Securities and Exchange Commission September 8, 2009 – Federal Register Recent Federal Regulation Documents

Results 1 - 26 of 26
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
Document Number: Z9-20788
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/Z9-20788.html
Sunshine Act Meeting
Document Number: E9-21716
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21716.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Error in Rule 7018
Document Number: E9-21667
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21667.html
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
Document Number: E9-21644
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21644.html
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
Document Number: E9-21643
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21643.html
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
Document Number: E9-21642
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21642.html
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
Document Number: E9-21641
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21641.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Risk Management Gateway (“RMG”) Service
Document Number: E9-21640
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21640.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Additional Trading Sessions
Document Number: E9-21639
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21639.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Clear Options Based on Index-Linked Securities
Document Number: E9-21638
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21638.html
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
Document Number: E9-21637
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21637.html
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
Document Number: E9-21636
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21636.html
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
Document Number: E9-21635
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21635.html
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
Document Number: E9-21619
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21619.html
Submission for OMB Review; Comment Request
Document Number: E9-21618
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21618.html
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
Document Number: E9-21611
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21611.html
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
Document Number: E9-21587
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21587.html
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
Document Number: E9-21586
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21586.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Grandfathered Rules of the Exchange
Document Number: E9-21585
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21585.html
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
Document Number: E9-21584
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21584.html
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
Document Number: E9-21583
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21583.html
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
Document Number: E9-21582
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21582.html
AdvisorOne Funds and CLS Investments, LLC; Notice of Application
Document Number: E9-21494
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21494.html
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
Document Number: E9-21457
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21457.html
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
Document Number: E9-21455
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21455.html
Privacy Act of 1974: Establishment of a System of Records
Document Number: E9-21444
Type: Notice
Date: 2009-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission (``Commission'' or ``SEC'') gives notice of a proposed Privacy Act system of records: ``Ethics Conduct Rules Files (SEC-60).'' This system will contain information related to applicable SEC Ethics Conduct Rules (currently found at 17 CFR Part 200 Subpart M), including outside employment and activities, and covered securities transactions, securities holdings and securities accounts.
https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21444.html
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