Securities and Exchange Commission September 2008 – Federal Register Recent Federal Regulation Documents

Results 51 - 100 of 148
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc. (f/k/a National Association of Securities Dealers, Inc.); Order Approving Proposed Rule Change, as Modified by Amendment No. 2, To Amend the Minimum Price-Improvement Standards Set Forth in NASD Interpretive Material (“IM”) 2110-2
Document Number: E8-22011
Type: Notice
Date: 2008-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/22/E8-22011.html
In the Matter of: EA Industries, Inc., Ebiz Enterprises, Inc., and Einstein Noah Bagel Corp. (n/k/a ENBC Corp.); Order of Suspension of Trading
Document Number: E8-22071
Type: Notice
Date: 2008-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/19/E8-22071.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Conforming Certain NYSE Rules to Changes to NYSE Incorporated Rules Recently Filed by the Financial Industry Regulatory Authority, Inc.
Document Number: E8-21948
Type: Notice
Date: 2008-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/19/E8-21948.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.5, Entitled “Orders and Modifiers,” To Provide for a New Order Type-Modified Destination Specific Order
Document Number: E8-21947
Type: Notice
Date: 2008-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/19/E8-21947.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Determine That a Company Meets the Exchange's Market Value Requirements by Relying on a Third-Party Valuation of the Company
Document Number: E8-21944
Type: Notice
Date: 2008-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/19/E8-21944.html
Proposed Collection; Comment Request
Document Number: E8-21902
Type: Notice
Date: 2008-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/19/E8-21902.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending NYSE Arca Equities Rules 5.1(b)(14) and 5.2(j)(2) To Permit the Listing of ELNs That Are Linked to Securities Issued by Companies Registered Under the Investment Company Act of 1940
Document Number: E8-21901
Type: Notice
Date: 2008-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/19/E8-21901.html
Submission for OMB Review; Comment Request
Document Number: E8-21765
Type: Notice
Date: 2008-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/19/E8-21765.html
In the Matter of Cadema Corp. and Caredata.com, Inc.; Order of Suspension of Trading
Document Number: E8-21938
Type: Notice
Date: 2008-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/18/E8-21938.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 8.3A Pertaining to Class Quoting Limits
Document Number: E8-21766
Type: Notice
Date: 2008-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/18/E8-21766.html
Proposed Collection; Comment Request
Document Number: E8-21764
Type: Notice
Date: 2008-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/18/E8-21764.html
Rafferty Asset Management, LLC, et al.; Notice of Application
Document Number: E8-21763
Type: Notice
Date: 2008-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/18/E8-21763.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Eliminate the Requirement To Report Yield to TRACE and for FINRA To Calculate and Disseminate a Standard Yield
Document Number: E8-21762
Type: Notice
Date: 2008-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/18/E8-21762.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Listing and Trading of Options on Section 107 Securities
Document Number: E8-21761
Type: Notice
Date: 2008-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/18/E8-21761.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule Change To Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance With SEC Regulation M) in the Consolidated FINRA Rulebook
Document Number: E8-21760
Type: Notice
Date: 2008-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/18/E8-21760.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Hybrid Electronic Quoting Fee
Document Number: E8-21759
Type: Notice
Date: 2008-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/18/E8-21759.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing of the iShares Lehman Agency Bond Fund
Document Number: E8-21758
Type: Notice
Date: 2008-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/18/E8-21758.html
In the Matter of B.B. Walker Co., Bellatrix International, Inc., Belmont Resources, Inc., Beres Industries, Inc., Best Products Co., Inc., Bethlehem Corp., and Bogue Electric Manufacturing Co. (n/k/a Bogue International, Inc.); Order of Suspension of Trading
Document Number: E8-21830
Type: Notice
Date: 2008-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/17/E8-21830.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 11.5, entitled “Orders and Modifiers,” To Provide for a New Order Type-Modified Directed Intermarket Sweep Order
Document Number: E8-21708
Type: Notice
Date: 2008-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/17/E8-21708.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending NYSE Rule 104(e) (Dealings by Specialists) To Modify the Conditions Governing the Specialists' Use of the Price Improvement Trading Message Pursuant to NYSE Rule 104(b)(i)(H)
Document Number: E8-21707
Type: Notice
Date: 2008-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/17/E8-21707.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing and Trading of Shares of the PowerShares Active U.S. Real Estate Fund
Document Number: E8-21706
Type: Notice
Date: 2008-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/17/E8-21706.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To Establish a System for the Purchase of Equity Value Indicator Securities
Document Number: E8-21705
Type: Notice
Date: 2008-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/17/E8-21705.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Resume the Operation of NYSE Rule 123D(3) With Respect to Trading in the Securities of Fannie Mae and Freddie Mac Beginning on September 11, 2008, Following the Suspension of That Rule Pursuant to SR-NYSE-2008-81
Document Number: E8-21704
Type: Notice
Date: 2008-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/17/E8-21704.html
American Environmental Corp.; (n/k/a TrackBets International, Inc.), BAM! Entertainment, Inc., Entertainment Technologies & Programs, Inc., Inter Con PC, Inc., Rudy Nutrition, Trans Global Services, Inc., XCL Ltd., and ZymeTx, Inc.; Order of Suspension of Trading
Document Number: E8-21649
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21649.html
Sunshine Act Meeting
Document Number: E8-21643
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21643.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan
Document Number: E8-21616
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21616.html
Sunshine Act Meeting
Document Number: E8-21607
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21607.html
Global X Funds and Global X Management Company LLC; Notice of Application
Document Number: E8-21545
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21545.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Adopt on a Permanent Basis a Pilot Program Which Allows the Exchange To Adjust the Earnings of Companies for Purposes of Its Earnings Standard by Reversing the Income Statement Effects of Changes in Fair Value of Financial Instruments Extinguished at the Time of Listing
Document Number: E8-21544
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21544.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Make Permanent a Pilot Program Under Which the Exchange Excludes From Its Earnings Standard Gains or Losses From Extinguishment of Debt Prior to Maturity
Document Number: E8-21543
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21543.html
Submission for OMB Review; Comment Request
Document Number: E8-21535
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21535.html
Submission for OMB Review; Comment Request
Document Number: E8-21534
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21534.html
Submission for OMB Review; Comment Request
Document Number: E8-21533
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21533.html
Submission for OMB Review; Comment Request
Document Number: E8-21532
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21532.html
Submission for OMB Review; Comment Request
Document Number: E8-21531
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21531.html
Proposed Collection; Comment Request
Document Number: E8-21530
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21530.html
Submission for OMB Review; Comment Request
Document Number: E8-21529
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21529.html
Submission for OMB Review; Comment Request
Document Number: E8-21528
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21528.html
Proposed Collection; Comment Request
Document Number: E8-21527
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21527.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 5.2(j)(3) in Connection With Generic Listing Standards for Multiple Fund Shares and Inverse Fund Shares
Document Number: E8-21526
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21526.html
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Transfer of Ownership of MX US 2, Inc.; Correction
Document Number: E8-21485
Type: Notice
Date: 2008-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/16/E8-21485.html
Proposed Collection; Comment Request
Document Number: E8-21408
Type: Notice
Date: 2008-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/15/E8-21408.html
Submission for OMB Review; Comment Request
Document Number: E8-21407
Type: Notice
Date: 2008-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/15/E8-21407.html
Submission for OMB Review; Comment Request
Document Number: E8-21406
Type: Notice
Date: 2008-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/15/E8-21406.html
Proposed Collection; Comment Request
Document Number: E8-21405
Type: Notice
Date: 2008-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/15/E8-21405.html
Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Trade Shares of 12 Funds of the WisdomTree Trust Pursuant to Unlisted Trading Privileges
Document Number: E8-21392
Type: Notice
Date: 2008-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/15/E8-21392.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-Displayed Penny Quotes and Orders
Document Number: E8-21391
Type: Notice
Date: 2008-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/15/E8-21391.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Rule Proposed by New York Stock Exchange LLC To Suspend the Operation of NYSE Rule 123D With Respect to Trading in the Securities of Fannie Mae and Freddie Mac
Document Number: E8-21333
Type: Notice
Date: 2008-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/15/E8-21333.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Reduce the Period Within Which Companies Must Issue a Press Release After the Exchange Notifies Them That They Are Noncompliant With Exchange Listing Requirements
Document Number: E8-21332
Type: Notice
Date: 2008-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/15/E8-21332.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To List and Trade ELEMENTSSM
Document Number: E8-21331
Type: Notice
Date: 2008-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/09/15/E8-21331.html