Securities and Exchange Commission October 2009 – Federal Register Recent Federal Regulation Documents

Results 151 - 156 of 156
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E9-23669
Type: Notice
Date: 2009-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On or about March 1, 1996, applicant transferred its assets to Keystone Tax Free Fund, based on net asset value. Expenses incurred in connection with the reorganization were paid by applicant.
https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23669.html
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
Document Number: E9-23626
Type: Notice
Date: 2009-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23626.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending Rule 10.12 (Minor Rule Plan)
Document Number: E9-23625
Type: Notice
Date: 2009-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23625.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Related to Market-Maker and Specialist Orders
Document Number: E9-23624
Type: Notice
Date: 2009-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23624.html
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
Document Number: E9-23623
Type: Notice
Date: 2009-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23623.html
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
Document Number: E9-23622
Type: Notice
Date: 2009-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23622.html
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