<![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/2009/10?registers=between&min-day=1&max-day=31 Wed, 01 May 2024 10:48:10 -0700 Wed, 01 May 2024 10:48:10 -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/2009/10?registers=between&min-day=1&max-day=31 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26257.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26257.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26257 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26257.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26256.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26256.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26256 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26256.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26177.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26177.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26177 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26177.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26176.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26176.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26176 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26176.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26175.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26175.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26175 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26175.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change relating to Its Market Loan Program To Allow Dividend Equivalent Payments To Be Principally Effected Through The Depository Trust Company's Facilities https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26174.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26174.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26174 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26174.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Listing Option Series That Are Restricted to Closing Transactions if Such Series Are Listed and Restricted to Closing Transactions on Another National Securities Exchange https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26173.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26173.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26173 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26173.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the TOPO Plus Orders Data Feed https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26172.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26172.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26172 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26172.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc., Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26171.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26171.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26171 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26171.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26150.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26150.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26150 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26150.pdf Notice - Planetgood Technologies, Inc (n/k/a All American Coffee & Beverage, Inc.), Platronics, Inc., Plus Solutions, Inc., Portacom Wireless, Inc., Prime Holdings & Investments, Inc., Pro-After, Inc. (f/k/a PurchasePro.Com, Inc.), Project Group, Inc., ProLong International Corp., PSS, Inc., and Purus, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26158.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26158.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26158 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26158.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26061.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26061.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26061 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26061.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Clear Options Based on Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26027.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26027.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26027 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26027.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Its Initial Listing Fees for Operating Companies https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26026.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26026.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26026 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26026.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, to Extend the Pilot Program to Expose All-Or-None Orders for an Additional One Month https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26025.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26025.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26025 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26025.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26024.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26024.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26024 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26024.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Retroactively Correct an Error in Rule 7018 https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26023.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26023.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26023 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26023.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26022.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26022.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26022 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26022.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees for Crossing Orders https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26021.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26021.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26021 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26021.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Define Asset-Backed Securities, Mortgage-Backed Securities, and Other Similar Securities as TRACE-Eligible Securities and Require the Reporting of Transactions in Such Securities to TRACE https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25875.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25875.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25875 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25875.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA's Rules Governing Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25873.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25873.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25873 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25873.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25872.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25872.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25872 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25872.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Historical ISE Open/Close Trade Profile Fees https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25832.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25832.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25832 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25832.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Chicago Board Options Exchange Stock Exchange Fees Schedule Related to Stock Component of Stock-Option Cross Trade https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25831.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25831.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25831 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25831.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Interpretation and Policy .13 to Rule 5.3 https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25830.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25830.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25830 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25830.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Obligations of Lead Market Makers https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25829.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25829.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25829 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25829.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, LLC To Amend ISE Rules Relating to the Minimum Size Requirement for Quotations https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25828.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25828.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25828 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25828.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Retroactively Waiving the Cancellation Fee https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25827.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25827.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25827 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25827.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding Listing Certain Options at $1 Strike Price Intervals Below $200 and Listing Certain Options at $2.50 Strike Price Intervals Below $200 https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25826.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25826.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25826 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25826.pdf Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add BATS Exchange, Inc., as a Party Thereto https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25874.html https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25874.html Tue, 27 Oct 2009 00:00:00 -0700 E9-25874 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-27/pdf/E9-25874.pdf Proposed Rule - Credit Ratings Disclosure https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25813.html https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25813.html Tue, 27 Oct 2009 00:00:00 -0700 E9-25813 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-27/pdf/E9-25813.pdf Proposed Rule - Concept Release on Possible Rescission of Rule 436(g) Under the Securities Act of 1933 https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25811.html https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25811.html Tue, 27 Oct 2009 00:00:00 -0700 E9-25811 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-27/pdf/E9-25811.pdf Notice - Joint Industry Plan; Order Approving Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/10/26/E9-25709.html https://regulations.justia.com/regulations/fedreg/2009/10/26/E9-25709.html Mon, 26 Oct 2009 00:00:00 -0700 E9-25709 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-26/pdf/E9-25709.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; The NASDAQ Stock Market LLC; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Restated Certificate of Incorporation of The NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2009/10/26/E9-25708.html https://regulations.justia.com/regulations/fedreg/2009/10/26/E9-25708.html Mon, 26 Oct 2009 00:00:00 -0700 E9-25708 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-26/pdf/E9-25708.pdf Notice - Sun Sports and Entertainment, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25639.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25639.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25639 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25639.pdf Notice - Pacific Investment Management Company LLC and PIMCO ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25560.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25560.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25560 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25560.pdf Proposed Rule - Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25496.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25496.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25496 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25496.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25487.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25487.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25487 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25487.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25486.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25486.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25486 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25486.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25485.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25485.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25485 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25485.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25484.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25484.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25484 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25484.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25483.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25483.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25483 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25483.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25482.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25482.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25482 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25482.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25431.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25431.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25431 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25431.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) Into the Consolidated Rulebook https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25430.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25430.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25430 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25430.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25429.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25429.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25429 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25429.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Dates of the Quarterly Expansion of the Penny Pilot Program for Options https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25428.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25428.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25428 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25428.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25427.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25427.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25427 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25427.pdf Notice - Pioneer Diversified High Income Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25422.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25422.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25422 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25422.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7015 Governing Access Services To Add an Additional Service and Related Fee, and To Make a Technical Change https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25339.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25339.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25339 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25339.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Chapter XII of the BOX Rules https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25338.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25338.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25338 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25338.pdf Proposed Rule - Amendments to Rules Requiring Internet Availability of Proxy Materials https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25232.html https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25232.html Wed, 21 Oct 2009 00:00:00 -0700 E9-25232 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25232.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25208.html https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25208.html Wed, 21 Oct 2009 00:00:00 -0700 E9-25208 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25208.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25207.html https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25207.html Wed, 21 Oct 2009 00:00:00 -0700 E9-25207 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25207.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25206.html https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25206.html Wed, 21 Oct 2009 00:00:00 -0700 E9-25206 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25206.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change Amending NYSE Amex Options Rule 915 https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25205.html https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25205.html Wed, 21 Oct 2009 00:00:00 -0700 E9-25205 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25205.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Amending NYSE Arca Options Rule 5.3(j) https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25203.html https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25203.html Wed, 21 Oct 2009 00:00:00 -0700 E9-25203 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25203.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Amend the Grandfathered Rules of the Exchange https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25202.html https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25202.html Wed, 21 Oct 2009 00:00:00 -0700 E9-25202 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25202.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee for ISE Market Maker Orders Sent to the Exchange by Electronic Access Members https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25201.html https://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25201.html Wed, 21 Oct 2009 00:00:00 -0700 E9-25201 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25201.pdf Notice - Altiva Financial Corp., Atlantic Gulf Communities Corp., CFI Mortgage, Inc., Commodore Holdings Ltd., Conversion Technologies International, Inc., Cyntech Technologies, Inc., Diversified Senior Services, Inc., Dyersburg Corp., Flour City International, Inc., Gerald Stevens, Inc., Leisure Time Casinos & Resorts, Inc., and Platinum Entertainment, Inc. (n/k/a Vidalia Gichner Holdings, Inc.),; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/10/20/E9-25286.html https://regulations.justia.com/regulations/fedreg/2009/10/20/E9-25286.html Tue, 20 Oct 2009 00:00:00 -0700 E9-25286 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-20/pdf/E9-25286.pdf Notice - Neuberger Berman Management LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/10/20/E9-25137.html https://regulations.justia.com/regulations/fedreg/2009/10/20/E9-25137.html Tue, 20 Oct 2009 00:00:00 -0700 E9-25137 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-20/pdf/E9-25137.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25115.html https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25115.html Mon, 19 Oct 2009 00:00:00 -0700 E9-25115 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25115.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00 on the Boston Options Exchange Facility https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25114.html https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25114.html Mon, 19 Oct 2009 00:00:00 -0700 E9-25114 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25114.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 14 To Be Consistent With the New System Capability To Receive Orders for Execution on the Exchange Containing Settlement Instructions of “Cash,” “Next Day” and “Seller's Option” Directly to a Floor Broker's Hand-Held Device https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25113.html https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25113.html Mon, 19 Oct 2009 00:00:00 -0700 E9-25113 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25113.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 14 To Be Consistent With the New System Capability To Receive Orders for Execution on the Exchange Containing Settlement Instructions of “Cash,” “Next Day” and “Seller's Option” Directly to a Floor Broker's Hand-Held Device https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25112.html https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25112.html Mon, 19 Oct 2009 00:00:00 -0700 E9-25112 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25112.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123C(8)(a)(1) To Extend the Operation of the Extreme Order Imbalances Pilot https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25111.html https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25111.html Mon, 19 Oct 2009 00:00:00 -0700 E9-25111 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25111.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123C(8)(a)(1) To Extend the Operation of the Extreme Order Imbalances Pilot https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25110.html https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25110.html Mon, 19 Oct 2009 00:00:00 -0700 E9-25110 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25110.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Replacement Indexes for PowerShares DB Commodity Index Tracking Fund and PowerShares DB Agriculture Fund https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25109.html https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25109.html Mon, 19 Oct 2009 00:00:00 -0700 E9-25109 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25109.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25003.html https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25003.html Mon, 19 Oct 2009 00:00:00 -0700 E9-25003 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25003.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web Site https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25002.html https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25002.html Mon, 19 Oct 2009 00:00:00 -0700 E9-25002 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25002.pdf Rule - Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-24990.html https://regulations.justia.com/regulations/fedreg/2009/10/19/E9-24990.html Mon, 19 Oct 2009 00:00:00 -0700 E9-24990 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-24990.pdf Notice - Sunshine Act Meeting; Notice https://regulations.justia.com/regulations/fedreg/2009/10/16/E9-25048.html https://regulations.justia.com/regulations/fedreg/2009/10/16/E9-25048.html Fri, 16 Oct 2009 00:00:00 -0700 E9-25048 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-16/pdf/E9-25048.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/10/16/E9-25037.html https://regulations.justia.com/regulations/fedreg/2009/10/16/E9-25037.html Fri, 16 Oct 2009 00:00:00 -0700 E9-25037 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-16/pdf/E9-25037.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Payment for Order Flow Fees https://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24790.html https://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24790.html Thu, 15 Oct 2009 00:00:00 -0700 E9-24790 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-15/pdf/E9-24790.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Transaction Fees and Rebates https://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24738.html https://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24738.html Thu, 15 Oct 2009 00:00:00 -0700 E9-24738 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-15/pdf/E9-24738.pdf Notice - Draft 2010-2015 Strategic Plan for Securities and Exchange Commission https://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24713.html https://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24713.html Thu, 15 Oct 2009 00:00:00 -0700 E9-24713 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-15/pdf/E9-24713.pdf Proposed Rule - Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933 https://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24547.html https://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24547.html Thu, 15 Oct 2009 00:00:00 -0700 E9-24547 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-15/pdf/E9-24547.pdf Proposed Rule - Credit Ratings Disclosure https://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24546.html https://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24546.html Thu, 15 Oct 2009 00:00:00 -0700 E9-24546 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-15/pdf/E9-24546.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24633.html https://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24633.html Wed, 14 Oct 2009 00:00:00 -0700 E9-24633 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-14/pdf/E9-24633.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24632.html https://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24632.html Wed, 14 Oct 2009 00:00:00 -0700 E9-24632 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-14/pdf/E9-24632.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24631.html https://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24631.html Wed, 14 Oct 2009 00:00:00 -0700 E9-24631 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-14/pdf/E9-24631.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24630.html https://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24630.html Wed, 14 Oct 2009 00:00:00 -0700 E9-24630 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-14/pdf/E9-24630.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/2009/10/14/E9-24616.html https://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24616.html Wed, 14 Oct 2009 00:00:00 -0700 E9-24616 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-14/pdf/E9-24616.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Potential Payment Amounts Available Under Rule 4626 https://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24615.html https://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24615.html Wed, 14 Oct 2009 00:00:00 -0700 E9-24615 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-14/pdf/E9-24615.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/10/13/E9-24702.html https://regulations.justia.com/regulations/fedreg/2009/10/13/E9-24702.html Tue, 13 Oct 2009 00:00:00 -0700 E9-24702 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-13/pdf/E9-24702.pdf Notice - Morgan Stanley Investment Management Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/10/13/E9-24537.html https://regulations.justia.com/regulations/fedreg/2009/10/13/E9-24537.html Tue, 13 Oct 2009 00:00:00 -0700 E9-24537 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-13/pdf/E9-24537.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Potential Payment Amounts Available Under Nasdaq Rule 4626 https://regulations.justia.com/regulations/fedreg/2009/10/13/E9-24515.html https://regulations.justia.com/regulations/fedreg/2009/10/13/E9-24515.html Tue, 13 Oct 2009 00:00:00 -0700 E9-24515 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-13/pdf/E9-24515.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an Intermarket Sweep Order Credit https://regulations.justia.com/regulations/fedreg/2009/10/13/E9-24500.html https://regulations.justia.com/regulations/fedreg/2009/10/13/E9-24500.html Tue, 13 Oct 2009 00:00:00 -0700 E9-24500 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-13/pdf/E9-24500.pdf Proposed Rule - References to Ratings of Nationally Recognized Statistical Rating Organizations https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24365.html https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24365.html Fri, 09 Oct 2009 00:00:00 -0700 E9-24365 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24365.pdf Rule - References to Ratings of Nationally Recognized Statistical Rating Organizations https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24364.html https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24364.html Fri, 09 Oct 2009 00:00:00 -0700 E9-24364 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24364.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24358.html https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24358.html Fri, 09 Oct 2009 00:00:00 -0700 E9-24358 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24358.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24357.html https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24357.html Fri, 09 Oct 2009 00:00:00 -0700 E9-24357 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24357.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist and Registered Options Traders Allocation and Assignment Rules https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24356.html https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24356.html Fri, 09 Oct 2009 00:00:00 -0700 E9-24356 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24356.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Prohibit Options Specialist Commission Charges https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24355.html https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24355.html Fri, 09 Oct 2009 00:00:00 -0700 E9-24355 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24355.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendments to Rule A-13, on Underwriting Assessments and Rule G-32, on Disclosures in Connection With Primary Offerings https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24354.html https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24354.html Fri, 09 Oct 2009 00:00:00 -0700 E9-24354 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24354.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Grail American Beacon International Equity ETF https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24353.html https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24353.html Fri, 09 Oct 2009 00:00:00 -0700 E9-24353 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24353.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Discontinuation of the Specialist Fee Credit Pilot Program https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24352.html https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24352.html Fri, 09 Oct 2009 00:00:00 -0700 E9-24352 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24352.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Activity Assessment Fees https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24351.html https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24351.html Fri, 09 Oct 2009 00:00:00 -0700 E9-24351 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24351.pdf Notice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Fees for Certain Insurance and Retirement Processing Services https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24350.html https://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24350.html Fri, 09 Oct 2009 00:00:00 -0700 E9-24350 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24350.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24269.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24269.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24269 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24269.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PrecISE Fees https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24268.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24268.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24268 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24268.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend on CBSX the Taker Fees and Maker Rebates https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24267.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24267.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24267 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24267.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees for Certain Complex Orders https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24266.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24266.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24266 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24266.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References Within Certain FINRA Rules https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24265.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24265.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24265 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24265.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/2009/10/08/E9-24264.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24264.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24264 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24264.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/2009/10/08/E9-24263.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24263.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24263 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24263.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Discontinue Rebates Paid to Floor Brokers for Orders Swept Into the Close https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24262.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24262.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24262 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24262.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/2009/10/08/E9-24261.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24261.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24261 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24261.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Modify Its Requirements With Respect to Quarterly Earnings Releases https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24260.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24260.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24260 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24260.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt NASD Rules 2360 and 2361 Into the Consolidated Rulebook as FINRA Rules 2130 and 2270 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24259.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24259.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24259 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24259.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24250.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24250.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24250 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24250.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Rule 11.19 Governing Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24249.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24249.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24249 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24249.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the CBSX Obvious Error Rule https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24248.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24248.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24248 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24248.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.17, Entitled “Clearly Erroneous Executions” https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24247.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24247.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24247 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24247.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 128 Governing Clearly Erroneous Executions for NYSE Amex Equities https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24246.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24246.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24246 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24246.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Interim Rule 128 Governing Clearly Erroneous Executions for NYSE Equities https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24245.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24245.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24245 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24245.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Exchange Rule 11890 Governing Clearly Erroneous Executions Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 1 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24244.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24244.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24244 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24244.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend NASDAQ Rule 11890 Governing Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24243.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24243.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24243 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24243.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposal Relating to Exchange Rule Regarding Clearly Erroneous Transactions https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24242.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24242.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24242 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24242.pdf Notice - SpongeTech Delivery Systems, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24257.html https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24257.html Wed, 07 Oct 2009 00:00:00 -0700 E9-24257 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24257.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders From Archipelago Securities LLC https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24133.html https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24133.html Wed, 07 Oct 2009 00:00:00 -0700 E9-24133 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24133.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: (1) Codify the Exchange's Existing Practice That Renders Designated Market Marker Units Ineligible To Interview for Securities That Are Directly Related to the Performance or Credit of Any of the DMM's Affiliated Entities; (2) Define “Related Security” for Purposes of NYSE Rule 103B; (3) Provide That all Related Securities Listed Under Section 703.19 of the Exchange's Listed Company Manual Will Be Automatically Assigned to the Designated Market Maker Unit; (4) Define Repackaged Security for Purposes of NYSE Rule 103B, and Provide That Repackaged Securities are Allocated Through the Allocation Process Pursuant to NYSE Rule 103B https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24085.html https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24085.html Wed, 07 Oct 2009 00:00:00 -0700 E9-24085 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24085.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or November 30, 2009 https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24084.html https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24084.html Wed, 07 Oct 2009 00:00:00 -0700 E9-24084 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24084.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operation of Its New Market Model Pilot and Supplemental Liquidity Providers Pilot, Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilots Permanent or November 30, 2009 https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24083.html https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24083.html Wed, 07 Oct 2009 00:00:00 -0700 E9-24083 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24083.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Fees and Rebates in Various Trading Sessions https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24082.html https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24082.html Wed, 07 Oct 2009 00:00:00 -0700 E9-24082 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24082.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Orders From Archipelago Securities LLC https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24081.html https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24081.html Wed, 07 Oct 2009 00:00:00 -0700 E9-24081 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24081.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Orders from Archipelago Securities LLC https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24080.html https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24080.html Wed, 07 Oct 2009 00:00:00 -0700 E9-24080 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24080.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend the $1 Strike Program To Allow Low-Strike LEAPS https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24079.html https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24079.html Wed, 07 Oct 2009 00:00:00 -0700 E9-24079 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24079.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Related to Preferred Market Makers https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24078.html https://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24078.html Wed, 07 Oct 2009 00:00:00 -0700 E9-24078 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24078.pdf Notice - Evergreen Income Advantage Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-24005.html https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-24005.html Tue, 06 Oct 2009 00:00:00 -0700 E9-24005 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-24005.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23996.html https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23996.html Tue, 06 Oct 2009 00:00:00 -0700 E9-23996 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-23996.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23995.html https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23995.html Tue, 06 Oct 2009 00:00:00 -0700 E9-23995 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-23995.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 900.3NY https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23994.html https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23994.html Tue, 06 Oct 2009 00:00:00 -0700 E9-23994 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-23994.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23993.html https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23993.html Tue, 06 Oct 2009 00:00:00 -0700 E9-23993 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-23993.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change to Revise the Minimum Eligibility Criteria for Common Stock Loaned Through Stock Loan Programs and Deposited as Margin Collateral https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23992.html https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23992.html Tue, 06 Oct 2009 00:00:00 -0700 E9-23992 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-23992.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving Proposed Rule Change Amending Rule 476A (Imposition of Fines for Minor Violation(s) of Rules) https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23991.html https://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23991.html Tue, 06 Oct 2009 00:00:00 -0700 E9-23991 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-23991.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-24026.html https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-24026.html Mon, 05 Oct 2009 00:00:00 -0700 E9-24026 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-24026.pdf Notice - Charles Schwab Investment Management, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23891.html https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23891.html Mon, 05 Oct 2009 00:00:00 -0700 E9-23891 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-23891.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Permitting Affiliation With NYFIX Millennium L.L.C. and NYFIX Securities Corporation https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23854.html https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23854.html Mon, 05 Oct 2009 00:00:00 -0700 E9-23854 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-23854.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Permitting Affiliation With NYFIX Millennium L.L.C. and NYFIX Securities Corporation https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23853.html https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23853.html Mon, 05 Oct 2009 00:00:00 -0700 E9-23853 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-23853.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23852.html https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23852.html Mon, 05 Oct 2009 00:00:00 -0700 E9-23852 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-23852.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Commentary .06 to Rule 903, Series of Options Open for Trading https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23851.html https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23851.html Mon, 05 Oct 2009 00:00:00 -0700 E9-23851 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-23851.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Permitting Affiliation With NYFIX Millennium L.L.C. and NYFIX Securities Corporation https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23850.html https://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23850.html Mon, 05 Oct 2009 00:00:00 -0700 E9-23850 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-23850.pdf Notice - In the Matter of Emergent Health Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/10/02/E9-23882.html https://regulations.justia.com/regulations/fedreg/2009/10/02/E9-23882.html Fri, 02 Oct 2009 00:00:00 -0700 E9-23882 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-02/pdf/E9-23882.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Expanding TRACE To Include Agency Debt Securities and Primary Market Transactions https://regulations.justia.com/regulations/fedreg/2009/10/02/E9-23729.html https://regulations.justia.com/regulations/fedreg/2009/10/02/E9-23729.html Fri, 02 Oct 2009 00:00:00 -0700 E9-23729 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-02/pdf/E9-23729.pdf Notice - In the Matter of Consumers Financial Corporation; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23805.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23805.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23805 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23805.pdf Notice - Ridgewood Capital Energy Growth Fund, LLC, et al. https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23730.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23730.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23730 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23730.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving 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/2009/10/01/E9-23701.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23701.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23701 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23701.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend to November 30, 2010, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23699.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23699.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23699 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23699.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Commentary .04 to Rule 6.4 Series of Options Open for Trading https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23698.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23698.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23698 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23698.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23669.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23669.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23669 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23669.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; 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 Listing Four Grail Advisors RP Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23626.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23626.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23626 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23626.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending Rule 10.12 (Minor Rule Plan) https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23625.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23625.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23625 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23625.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Related to Market-Maker and Specialist Orders https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23624.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23624.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23624 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23624.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Payment Order System for Premium Payment Orders https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23623.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23623.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23623 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23623.pdf Notice - Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23622.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23622.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23622 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23622.pdf