<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2009/08?registers=between&min-day=1&max-day=31 Wed, 01 May 2024 21:04:48 -0700 Wed, 01 May 2024 21:04:48 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2009/08?registers=between&min-day=1&max-day=31 Notice - OOK, Inc., et al.; https://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20870.html https://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20870.html Mon, 31 Aug 2009 00:00:00 -0700 E9-20870 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-31/pdf/E9-20870.pdf Notice - Clough Global Allocation Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20868.html https://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20868.html Mon, 31 Aug 2009 00:00:00 -0700 E9-20868 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-31/pdf/E9-20868.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20867.html https://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20867.html Mon, 31 Aug 2009 00:00:00 -0700 E9-20867 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-31/pdf/E9-20867.pdf Notice - 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 Malfunction https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20821.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20821.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20821 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20821.pdf Notice - Self-Regulatory Organizations; NYSEAmex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Fee for Annual Regulatory Training https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20820.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20820.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20820 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20820.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20788.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20788.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20788 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20788.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing Four Grail Advisors RP Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20787.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20787.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20787 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20787.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20786.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20786.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20786 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20786.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Permissible Expiration Dates for Flexible Exchange Options https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20785.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20785.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20785 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20785.pdf Notice - 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 Owed https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20784.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20784.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20784 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20784.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20783.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20783.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20783 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20783.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20705.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20705.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20705 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20705.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20704.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20704.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20704 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20704.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20843.html https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20843.html Thu, 27 Aug 2009 00:00:00 -0700 E9-20843 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20843.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20656.html https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20656.html Thu, 27 Aug 2009 00:00:00 -0700 E9-20656 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20656.pdf Notice - 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 Customers https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20655.html https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20655.html Thu, 27 Aug 2009 00:00:00 -0700 E9-20655 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20655.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20654.html https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20654.html Thu, 27 Aug 2009 00:00:00 -0700 E9-20654 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20654.pdf Notice - MML Series Investment Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20599.html https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20599.html Thu, 27 Aug 2009 00:00:00 -0700 E9-20599 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20599.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Modify Port Fees https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20594.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20594.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20594 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20594.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20545.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20545.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20545 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20545.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20544.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20544.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20544 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20544.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20543.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20543.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20543 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20543.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20542.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20542.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20542 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20542.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20541.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20541.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20541 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20541.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20540.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20540.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20540 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20540.pdf Notice - 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 Guide https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20539.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20539.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20539 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20539.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20538.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20538.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20538 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20538.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20537.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20537.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20537 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20537.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20536.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20536.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20536 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20536.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20535.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20535.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20535 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20535.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendment to Rule A-14, on Annual Fee https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20534.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20534.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20534 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20534.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of a Proposed Rule Change Amending Rule 476A-Imposition of Fines for Minor Violations of Rules https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20533.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20533.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20533 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20533.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20532.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20532.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20532 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20532.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20531.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20531.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20531 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20531.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20530.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20530.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20530 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20530.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20529.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20529.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20529 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20529.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20528.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20528.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20528 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20528.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20527.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20527.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20527 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20527.pdf Notice - Sunshine Act Meeting. https://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20506.html https://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20506.html Tue, 25 Aug 2009 00:00:00 -0700 E9-20506 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-25/pdf/E9-20506.pdf Rule - Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification https://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20381.html https://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20381.html Tue, 25 Aug 2009 00:00:00 -0700 E9-20381 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-08-25/pdf/E9-20381.pdf Notice - Joint Meetings on Harmonization of Regulation https://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20356.html https://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20356.html Tue, 25 Aug 2009 00:00:00 -0700 E9-20356 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-25/pdf/E9-20356.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 10.12 (Minor Rule Plan) https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20241.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20241.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20241 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20241.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending NYSE Arca Options Rule 6.76A https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20240.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20240.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20240 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20240.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20198.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20198.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20198 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20198.pdf Notice - 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 Positions https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20197.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20197.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20197 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20197.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20196.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20196.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20196 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20196.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20195.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20195.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20195 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20195.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20194.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20194.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20194 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20194.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20193.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20193.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20193 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20193.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20192.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20192.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20192 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20192.pdf Notice - 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 Amendment https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20191.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20191.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20191 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20191.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20189.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20189.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20189 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20189.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20188.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20188.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20188 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20188.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20187.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20187.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20187 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20187.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20186.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20186.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20186 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20186.pdf Notice - 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 Offerings https://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20130.html https://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20130.html Fri, 21 Aug 2009 00:00:00 -0700 E9-20130 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-21/pdf/E9-20130.pdf Notice - Old Mutual Global Shares Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20065.html https://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20065.html Fri, 21 Aug 2009 00:00:00 -0700 E9-20065 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-21/pdf/E9-20065.pdf Notice - 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 Members https://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20063.html https://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20063.html Fri, 21 Aug 2009 00:00:00 -0700 E9-20063 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-21/pdf/E9-20063.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20062.html https://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20062.html Fri, 21 Aug 2009 00:00:00 -0700 E9-20062 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-21/pdf/E9-20062.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Certain Exchange Rules https://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20061.html https://regulations.justia.com/regulations/fedreg/2009/08/21/E9-20061.html Fri, 21 Aug 2009 00:00:00 -0700 E9-20061 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-21/pdf/E9-20061.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2009/08/20/E9-20111.html https://regulations.justia.com/regulations/fedreg/2009/08/20/E9-20111.html Thu, 20 Aug 2009 00:00:00 -0700 E9-20111 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-20/pdf/E9-20111.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/08/20/E9-20099.html https://regulations.justia.com/regulations/fedreg/2009/08/20/E9-20099.html Thu, 20 Aug 2009 00:00:00 -0700 E9-20099 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-20/pdf/E9-20099.pdf Proposed Rule - Amendments to Regulation SHO https://regulations.justia.com/regulations/fedreg/2009/08/20/E9-19989.html https://regulations.justia.com/regulations/fedreg/2009/08/20/E9-19989.html Thu, 20 Aug 2009 00:00:00 -0700 E9-19989 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-08-20/pdf/E9-19989.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2009/08/20/E9-19892.html https://regulations.justia.com/regulations/fedreg/2009/08/20/E9-19892.html Thu, 20 Aug 2009 00:00:00 -0700 E9-19892 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-20/pdf/E9-19892.pdf Notice - In the Matter of Tasty Fries, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19981.html https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19981.html Wed, 19 Aug 2009 00:00:00 -0700 E9-19981 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19981.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19896.html https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19896.html Wed, 19 Aug 2009 00:00:00 -0700 E9-19896 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19896.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19895.html https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19895.html Wed, 19 Aug 2009 00:00:00 -0700 E9-19895 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19895.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19894.html https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19894.html Wed, 19 Aug 2009 00:00:00 -0700 E9-19894 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19894.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Market-Maker Orders https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19893.html https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19893.html Wed, 19 Aug 2009 00:00:00 -0700 E9-19893 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19893.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19891.html https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19891.html Wed, 19 Aug 2009 00:00:00 -0700 E9-19891 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19891.pdf Notice - Public Company Accounting Oversight Board; Order Approving Proposed Rules on Succeeding to the Status of a Predecessor Firm https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19839.html https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19839.html Wed, 19 Aug 2009 00:00:00 -0700 E9-19839 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19839.pdf Notice - Public Company Accounting Oversight Board; Order Approving Proposed Rules on Annual and Special Reporting by Registered Public Accounting Firms https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19838.html https://regulations.justia.com/regulations/fedreg/2009/08/19/E9-19838.html Wed, 19 Aug 2009 00:00:00 -0700 E9-19838 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-19/pdf/E9-19838.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19745.html https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19745.html Tue, 18 Aug 2009 00:00:00 -0700 E9-19745 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19745.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Settlement of FLEX Currency Options https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19744.html https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19744.html Tue, 18 Aug 2009 00:00:00 -0700 E9-19744 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19744.pdf Notice - 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 Malfunction https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19736.html https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19736.html Tue, 18 Aug 2009 00:00:00 -0700 E9-19736 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19736.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19735.html https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19735.html Tue, 18 Aug 2009 00:00:00 -0700 E9-19735 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19735.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Hybrid Matching Algorithms https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19734.html https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19734.html Tue, 18 Aug 2009 00:00:00 -0700 E9-19734 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19734.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Firm Proprietary Facilitation Orders https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19733.html https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19733.html Tue, 18 Aug 2009 00:00:00 -0700 E9-19733 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19733.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19732.html https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19732.html Tue, 18 Aug 2009 00:00:00 -0700 E9-19732 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19732.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19731.html https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19731.html Tue, 18 Aug 2009 00:00:00 -0700 E9-19731 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19731.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19730.html https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19730.html Tue, 18 Aug 2009 00:00:00 -0700 E9-19730 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19730.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Hybrid Matching Algorithms https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19692.html https://regulations.justia.com/regulations/fedreg/2009/08/18/E9-19692.html Tue, 18 Aug 2009 00:00:00 -0700 E9-19692 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-18/pdf/E9-19692.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19798.html https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19798.html Mon, 17 Aug 2009 00:00:00 -0700 E9-19798 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19798.pdf Notice - GE Asset Management Incorporated and GE Investment Distributors, Inc.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19625.html https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19625.html Mon, 17 Aug 2009 00:00:00 -0700 E9-19625 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19625.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Amend the Schedule of Fees and Charges for Exchange Services https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19623.html https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19623.html Mon, 17 Aug 2009 00:00:00 -0700 E9-19623 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19623.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19575.html https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19575.html Mon, 17 Aug 2009 00:00:00 -0700 E9-19575 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19575.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19574.html https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19574.html Mon, 17 Aug 2009 00:00:00 -0700 E9-19574 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19574.pdf Notice - 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 $3.00 https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19573.html https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19573.html Mon, 17 Aug 2009 00:00:00 -0700 E9-19573 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19573.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Waivers https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19572.html https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19572.html Mon, 17 Aug 2009 00:00:00 -0700 E9-19572 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19572.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA Rule 8312 (FINRA BrokerCheck Disclosure) https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19571.html https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19571.html Mon, 17 Aug 2009 00:00:00 -0700 E9-19571 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19571.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade Shares of the Dent Tactical ETF https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19570.html https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19570.html Mon, 17 Aug 2009 00:00:00 -0700 E9-19570 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19570.pdf Notice - 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 Product https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19569.html https://regulations.justia.com/regulations/fedreg/2009/08/17/E9-19569.html Mon, 17 Aug 2009 00:00:00 -0700 E9-19569 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-17/pdf/E9-19569.pdf Notice - U.S. Canadian Minerals, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/08/14/E9-19627.html https://regulations.justia.com/regulations/fedreg/2009/08/14/E9-19627.html Fri, 14 Aug 2009 00:00:00 -0700 E9-19627 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-14/pdf/E9-19627.pdf Notice - 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 Displayed https://regulations.justia.com/regulations/fedreg/2009/08/14/E9-19478.html https://regulations.justia.com/regulations/fedreg/2009/08/14/E9-19478.html Fri, 14 Aug 2009 00:00:00 -0700 E9-19478 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-14/pdf/E9-19478.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19486.html https://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19486.html Thu, 13 Aug 2009 00:00:00 -0700 E9-19486 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-13/pdf/E9-19486.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19407.html https://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19407.html Thu, 13 Aug 2009 00:00:00 -0700 E9-19407 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-13/pdf/E9-19407.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Marketing Fee Program https://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19376.html https://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19376.html Thu, 13 Aug 2009 00:00:00 -0700 E9-19376 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-13/pdf/E9-19376.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19375.html https://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19375.html Thu, 13 Aug 2009 00:00:00 -0700 E9-19375 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-13/pdf/E9-19375.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19374.html https://regulations.justia.com/regulations/fedreg/2009/08/13/E9-19374.html Thu, 13 Aug 2009 00:00:00 -0700 E9-19374 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-13/pdf/E9-19374.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19186.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19186.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19186 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19186.pdf Notice - 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 Members https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19185.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19185.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19185 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19185.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Modify Certain Equity Transaction Fees and Rebates https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19184.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19184.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19184 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19184.pdf Notice - 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 MatchPointSM https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19183.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19183.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19183 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19183.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status and Interim Trading Permit Access Fees https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19149.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19149.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19149 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19149.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19148.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19148.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19148 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19148.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19147.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19147.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19147 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19147.pdf Notice - 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 Structure https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19146.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19146.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19146 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19146.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19145.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19145.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19145 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19145.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(oo) https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19144.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19144.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19144 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19144.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19143.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19143.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19143 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19143.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Incorporated NYSE Rules 12 and 282 To Conform to Amendments Made by NYSE https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19142.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19142.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19142 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19142.pdf Notice - 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 Center https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19141.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19141.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19141 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19141.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19140.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19140.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19140 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19140.pdf Notice - 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 Act https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19125.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19125.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19125 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19125.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19121.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19121.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19121 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19121.pdf Notice - 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 Panel https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19120.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19120.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19120 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19120.pdf Notice - 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 Panel https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19119.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19119.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19119 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19119.pdf Rule - Delegation of Authority to Director of Division of Enforcement https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19116.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19116.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19116 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19116.pdf Rule - Regulation S-AM: Limitations on Affiliate Marketing https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19020.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19020.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19020 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19020.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19234.html https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19234.html Mon, 10 Aug 2009 00:00:00 -0700 E9-19234 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19234.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Extend Fee Holiday for Registration of Associated Persons https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19035.html https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19035.html Mon, 10 Aug 2009 00:00:00 -0700 E9-19035 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19035.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19034.html https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19034.html Mon, 10 Aug 2009 00:00:00 -0700 E9-19034 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19034.pdf Notice - 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 Executions https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19033.html https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19033.html Mon, 10 Aug 2009 00:00:00 -0700 E9-19033 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19033.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to the Hybrid Matching Algorithms https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19018.html https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19018.html Mon, 10 Aug 2009 00:00:00 -0700 E9-19018 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19018.pdf Notice - 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 Organizations https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19017.html https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19017.html Mon, 10 Aug 2009 00:00:00 -0700 E9-19017 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19017.pdf Notice - 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, LLC https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19016.html https://regulations.justia.com/regulations/fedreg/2009/08/10/E9-19016.html Mon, 10 Aug 2009 00:00:00 -0700 E9-19016 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-10/pdf/E9-19016.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-19042.html https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-19042.html Fri, 07 Aug 2009 00:00:00 -0700 E9-19042 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-19042.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18983.html https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18983.html Fri, 07 Aug 2009 00:00:00 -0700 E9-18983 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18983.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18981.html https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18981.html Fri, 07 Aug 2009 00:00:00 -0700 E9-18981 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18981.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18980.html https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18980.html Fri, 07 Aug 2009 00:00:00 -0700 E9-18980 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18980.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18979.html https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18979.html Fri, 07 Aug 2009 00:00:00 -0700 E9-18979 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18979.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18978.html https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18978.html Fri, 07 Aug 2009 00:00:00 -0700 E9-18978 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18978.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18977.html https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18977.html Fri, 07 Aug 2009 00:00:00 -0700 E9-18977 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18977.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18976.html https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18976.html Fri, 07 Aug 2009 00:00:00 -0700 E9-18976 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18976.pdf Notice - 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 Linkage https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18975.html https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18975.html Fri, 07 Aug 2009 00:00:00 -0700 E9-18975 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18975.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18974.html https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18974.html Fri, 07 Aug 2009 00:00:00 -0700 E9-18974 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18974.pdf Proposed Rule - Political Contributions by Certain Investment Advisers https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18807.html https://regulations.justia.com/regulations/fedreg/2009/08/07/E9-18807.html Fri, 07 Aug 2009 00:00:00 -0700 E9-18807 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-08-07/pdf/E9-18807.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18765.html https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18765.html Thu, 06 Aug 2009 00:00:00 -0700 E9-18765 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-06/pdf/E9-18765.pdf Notice - 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 Board https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18764.html https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18764.html Thu, 06 Aug 2009 00:00:00 -0700 E9-18764 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-06/pdf/E9-18764.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18763.html https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18763.html Thu, 06 Aug 2009 00:00:00 -0700 E9-18763 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-06/pdf/E9-18763.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18762.html https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18762.html Thu, 06 Aug 2009 00:00:00 -0700 E9-18762 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-06/pdf/E9-18762.pdf Notice - Approval of Investment Adviser Registration Depository Filing Fees https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18761.html https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18761.html Thu, 06 Aug 2009 00:00:00 -0700 E9-18761 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-06/pdf/E9-18761.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2009/08/05/E9-18668.html https://regulations.justia.com/regulations/fedreg/2009/08/05/E9-18668.html Wed, 05 Aug 2009 00:00:00 -0700 E9-18668 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-05/pdf/E9-18668.pdf Notice - 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, 2009 https://regulations.justia.com/regulations/fedreg/2009/08/05/E9-18667.html https://regulations.justia.com/regulations/fedreg/2009/08/05/E9-18667.html Wed, 05 Aug 2009 00:00:00 -0700 E9-18667 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-05/pdf/E9-18667.pdf Notice - 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, 2009 https://regulations.justia.com/regulations/fedreg/2009/08/05/E9-18666.html https://regulations.justia.com/regulations/fedreg/2009/08/05/E9-18666.html Wed, 05 Aug 2009 00:00:00 -0700 E9-18666 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-05/pdf/E9-18666.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2009/08/05/E9-18665.html https://regulations.justia.com/regulations/fedreg/2009/08/05/E9-18665.html Wed, 05 Aug 2009 00:00:00 -0700 E9-18665 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-05/pdf/E9-18665.pdf Notice - In the Matter of Gulf Alternative Energy Corporation; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18669.html https://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18669.html Tue, 04 Aug 2009 00:00:00 -0700 E9-18669 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-04/pdf/E9-18669.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18563.html https://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18563.html Tue, 04 Aug 2009 00:00:00 -0700 E9-18563 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-04/pdf/E9-18563.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18560.html https://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18560.html Tue, 04 Aug 2009 00:00:00 -0700 E9-18560 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-04/pdf/E9-18560.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18559.html https://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18559.html Tue, 04 Aug 2009 00:00:00 -0700 E9-18559 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-04/pdf/E9-18559.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change Relating to Municipal Bonds Redemption Process https://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18558.html https://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18558.html Tue, 04 Aug 2009 00:00:00 -0700 E9-18558 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-04/pdf/E9-18558.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18434.html https://regulations.justia.com/regulations/fedreg/2009/08/04/E9-18434.html Tue, 04 Aug 2009 00:00:00 -0700 E9-18434 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-08-04/pdf/E9-18434.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2009/08/03/E9-18421.html https://regulations.justia.com/regulations/fedreg/2009/08/03/E9-18421.html Mon, 03 Aug 2009 00:00:00 -0700 E9-18421 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-03/pdf/E9-18421.pdf