21T00:00:00-07:00E9-20065Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-21/pdf/E9-20065.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20063.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Incorporated [sic]; Notice of Filing of Proposed Rule Change To Further Extend the Temporary Cap on Certain Fees for Members2009-08-21T00:00:00-07:002009-08-21T00:00:00-07:00E9-20063Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-21/pdf/E9-20063.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20062.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Tied Hedge Transactions2009-08-21T00:00:00-07:002009-08-21T00:00:00-07:00E9-20062Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-21/pdf/E9-20062.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20061.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Certain Exchange Rules2009-08-21T00:00:00-07:002009-08-21T00:00:00-07:00E9-20061Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-21/pdf/E9-20061.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/20/E9-20111.htmlNotice - In the Matter of Magnum Resources, Inc., Manakoa Services Corp. (n/k/a Teslavision Corp.), Maxus Technology Corp., Med/Waste, Inc., Medsearch Technologies, Inc., and Meisenheimer Capital, Inc.; Order of Suspension of Trading2009-08-20T00:00:00-07:002009-08-20T00:00:00-07:00E9-20111Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-20/pdf/E9-20111.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/20/E9-20099.htmlNotice - Sunshine Act Meeting2009-08-20T00:00:00-07:002009-08-20T00:00:00-07:00E9-20099Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-20/pdf/E9-20099.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/20/E9-19989.htmlProposed Rule - Amendments to Regulation SHO2009-08-20T00:00:00-07:002009-08-20T00:00:00-07:00E9-19989Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-20/pdf/E9-19989.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/20/E9-19892.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Amend Its Minor Rule Violation Plan2009-08-20T00:00:00-07:002009-08-20T00:00:00-07:00E9-19892Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-20/pdf/E9-19892.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19981.htmlNotice - In the Matter of Tasty Fries, Inc.; Order of Suspension of Trading2009-08-19T00:00:00-07:002009-08-19T00:00:00-07:00E9-19981Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19981.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19896.htmlNotice - Submission for OMB Review; Comment Request2009-08-19T00:00:00-07:002009-08-19T00:00:00-07:00E9-19896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19896.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19895.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing the Schedule of Fees and Charges for Exchange Services2009-08-19T00:00:00-07:002009-08-19T00:00:00-07:00E9-19895Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19895.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19894.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center2009-08-19T00:00:00-07:002009-08-19T00:00:00-07:00E9-19894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19894.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19893.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Market-Maker Orders2009-08-19T00:00:00-07:002009-08-19T00:00:00-07:00E9-19893Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19893.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19891.htmlNotice - Proposed Extension of Existing Collection; Comment Request2009-08-19T00:00:00-07:002009-08-19T00:00:00-07:00E9-19891Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19891.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19839.htmlNotice - Public Company Accounting Oversight Board; Order Approving Proposed Rules on Succeeding to the Status of a Predecessor Firm2009-08-19T00:00:00-07:002009-08-19T00:00:00-07:00E9-19839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19839.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19838.htmlNotice - Public Company Accounting Oversight Board; Order Approving Proposed Rules on Annual and Special Reporting by Registered Public Accounting Firms2009-08-19T00:00:00-07:002009-08-19T00:00:00-07:00E9-19838Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19838.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19745.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-11(i) (Settlement of Syndicate or Similar Account), Rule G-11(j) (Payment of Designations), and Rule G-12(i) (Settlement of Joint or Similar Account)2009-08-18T00:00:00-07:002009-08-18T00:00:00-07:00E9-19745Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19745.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19744.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Settlement of FLEX Currency Options2009-08-18T00:00:00-07:002009-08-18T00:00:00-07:00E9-19744Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19744.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19736.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until August 21, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions If They Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including Those Executions That Occur in the Event of a System Disruption or System Malfunction2009-08-18T00:00:00-07:002009-08-18T00:00:00-07:00E9-19736Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19736.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19735.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook2009-08-18T00:00:00-07:002009-08-18T00:00:00-07:00E9-19735Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19735.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19734.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Hybrid Matching Algorithms2009-08-18T00:00:00-07:002009-08-18T00:00:00-07:00E9-19734Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19734.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19733.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Firm Proprietary Facilitation Orders2009-08-18T00:00:00-07:002009-08-18T00:00:00-07:00E9-19733Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19733.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19732.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Eliminate Chapter V, Section 13 (Unusual Market Conditions) of the BOX Trading Rules and To Modify Related Rules2009-08-18T00:00:00-07:002009-08-18T00:00:00-07:00E9-19732Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19732.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19731.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Deleting Rule 409A-NYSE Amex Equities and Adopting New Rule 2266-NYSE Amex Equities To Conform to Proposed Rule Changes Submitted in a Companion Filing by the New York Stock Exchange LLC2009-08-18T00:00:00-07:002009-08-18T00:00:00-07:00E9-19731Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19731.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19730.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Deleting NYSE Rule 409A and Adopting New Rule 2266 To Correspond With Rule Changes Recently Filed by the Financial Industry Regulatory Authority, Inc.2009-08-18T00:00:00-07:002009-08-18T00:00:00-07:00E9-19730Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19730.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19692.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Hybrid Matching Algorithms2009-08-18T00:00:00-07:002009-08-18T00:00:00-07:00E9-19692Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19692.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19798.htmlNotice - Sunshine Act Meeting2009-08-17T00:00:00-07:002009-08-17T00:00:00-07:00E9-19798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19798.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19625.htmlNotice - GE Asset Management Incorporated and GE Investment Distributors, Inc.; Notice of Application and Temporary Order2009-08-17T00:00:00-07:002009-08-17T00:00:00-07:00E9-19625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19625.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19623.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Amend the Schedule of Fees and Charges for Exchange Services2009-08-17T00:00:00-07:002009-08-17T00:00:00-07:00E9-19623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19623.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19575.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.76A-Order Execution-OX and Proposing New Rule 6.88-Directed Orders2009-08-17T00:00:00-07:002009-08-17T00:00:00-07:00E9-19575Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19575.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19574.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.2009-08-17T00:00:00-07:002009-08-17T00:00:00-07:00E9-19574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19574.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19573.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.002009-08-17T00:00:00-07:002009-08-17T00:00:00-07:00E9-19573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19573.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19572.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Waivers2009-08-17T00:00:00-07:002009-08-17T00:00:00-07:00E9-19572Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19572.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19571.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA Rule 8312 (FINRA BrokerCheck Disclosure)2009-08-17T00:00:00-07:002009-08-17T00:00:00-07:00E9-19571Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19571.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19570.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade Shares of the Dent Tactical ETF2009-08-17T00:00:00-07:002009-08-17T00:00:00-07:00E9-19570Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19570.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19569.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving a Proposed Rule Change To Establish Fees for the Top of Phlx Options Direct Data Feed Product2009-08-17T00:00:00-07:002009-08-17T00:00:00-07:00E9-19569Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19569.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/14/E9-19627.htmlNotice - U.S. Canadian Minerals, Inc.; Order of Suspension of Trading2009-08-14T00:00:00-07:002009-08-14T00:00:00-07:00E9-19627Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-14/pdf/E9-19627.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/14/E9-19478.htmlNotice - Order Providing NRSROs a Temporary Exemption From the Requirement in Rule 17g-2(d) (Incorporating the Provisions of Rule 17g-2(a)(8)) of the Securities Exchange Act of 1934 That CUSIP Numbers Be Displayed2009-08-14T00:00:00-07:002009-08-14T00:00:00-07:00E9-19478Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-14/pdf/E9-19478.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19486.htmlNotice - In the Matter of V-Twin Holdings, Inc. (n/k/a Tobacco One, Inc.), Valley Media, Inc., Venturequest Group, Inc. (n/k/a Dex-Ray Resources, Inc.), Verex Laboratories, Inc., Vibro-Tech Industries, Inc., Video City, Inc., and Vidikron Technologies Group, Inc.; Order of Suspension of Trading2009-08-13T00:00:00-07:002009-08-13T00:00:00-07:00E9-19486Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-13/pdf/E9-19486.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19407.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program2009-08-13T00:00:00-07:002009-08-13T00:00:00-07:00E9-19407Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-13/pdf/E9-19407.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19376.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Marketing Fee Program2009-08-13T00:00:00-07:002009-08-13T00:00:00-07:00E9-19376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-13/pdf/E9-19376.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19375.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Its Schedule of Fees and Charges for Exchange Services2009-08-13T00:00:00-07:002009-08-13T00:00:00-07:00E9-19375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-13/pdf/E9-19375.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19374.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Automatic Allocations of Options on Related Securities2009-08-13T00:00:00-07:002009-08-13T00:00:00-07:00E9-19374Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-13/pdf/E9-19374.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19186.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amending the Direct Edge ECN Fee Schedule2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19186Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19186.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19185.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 Members2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19185Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19185.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19184.htmlNotice - 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 Rebates2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19184Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19184.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19183.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19183Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19183.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19149.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 Fees2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19149Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19149.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19148.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Change the Transaction Fee for Market At-the-Close and Limit At-the-Close Orders2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19148Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19148.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19147.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19147Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19147.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19146.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of the Boston Options Exchange Facility To Implement The Non-Penny Pilot Class Pricing Structure2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19146Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19146.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19145.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 1000 To Allow Exchange Systems To Access CCS Interest To Partially Fill an Incoming Limit Order2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19145Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19145.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19144.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(oo)2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19144Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19144.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19143.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Exchange's By-Laws, Regulatory Oversight Committee and Referee Program2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19143Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19143.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19142.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Incorporated NYSE Rules 12 and 282 To Conform to Amendments Made by NYSE2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19142Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19142.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19141.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Fee Schedule for Members Using the NASDAQ Market Center2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19141Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19141.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19140.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 1000 To Allow Exchange Systems to Access CCS Interest to Partially Fill an Incoming Limit Order2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19140Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19140.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19125.htmlNotice - Notice Regarding the Requirement To Use eXtensible Business Reporting Language Format To Make Publicly Available the Information Required Pursuant to Rule 17g-2(d) of the Exchange Act2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19125Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19125.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19121.htmlNotice - Submission for OMB Review; Comment Request2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19121Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19121.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19120.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 103B to Modify the Composition of the Exchange Selection Panel; and Prohibit any Ex Parte Communications During and Regarding the Selection Process between the DMM Units and the Individuals Serving on the Exchange Selection Panel2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19120.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19119.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 103B to Modify the Composition of the Exchange Selection Panel; and Prohibit Any Ex Parte Communications During and Regarding the Selection Process Between the DMM Units and the Individuals Serving on the Exchange Selection Panel2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19119Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19119.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19116.htmlRule - Delegation of Authority to Director of Division of Enforcement2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19116Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19116.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19020.htmlRule - Regulation S-AM: Limitations on Affiliate Marketing2009-08-11T00:00:00-07:002009-08-11T00:00:00-07:00E9-19020Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19020.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19234.htmlNotice - Sunshine Act Meeting2009-08-10T00:00:00-07:002009-08-10T00:00:00-07:00E9-19234Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19234.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19035.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Extend Fee Holiday for Registration of Associated Persons2009-08-10T00:00:00-07:002009-08-10T00:00:00-07:00E9-19035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19035.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19034.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Study Outline for the Limited Representative-Investment Banking (“Series 79”) Examination Program2009-08-10T00:00:00-07:002009-08-10T00:00:00-07:00E9-19034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19034.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19033.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Until August 10, 2009 the Operation of Interim NYSE Rule 128, Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions2009-08-10T00:00:00-07:002009-08-10T00:00:00-07:00E9-19033Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19033.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19018.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to the Hybrid Matching Algorithms2009-08-10T00:00:00-07:002009-08-10T00:00:00-07:00E9-19018Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19018.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19017.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Duplicate in the NYSE Amex Equities Price List the Section of the NYSE Amex Options Price List Setting Forth Regulatory Fees Applicable to Member Organizations2009-08-10T00:00:00-07:002009-08-10T00:00:00-07:00E9-19017Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19017.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19016.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Fee Schedule of the Boston Options Exchange Group, LLC2009-08-10T00:00:00-07:002009-08-10T00:00:00-07:00E9-19016Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19016.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/07/E9-19042.htmlNotice - Sunshine Act Meeting2009-08-07T00:00:00-07:002009-08-07T00:00:00-07:00E9-19042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-19042.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18983.htmlNotice - Proposed Collection; Comment Request2009-08-07T00:00:00-07:002009-08-07T00:00:00-07:00E9-18983Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18983.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18981.htmlNotice - Proposed Collection; Comment Request2009-08-07T00:00:00-07:002009-08-07T00:00:00-07:00E9-18981Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18981.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18980.htmlNotice - Proposed Collection; Comment Request2009-08-07T00:00:00-07:002009-08-07T00:00:00-07:00E9-18980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18980.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18979.htmlNotice - Proposed Collection; Comment Request2009-08-07T00:00:00-07:002009-08-07T00:00:00-07:00E9-18979Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18979.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18978.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5230 (Payments Involving Publications that Influence the Market Price of a Security) in the Consolidated FINRA Rulebook2009-08-07T00:00:00-07:002009-08-07T00:00:00-07:00E9-18978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18978.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18977.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Haircuts Applied to Eligible Clearing Fund Securities and Eligible Participant Fund Securities2009-08-07T00:00:00-07:002009-08-07T00:00:00-07:00E9-18977Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18977.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18976.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of Multiple Market Participant Symbols When Quoting or Trading OTC Equity Securities2009-08-07T00:00:00-07:002009-08-07T00:00:00-07:00E9-18976Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18976.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18975.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees Related to Orders Routed to Nasdaq via the Options Intermarket Linkage2009-08-07T00:00:00-07:002009-08-07T00:00:00-07:00E9-18975Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18975.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18974.htmlNotice - Proposed Collection; Comment Request2009-08-07T00:00:00-07:002009-08-07T00:00:00-07:00E9-18974Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18974.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18807.htmlProposed Rule - Political Contributions by Certain Investment Advisers2009-08-07T00:00:00-07:002009-08-07T00:00:00-07:00E9-18807Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18807.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18765.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402009-08-06T00:00:00-07:002009-08-06T00:00:00-07:00E9-18765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-06/pdf/E9-18765.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18764.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendments to Rule A-3, on Membership on the Board, Rule A-4, on Meetings of the Board, Rule A-5, on Officers and Employees of the Board, and Rule A-6, on Committees of the Board2009-08-06T00:00:00-07:002009-08-06T00:00:00-07:00E9-18764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-06/pdf/E9-18764.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18763.htmlNotice - Joint Industry Plan; Order Approving the National Market System Plan Relating to Options Order Protection and Locked/Crossed Markets Submitted by the 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.2009-08-06T00:00:00-07:002009-08-06T00:00:00-07:00E9-18763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-06/pdf/E9-18763.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18762.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., New York Stock Exchange LLC, NYSE Regulation, Inc. and NYSE Amex LLC2009-08-06T00:00:00-07:002009-08-06T00:00:00-07:00E9-18762Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-06/pdf/E9-18762.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18761.htmlNotice - Approval of Investment Adviser Registration Depository Filing Fees2009-08-06T00:00:00-07:002009-08-06T00:00:00-07:00E9-18761Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-06/pdf/E9-18761.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/05/E9-18668.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Disciplinary Rule 476A To Add Rule 104(a)(1)(A)-NYSE Amex Equities To Its “List of Exchange Rule Violations and Fines Applicable Thereto”2009-08-05T00:00:00-07:002009-08-05T00:00:00-07:00E9-18668Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-05/pdf/E9-18668.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/05/E9-18667.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) from July 31, 2009 to December 31, 20092009-08-05T00:00:00-07:002009-08-05T00:00:00-07:00E9-18667Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-05/pdf/E9-18667.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/05/E9-18666.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operative Date of NYSE Rule 92(c)(3) From July 31, 2009 to December 31, 20092009-08-05T00:00:00-07:002009-08-05T00:00:00-07:00E9-18666Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-05/pdf/E9-18666.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/05/E9-18665.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 476A To Add Rule 104(a)(1)(A) to Its “List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A”2009-08-05T00:00:00-07:002009-08-05T00:00:00-07:00E9-18665Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-05/pdf/E9-18665.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18669.htmlNotice - In the Matter of Gulf Alternative Energy Corporation; Order of Suspension of Trading2009-08-04T00:00:00-07:002009-08-04T00:00:00-07:00E9-18669Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-04/pdf/E9-18669.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18563.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Add the Quote@CHX and Reprice@CHX Order Types to Brokerplex System2009-08-04T00:00:00-07:002009-08-04T00:00:00-07:00E9-18563Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-04/pdf/E9-18563.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18560.htmlNotice - Proposed Extension of Existing Collection; Comment Request2009-08-04T00:00:00-07:002009-08-04T00:00:00-07:00E9-18560Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-04/pdf/E9-18560.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18559.htmlNotice - Submission for OMB Review; Comment Request2009-08-04T00:00:00-07:002009-08-04T00:00:00-07:00E9-18559Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-04/pdf/E9-18559.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18558.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change Relating to Municipal Bonds Redemption Process2009-08-04T00:00:00-07:002009-08-04T00:00:00-07:00E9-18558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-04/pdf/E9-18558.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18434.htmlRule - Adoption of Updated EDGAR Filer Manual2009-08-04T00:00:00-07:002009-08-04T00:00:00-07:00E9-18434Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-04/pdf/E9-18434.pdfhttps://regulations.justia.com/regulations/fedreg/2009/08/03/E9-18421.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a Pilot Program for U.S. Dollar-Settled Foreign Currency Options2009-08-03T00:00:00-07:002009-08-03T00:00:00-07:00E9-18421Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-08-03/pdf/E9-18421.pdf