<![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/2009/09/08?registers=between Sun, 22 Dec 2024 07:23:54 -0800 Sun, 22 Dec 2024 07:23:54 -0800 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/2009/09/08?registers=between 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/2009/09/08/Z9-20788.html https://regulations.justia.com/regulations/fedreg/2009/09/08/Z9-20788.html Tue, 08 Sep 2009 00:00:00 -0700 Z9-20788 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/Z9-20788.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21716.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21716.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21716 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21716.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Error in Rule 7018 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21667.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21667.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21667 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21667.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Procedures Followed When a Listed Company Falls Below Certain Listing Requirements https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21644.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21644.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21644 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21644.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/2009/09/08/E9-21643.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21643.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21643 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21643.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/2009/09/08/E9-21642.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21642.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21642 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21642.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Eliminating NYSE Arca Equities Rule 7.26, Adding New NYSE Arca Equities Rule 6.7 and Amending NYSE Arca Equities Rule 6.18 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21641.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21641.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21641 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21641.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Risk Management Gateway (“RMG”) Service https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21640.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21640.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21640 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21640.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Additional Trading Sessions https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21639.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21639.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21639 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21639.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Clear Options Based on Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21638.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21638.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21638 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21638.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Changes to Rule 312 in Connection With the Purchase by International Securities Exchange Holdings, Inc. of Equity Interests in Optifreeze, LLC https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21637.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21637.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21637 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21637.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until September 8, 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/2009/09/08/E9-21636.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21636.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21636 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21636.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21635.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21635.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21635 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21635.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Eliminate One of the Indemnity Surety Programs in the Profile Modification System https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21619.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21619.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21619 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21619.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21618.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21618.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21618 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21618.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a Retroactive Waiver of the Cancellation Fee https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21611.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21611.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21611 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21611.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/2009/09/08/E9-21587.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21587.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21587 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21587.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 103B and 104 To Increase the Amount of Time That a Designated Market Maker Unit Must Maintain a Bid and an Offer at the National Best Bid and National Best Offer for an Aggregate Average Period of Time Monthly https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21586.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21586.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21586 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21586.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Grandfathered Rules of the Exchange https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21585.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21585.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21585 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21585.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Nasdaq Listing Rules To Make Certain Conforming and Technical Changes https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21584.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21584.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21584 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21584.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Permit All CBSX Market-Makers To Operate From the CBSX Floor Post https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21583.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21583.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21583 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21583.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit FLEX Options on Securities Eligible for Non-FLEX Options Trading and on Corporate Debt Securities https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21582.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21582.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21582 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21582.pdf Notice - AdvisorOne Funds and CLS Investments, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21494.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21494.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21494 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21494.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Standard and Poor's Depository Receipts/SPDRs (“SPY”) Equity Options https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21457.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21457.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21457 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21457.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend BATS Fee Schedule to Impose Fees for Ports Used for Order Entry and Receipt of Market Data https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21455.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21455.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21455 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21455.pdf Notice - Privacy Act of 1974: Establishment of a System of Records https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21444.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21444.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21444 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21444.pdf