Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2008/10?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-18T06:46:17-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2008/10/31/Z8-25388.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, Entitled “Order Execution”2008-10-31T00:00:00-07:002008-10-31T00:00:00-07:00Z8-25388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-31/pdf/Z8-25388.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/31/E8-25976.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure To Require Arbitrators To Provide an Explained Decision Upon the Joint Request of the Parties2008-10-31T00:00:00-07:002008-10-31T00:00:00-07:00E8-25976Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-31/pdf/E8-25976.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/31/E8-25865.htmlNotice - Proposed Collection; Comment Request2008-10-31T00:00:00-07:002008-10-31T00:00:00-07:00E8-25865Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-31/pdf/E8-25865.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/31/E8-25864.htmlNotice - Proposed Collection; Comment Request2008-10-31T00:00:00-07:002008-10-31T00:00:00-07:00E8-25864Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-31/pdf/E8-25864.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/31/E8-25862.htmlNotice - Reserve Municipal Money-Market Trust, et al.; Notice of Application and Temporary Order2008-10-31T00:00:00-07:002008-10-31T00:00:00-07:00E8-25862Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-31/pdf/E8-25862.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/31/E8-25861.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Rule 17 To Rescind the Provisions of Paragraph (b) Governing Vendor Liability2008-10-31T00:00:00-07:002008-10-31T00:00:00-07:00E8-25861Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-31/pdf/E8-25861.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25924.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing of the NETS S&P/MIB Index Fund (Italy)2008-10-30T00:00:00-07:002008-10-30T00:00:00-07:00E8-25924Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25924.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25923.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing To Amend NYSE Arca Equities Rule 5.2(j)(6)(v) in Order To Add the CBOE Volatility Index® (VIX®) Futures (“VIX Futures”) to the Definition of Futures Reference Asset2008-10-30T00:00:00-07:002008-10-30T00:00:00-07:00E8-25923Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25923.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25914.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Relocation of the Trading of Certain Debt Securities Conducted on or Through the Exchange's Legacy Trading Systems and Facilities to an Automated Bond Trading Platform Based on NYSE BondsSM2008-10-30T00:00:00-07:002008-10-30T00:00:00-07:00E8-25914Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25914.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25913.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Subscribership to NYSE Bonds and Provide That All NYSE Members and Member Organizations Are Eligible To Access NYSE Bonds2008-10-30T00:00:00-07:002008-10-30T00:00:00-07:00E8-25913Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25913.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25867.htmlNotice - Proposed Collection; Comment Request2008-10-30T00:00:00-07:002008-10-30T00:00:00-07:00E8-25867Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25867.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25866.htmlNotice - Proposed Collection; Comment Request2008-10-30T00:00:00-07:002008-10-30T00:00:00-07:00E8-25866Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25866.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/30/E8-25863.htmlNotice - Proposed Collection; Comment Request2008-10-30T00:00:00-07:002008-10-30T00:00:00-07:00E8-25863Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-30/pdf/E8-25863.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25881.htmlNotice - Hat Trick Beverage, Inc.; Order of Suspension of Trading2008-10-29T00:00:00-07:002008-10-29T00:00:00-07:00E8-25881Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25881.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25810.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Rules Governing Options Trading2008-10-29T00:00:00-07:002008-10-29T00:00:00-07:00E8-25810Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25810.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25809.htmlNotice - Self-Regulatory Organizations; The New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Temporarily Suspend the Operation of NYSE Rule 123D(3) to Respond to Market Conditions for Thornburg Mortgage, Inc. (TMA) on September 29, 20082008-10-29T00:00:00-07:002008-10-29T00:00:00-07:00E8-25809Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25809.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25808.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend Section 4(c) of Schedule A of the FINRA By-Laws To Increase Certain Qualification Examination Fees2008-10-29T00:00:00-07:002008-10-29T00:00:00-07:00E8-25808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25808.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25807.htmlNotice - The Reserve Fund; Notice of Application2008-10-29T00:00:00-07:002008-10-29T00:00:00-07:00E8-25807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25807.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25806.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Fourteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Tenth Substantive Amendment to the Restated Consolidated Quotation Plan2008-10-29T00:00:00-07:002008-10-29T00:00:00-07:00E8-25806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25806.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25797.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Create a New NYSE Market Model, With Certain Components To Operate as a One-Year Pilot, That Would Alter NYSE's Priority and Parity Rules, Phase Out Specialists by Creating a Designated Market Maker, and Provide Market Participants With Additional Abilities To Post Hidden Liquidity2008-10-29T00:00:00-07:002008-10-29T00:00:00-07:00E8-25797Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25797.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/29/E8-25715.htmlNotice - Sunshine Act Meeting2008-10-29T00:00:00-07:002008-10-29T00:00:00-07:00E8-25715Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-29/pdf/E8-25715.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/28/E8-25651.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Nasdaq Options Maintenance Tool and Related Fees2008-10-28T00:00:00-07:002008-10-28T00:00:00-07:00E8-25651Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-28/pdf/E8-25651.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/28/E8-25627.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change Related to Trades in Restricted Classes; Correction2008-10-28T00:00:00-07:002008-10-28T00:00:00-07:00E8-25627Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-28/pdf/E8-25627.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25538.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Immediately Add Two New VIX Option Series Within Five Days of Expiration2008-10-27T00:00:00-07:002008-10-27T00:00:00-07:00E8-25538Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25538.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25537.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rules Relating to the Minimum Size Requirement for Quotations2008-10-27T00:00:00-07:002008-10-27T00:00:00-07:00E8-25537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25537.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25536.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Change in the Percentage Ownership Interest in the Boston Options Exchange Group, LLC2008-10-27T00:00:00-07:002008-10-27T00:00:00-07:00E8-25536Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25536.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25528.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC To Amend NYSE Alternext Equities Rule 123D(4) To Expand That Rule's Trading Halt Condition To Cover All Structured Products2008-10-27T00:00:00-07:002008-10-27T00:00:00-07:00E8-25528Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25528.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25505.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving 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 Shares2008-10-27T00:00:00-07:002008-10-27T00:00:00-07:00E8-25505Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25505.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25504.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Amendments to Rule 9.21 (Communications to Customers)2008-10-27T00:00:00-07:002008-10-27T00:00:00-07:00E8-25504Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25504.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25503.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BATS Exchange, Inc.2008-10-27T00:00:00-07:002008-10-27T00:00:00-07:00E8-25503Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25503.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25502.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Registered Representative Fee and an Options Regulatory Fee2008-10-27T00:00:00-07:002008-10-27T00:00:00-07:00E8-25502Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25502.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/27/E8-25428.htmlNotice - Sunshine Act Meeting2008-10-27T00:00:00-07:002008-10-27T00:00:00-07:00E8-25428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-27/pdf/E8-25428.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25402.htmlNotice - Boulder Total Return Fund, Inc., et al.; Notice of Application2008-10-24T00:00:00-07:002008-10-24T00:00:00-07:00E8-25402Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25402.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25388.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, Entitled “Order Execution”2008-10-24T00:00:00-07:002008-10-24T00:00:00-07:00E8-25388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25388.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25387.htmlNotice - Roundtable on Mark-to-Market Accounting2008-10-24T00:00:00-07:002008-10-24T00:00:00-07:00E8-25387Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25387.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25379.htmlNotice - Submission for OMB Review; Comment Request2008-10-24T00:00:00-07:002008-10-24T00:00:00-07:00E8-25379Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25379.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25375.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Fee Schedule To Increase the Liquidity Taking Fee for Automatic Execution Mode Transactions2008-10-24T00:00:00-07:002008-10-24T00:00:00-07:00E8-25375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25375.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25374.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate FINRA/NSX Trade Reporting Facility Securities Transaction Credit Program2008-10-24T00:00:00-07:002008-10-24T00:00:00-07:00E8-25374Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25374.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25373.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Adopt Rules To Permit the Trading of Rate-Modified Foreign Currency Options2008-10-24T00:00:00-07:002008-10-24T00:00:00-07:00E8-25373Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25373.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25372.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Revising NYSE Arca Rule 5.3 To Enable the Listing and Trading of Options on Managed Fund Shares2008-10-24T00:00:00-07:002008-10-24T00:00:00-07:00E8-25372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25372.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25371.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Related to Amendments to Rule 925 (Confirmations) and Rule 921 (Opening of Accounts)2008-10-24T00:00:00-07:002008-10-24T00:00:00-07:00E8-25371Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25371.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/24/E8-25361.htmlNotice - The Zweig Total Return Fund, Inc., et al.; Notice of Application2008-10-24T00:00:00-07:002008-10-24T00:00:00-07:00E8-25361Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-24/pdf/E8-25361.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25319.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Amending NYSE Rule 18 To Allow NYSE Alternext US LLC To Participate in the Compensation Fund Established by NYSE To Reimburse Claimants for Losses Associated With NYSE-Operated System Failures2008-10-23T00:00:00-07:002008-10-23T00:00:00-07:00E8-25319Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25319.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25245.htmlNotice - Proposed Collection; Comment Request2008-10-23T00:00:00-07:002008-10-23T00:00:00-07:00E8-25245Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25245.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25244.htmlNotice - Proposed Collection; Comment Request2008-10-23T00:00:00-07:002008-10-23T00:00:00-07:00E8-25244Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25244.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25243.htmlNotice - WLD Enterprises, Inc.; Notice of Application2008-10-23T00:00:00-07:002008-10-23T00:00:00-07:00E8-25243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25243.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25242.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Suspend, Through January 16, 2009, the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares2008-10-23T00:00:00-07:002008-10-23T00:00:00-07:00E8-25242Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25242.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25241.htmlNotice - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for BATS Exchange, Inc.2008-10-23T00:00:00-07:002008-10-23T00:00:00-07:00E8-25241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25241.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25240.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, BATS Exchange, Inc., Boston Stock Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE Arca Inc., NYSE Regulation, Inc., and Philadelphia Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules2008-10-23T00:00:00-07:002008-10-23T00:00:00-07:00E8-25240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25240.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25239.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Minor Rule Plan2008-10-23T00:00:00-07:002008-10-23T00:00:00-07:00E8-25239Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25239.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/23/E8-25238.htmlNotice - Proposed Collection; Comment Request2008-10-23T00:00:00-07:002008-10-23T00:00:00-07:00E8-25238Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-23/pdf/E8-25238.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/22/E8-25164.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2008-10-22T00:00:00-07:002008-10-22T00:00:00-07:00E8-25164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-22/pdf/E8-25164.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/22/E8-25030.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the NASDAQ OMX PHLX, Inc. Relating to a Surcharge Fee2008-10-22T00:00:00-07:002008-10-22T00:00:00-07:00E8-25030Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-22/pdf/E8-25030.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/22/E8-25029.htmlNotice - Proposed Collection; Comment Request2008-10-22T00:00:00-07:002008-10-22T00:00:00-07:00E8-25029Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-22/pdf/E8-25029.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/21/E8-25144.htmlNotice - e-Smart Technologies, Inc.; Order of Suspension of Trading2008-10-21T00:00:00-07:002008-10-21T00:00:00-07:00E8-25144Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-21/pdf/E8-25144.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/21/E8-24975.htmlNotice - Resubmission of Comment Letters2008-10-21T00:00:00-07:002008-10-21T00:00:00-07:00E8-24975Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-21/pdf/E8-24975.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/21/E8-24972.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change as Amended To Increase Liquidity Resources2008-10-21T00:00:00-07:002008-10-21T00:00:00-07:00E8-24972Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-21/pdf/E8-24972.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/21/E8-24971.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change Related to Trades in Restricted Classes2008-10-21T00:00:00-07:002008-10-21T00:00:00-07:00E8-24971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-21/pdf/E8-24971.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/21/E8-24739.htmlNotice - 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 That Apply to the Primary Only Plus Order2008-10-21T00:00:00-07:002008-10-21T00:00:00-07:00E8-24739Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-21/pdf/E8-24739.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/20/E8-24754.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rules Governing Doing Business With the Public2008-10-20T00:00:00-07:002008-10-20T00:00:00-07:00E8-24754Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-20/pdf/E8-24754.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/20/E8-24753.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NYSE Rule 123B.30 (Exchange Automated Order Routing System) To Align the Rule Governing Sponsored Access to the Exchange With the Current Industry Standard2008-10-20T00:00:00-07:002008-10-20T00:00:00-07:00E8-24753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-20/pdf/E8-24753.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/20/E8-24752.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Class Quoting Limit in One Option Class2008-10-20T00:00:00-07:002008-10-20T00:00:00-07:00E8-24752Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-20/pdf/E8-24752.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/20/E8-24740.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., The NASDAQ Stock Market LLC, NYSE Arca, Inc., and NASDAQ OMX PHLX, Inc., Relating to Options Market Surveillance2008-10-20T00:00:00-07:002008-10-20T00:00:00-07:00E8-24740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-20/pdf/E8-24740.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/20/E8-24738.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Chapter XXX and References to Chapter XXX Throughout the CBOE Rulebook2008-10-20T00:00:00-07:002008-10-20T00:00:00-07:00E8-24738Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-20/pdf/E8-24738.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/17/E8-24895.htmlRule - Disclosure of Short Sales and Short Positions by Institutional Investment Managers2008-10-17T00:00:00-07:002008-10-17T00:00:00-07:00E8-24895Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-17/pdf/E8-24895.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/17/E8-24785.htmlRule - Amendments to Regulation SHO2008-10-17T00:00:00-07:002008-10-17T00:00:00-07:00E8-24785Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-17/pdf/E8-24785.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/17/E8-24742.htmlRule - Amendments to Regulation SHO2008-10-17T00:00:00-07:002008-10-17T00:00:00-07:00E8-24742Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-17/pdf/E8-24742.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/17/E8-24720.htmlNotice - Sunshine Act Meeting2008-10-17T00:00:00-07:002008-10-17T00:00:00-07:00E8-24720Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-17/pdf/E8-24720.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/17/E8-24714.htmlRule - ``Naked'' Short Selling Antifraud Rule2008-10-17T00:00:00-07:002008-10-17T00:00:00-07:00E8-24714Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-17/pdf/E8-24714.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/17/E8-24625.htmlProposed Rule - Indexed Annuities and Certain Other Insurance Contracts2008-10-17T00:00:00-07:002008-10-17T00:00:00-07:00E8-24625Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-17/pdf/E8-24625.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/15/E8-24443.htmlNotice - Sunshine Act Meeting2008-10-15T00:00:00-07:002008-10-15T00:00:00-07:00E8-24443Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-15/pdf/E8-24443.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/15/E8-24377.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to UPC Advisory on Trading Halts in OTC Equity Securities2008-10-15T00:00:00-07:002008-10-15T00:00:00-07:00E8-24377Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-15/pdf/E8-24377.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/15/E8-24376.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)2008-10-15T00:00:00-07:002008-10-15T00:00:00-07:00E8-24376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-15/pdf/E8-24376.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/15/E8-24375.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for Access to the Clearly Erroneous Functionality of the Nasdaq Regulation Reconnaissance Service2008-10-15T00:00:00-07:002008-10-15T00:00:00-07:00E8-24375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-15/pdf/E8-24375.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/15/E8-24369.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Extend Until January 9, 2009, the Operation of Interim NYSE Rule 128 (“Clearly Erroneous Executions for NYSE Equities”) Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions if They Rise 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 Malfunction2008-10-15T00:00:00-07:002008-10-15T00:00:00-07:00E8-24369Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-15/pdf/E8-24369.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/15/E8-24365.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ OMX PHLX, Inc. Relating to Deleting Unnecessary Fees2008-10-15T00:00:00-07:002008-10-15T00:00:00-07:00E8-24365Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-15/pdf/E8-24365.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/15/E8-24344.htmlNotice - Proposed Extension of Existing Collection; Comment Request2008-10-15T00:00:00-07:002008-10-15T00:00:00-07:00E8-24344Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-15/pdf/E8-24344.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/14/E8-24245.htmlNotice - SEC Study of Mark to Market Accounting2008-10-14T00:00:00-07:002008-10-14T00:00:00-07:00E8-24245Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-14/pdf/E8-24245.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/14/E8-24242.htmlNotice - Calamos Convertible Opportunities and Income Fund, et al.; Notice of Application2008-10-14T00:00:00-07:002008-10-14T00:00:00-07:00E8-24242Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-14/pdf/E8-24242.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/14/E8-24241.htmlNotice - Self-Regulatory Organizations: Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Adopt Rule 12905 of the Code of Arbitration Procedure for Customer Disputes and Rule 13905 of the Code of Arbitration Procedure for Industry Disputes To Permit Submissions Under Limited Circumstances to Arbitrators After a Case Has Closed2008-10-14T00:00:00-07:002008-10-14T00:00:00-07:00E8-24241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-14/pdf/E8-24241.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/14/E8-24239.htmlNotice - Proposed Collection; Comment Request2008-10-14T00:00:00-07:002008-10-14T00:00:00-07:00E8-24239Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-14/pdf/E8-24239.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/14/E8-24238.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change Amending NYSE Arca Equities Rules 5.1(b)(14) and 5.2(j)(2) To Permit the Listing of Equity Linked Notes That Are Linked to Securities Issued by Companies Registered Under the Investment Company Act of 19402008-10-14T00:00:00-07:002008-10-14T00:00:00-07:00E8-24238Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-14/pdf/E8-24238.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/14/E8-24237.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2008-10-14T00:00:00-07:002008-10-14T00:00:00-07:00E8-24237Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-14/pdf/E8-24237.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/14/E8-24236.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 48 To Permit the Exchange To Declare an Extreme Market Volatility Condition and Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange2008-10-14T00:00:00-07:002008-10-14T00:00:00-07:00E8-24236Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-14/pdf/E8-24236.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/14/E8-24235.htmlNotice - Proposed Collection; Comment Request2008-10-14T00:00:00-07:002008-10-14T00:00:00-07:00E8-24235Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-14/pdf/E8-24235.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/10/E8-24182.htmlNotice - Self-Regulatory Organizations; Notice of Filing by New York Stock Exchange LLC To Adopt an Additional Initial Listing Standard for Operating Companies2008-10-10T00:00:00-07:002008-10-10T00:00:00-07:00E8-24182Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-10/pdf/E8-24182.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/10/E8-24181.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC To Adopt a Policy Relating to its Treatment of Trade Reports That It Determines To Be Inconsistent With the Prevailing Market2008-10-10T00:00:00-07:002008-10-10T00:00:00-07:00E8-24181Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-10/pdf/E8-24181.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/10/E8-24180.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing Certain Derivative Products Pursuant to Continued Listing Criteria2008-10-10T00:00:00-07:002008-10-10T00:00:00-07:00E8-24180Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-10/pdf/E8-24180.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/10/E8-24179.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 6.87-Obvious Errors and Catastrophic Errors2008-10-10T00:00:00-07:002008-10-10T00:00:00-07:00E8-24179Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-10/pdf/E8-24179.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/10/E8-24178.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC To Adopt an Initial Listing Standard Applicable Only to Companies Transferring From NYSE Arca2008-10-10T00:00:00-07:002008-10-10T00:00:00-07:00E8-24178Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-10/pdf/E8-24178.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/10/E8-24121.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating to Amending NASD Rule 2220 (Options Communications With the Public)2008-10-10T00:00:00-07:002008-10-10T00:00:00-07:00E8-24121Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-10/pdf/E8-24121.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/10/E8-24120.htmlNotice - 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 Fees2008-10-10T00:00:00-07:002008-10-10T00:00:00-07:00E8-24120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-10/pdf/E8-24120.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/10/E8-24119.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ OMX PHLX, Inc. Relating to Clarification Regarding Capitalization-Weighting of Indexes2008-10-10T00:00:00-07:002008-10-10T00:00:00-07:00E8-24119Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-10/pdf/E8-24119.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/10/E8-24118.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 16 and NSX Fee Schedule Concerning Liquidity-Adding Rebates and Market Data Credits for Order Delivery Transactions2008-10-10T00:00:00-07:002008-10-10T00:00:00-07:00E8-24118Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-10/pdf/E8-24118.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/10/E8-24117.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Continued Listing Criteria Applicable to Equity Linked Notes and “Other Securities”2008-10-10T00:00:00-07:002008-10-10T00:00:00-07:00E8-24117Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-10/pdf/E8-24117.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/10/E8-24116.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change Relating to Margin Requirements for Fixed Return Options2008-10-10T00:00:00-07:002008-10-10T00:00:00-07:00E8-24116Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-10/pdf/E8-24116.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/09/E8-23979.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Expand DTC's Debit Cap Look-Ahead Processing2008-10-09T00:00:00-07:002008-10-09T00:00:00-07:00E8-23979Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-09/pdf/E8-23979.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/09/E8-23978.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Order Routing2008-10-09T00:00:00-07:002008-10-09T00:00:00-07:00E8-23978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-09/pdf/E8-23978.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/09/E8-23940.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ OMX PHLX, Inc. Relating to an Order Entry Port Fee2008-10-09T00:00:00-07:002008-10-09T00:00:00-07:00E8-23940Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-09/pdf/E8-23940.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/09/E8-23932.htmlNotice - Proposed Collection; Comment Request2008-10-09T00:00:00-07:002008-10-09T00:00:00-07:00E8-23932Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-09/pdf/E8-23932.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/09/E8-23931.htmlNotice - Proposed Collection; Comment Request2008-10-09T00:00:00-07:002008-10-09T00:00:00-07:00E8-23931Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-09/pdf/E8-23931.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/09/E8-23930.htmlNotice - Proposed Collection; Comment Request2008-10-09T00:00:00-07:002008-10-09T00:00:00-07:00E8-23930Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-09/pdf/E8-23930.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/09/E8-23929.htmlNotice - Proposed Collection; Comment Request2008-10-09T00:00:00-07:002008-10-09T00:00:00-07:00E8-23929Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-09/pdf/E8-23929.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/09/E8-23928.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 104.10 To Extend the Duration of the Pilot Program Applicable to Conditional Transactions as Defined in Rule 104.10(6)(i) in all Securities to the Earlier of December 31, 2008 or the Approval of SR-NYSE-2008-462008-10-09T00:00:00-07:002008-10-09T00:00:00-07:00E8-23928Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-09/pdf/E8-23928.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/09/E8-23927.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Electronic Indicative FLEX Quotes2008-10-09T00:00:00-07:002008-10-09T00:00:00-07:00E8-23927Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-09/pdf/E8-23927.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/09/E8-23926.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Permissible Exercise Price and Premium Calculations for FLEX Equity Options2008-10-09T00:00:00-07:002008-10-09T00:00:00-07:00E8-23926Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-09/pdf/E8-23926.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/09/E8-23925.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by American Stock Exchange LLC Relating to the Amex Price List After the Acquisition of NYSE Euronext2008-10-09T00:00:00-07:002008-10-09T00:00:00-07:00E8-23925Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-09/pdf/E8-23925.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/09/E8-23924.htmlNotice - Proposed Collection; Comment Request2008-10-09T00:00:00-07:002008-10-09T00:00:00-07:00E8-23924Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-09/pdf/E8-23924.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/09/E8-22515.htmlRule - Commission Guidance and Revisions to the Cross-Border Tender Offer, Exchange Offer, Rights Offerings, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions2008-10-09T00:00:00-07:002008-10-09T00:00:00-07:00E8-22515Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-09/pdf/E8-22515.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23862.htmlNotice - Order Extending Emergency Order Pursuant to Section 12(K)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23862Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23862.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23861.htmlNotice - Amendment to Order and Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23861Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23861.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23843.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Extend for Three Months the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers (“RCMMs”) Pursuant to NYSE Rule 107A and Competitive Traders (“CTs”) Pursuant to NYSE Rule 1102008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23843Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23843.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23842.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Relating to the Price Improvement Mechanism2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23842Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23842.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23840.htmlNotice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to the Interpretive Notice Regarding Compliance Rule 2-9: Enhanced Supervisory Requirements2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23840Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23840.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23839.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Establish a Membership Waive-in Process and Fee Waiver for Certain NYSE Alternext U.S. LLC Member Organizations2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23839.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23838.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing of MacroShares Major Metro Housing Trusts2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23838Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23838.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23837.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Extend the Moratorium on the Administration of the Specialist Performance Evaluation Questionnaire (“SPEQ”) Pursuant to Exchange Rule 103A and the Use of the SPEQ Pursuant to Rule 103B (“Moratorium”) to the Earlier of December 31, 2008 or the Approval of SR-NYSE-2008-52, To Continue To Suspend the Use of SuperDot Turnaround for Orders Received and Responses to Administrative Messages as Objective Measures in the Assessment of Specialist Performance During the Moratorium and That the SPEQ and Order Reports/Administrative Responses Continue To Be Removed From the Criteria Used To Commence a Specialist Performance Improvement Action2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23837Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23837.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23836.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC To Remove Rule 6800 From the Nasdaq Rules2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23836Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23836.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23835.htmlNotice - Proposed Collection; Comment Request2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23835Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23835.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23767.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Amending Rules Governing Membership in Order To Waive-In Members in Good Standing of the American Stock Exchange LLC as Members and Member Organizations of the Exchange2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23767Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23767.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23766.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of Proposed Rule Change To Establish New Membership, Member Firm Conduct, and Equity Trading Rules Following the Exchange's Acquisition by NYSE Euronext2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23766Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23766.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23765.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Rules To Provide for a Minimum Execution Quantity Instruction on Certain Pegged Zero Display Reserve Orders2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23765.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23764.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a New Order Type2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23764.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23763.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fees Schedule2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23763.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23762.htmlNotice - Joint Industry Plan; Notice of Filing and Order Granting Temporary Effectiveness of Amendment To Plan Establishing Procedures Under Rule 605 of Regulation NMS2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23762Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23762.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23761.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Enhance Processing of Exchange-Traded Funds2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23761Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23761.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23760.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Cancellation Fees2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23760Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23760.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23759.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of a Proposed Rule Change Relating to the Appointment of Market Makers on the Boston Options Exchange Facility2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23759Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23759.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23758.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating to an Exchange Member's Conduct of Doing Business With the Public2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23758Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23758.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23757.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposal To Permit $1 Strikes for MNX Options2008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23757Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23757.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/08/E8-23756.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Reserve Orders on the Exchange to the Earlier of December 31, 2008 or the Date on Which the Commission Approves the Exchange's Filing Pursuant to SR-NYSE-2008-462008-10-08T00:00:00-07:002008-10-08T00:00:00-07:00E8-23756Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-08/pdf/E8-23756.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/07/E8-23691.htmlNotice - Aberdeen Asset Management Inc. and Aberdeen Funds, et al.; Notice of Application2008-10-07T00:00:00-07:002008-10-07T00:00:00-07:00E8-23691Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-07/pdf/E8-23691.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/07/E8-23689.htmlNotice - HLHZ Investments II, LLC and Houlihan, Lokey, Howard & Zukin, Inc.; Notice of Application2008-10-07T00:00:00-07:002008-10-07T00:00:00-07:00E8-23689Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-07/pdf/E8-23689.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/07/E8-23688.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rules of the Government Securities Division To Expand the Types of Securities Eligible for the GCF Repo Service2008-10-07T00:00:00-07:002008-10-07T00:00:00-07:00E8-23688Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-07/pdf/E8-23688.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/07/E8-23672.htmlNotice - Eaton Vance Floating-Rate Income Trust, et al.; Notice of Application2008-10-07T00:00:00-07:002008-10-07T00:00:00-07:00E8-23672Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-07/pdf/E8-23672.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/07/E8-23614.htmlNotice - Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments2008-10-07T00:00:00-07:002008-10-07T00:00:00-07:00E8-23614Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-07/pdf/E8-23614.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/07/E8-23613.htmlNotice - Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments2008-10-07T00:00:00-07:002008-10-07T00:00:00-07:00E8-23613Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-07/pdf/E8-23613.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/06/E8-23579.htmlNotice - Sunshine Act Meeting2008-10-06T00:00:00-07:002008-10-06T00:00:00-07:00E8-23579Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-06/pdf/E8-23579.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/06/E8-23498.htmlNotice - Sunshine Act Meeting2008-10-06T00:00:00-07:002008-10-06T00:00:00-07:00E8-23498Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-06/pdf/E8-23498.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/06/E8-23492.htmlNotice - MCG Capital Corporation, et al.; Notice of Application2008-10-06T00:00:00-07:002008-10-06T00:00:00-07:00E8-23492Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-06/pdf/E8-23492.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/06/E8-23491.htmlNotice - H&Q Healthcare Investors, et al.; Notice of Application2008-10-06T00:00:00-07:002008-10-06T00:00:00-07:00E8-23491Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-06/pdf/E8-23491.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/06/E8-23490.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ OMX PHLX, Inc. Relating to the Phlx XL Risk Monitor Mechanism2008-10-06T00:00:00-07:002008-10-06T00:00:00-07:00E8-23490Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-06/pdf/E8-23490.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/06/E8-23489.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Trading Hours of the ISE Stock Exchange2008-10-06T00:00:00-07:002008-10-06T00:00:00-07:00E8-23489Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-06/pdf/E8-23489.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/06/E8-23488.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading the Two-Character Ticker Symbol “TO”2008-10-06T00:00:00-07:002008-10-06T00:00:00-07:00E8-23488Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-06/pdf/E8-23488.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/06/E8-23487.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending NYSE Arca Equities Rule 7.31(x) to Change the Permissible Order Entry Time and Eligibility of Its Primary Only Order and Amending NYSE Arca Equities Rule 14.3 to Establish Procedures Designed To Manage Potential Informational Advantages Resulting From the Affiliation Between the Exchange and Archipelago Securities L.L.C.2008-10-06T00:00:00-07:002008-10-06T00:00:00-07:00E8-23487Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-06/pdf/E8-23487.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/06/E8-23486.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending NYSE Rule 2B To Establish Procedures Designed To Manage Potential Informational Advantages Resulting From the Affiliation Between the Exchange and Archipelago Securities L.L.C.2008-10-06T00:00:00-07:002008-10-06T00:00:00-07:00E8-23486Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-06/pdf/E8-23486.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/06/E8-22760.htmlRule - Foreign Issuer Reporting Enhancements2008-10-06T00:00:00-07:002008-10-06T00:00:00-07:00E8-22760Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-06/pdf/E8-22760.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/03/E8-23411.htmlNotice - WisdomTree Asset Management, Inc. and WisdomTree Trust; Notice of Application2008-10-03T00:00:00-07:002008-10-03T00:00:00-07:00E8-23411Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-03/pdf/E8-23411.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/03/E8-23410.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC Relating to Fee Changes2008-10-03T00:00:00-07:002008-10-03T00:00:00-07:00E8-23410Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-03/pdf/E8-23410.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/03/E8-23409.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Foreign Currency Options Closing Settlement Value2008-10-03T00:00:00-07:002008-10-03T00:00:00-07:00E8-23409Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-03/pdf/E8-23409.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/03/E8-23366.htmlNotice - First Trust Advisors L.P., et al.; Notice of Application2008-10-03T00:00:00-07:002008-10-03T00:00:00-07:00E8-23366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-03/pdf/E8-23366.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/03/E8-23365.htmlNotice - Forward Funds and Forward Management, LLC; Notice of Application2008-10-03T00:00:00-07:002008-10-03T00:00:00-07:00E8-23365Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-03/pdf/E8-23365.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/03/E8-23364.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC Relating to Amending the Fee Schedule2008-10-03T00:00:00-07:002008-10-03T00:00:00-07:00E8-23364Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-03/pdf/E8-23364.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/03/E8-23363.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Remove From Rule 7019 the Fees for Receiving Index Values2008-10-03T00:00:00-07:002008-10-03T00:00:00-07:00E8-23363Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-03/pdf/E8-23363.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/03/E8-23362.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Trading Halt Rule in Connection With the Dissemination of Net Asset Value and Disclosed Portfolio for Certain Derivative Securities Products2008-10-03T00:00:00-07:002008-10-03T00:00:00-07:00E8-23362Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-03/pdf/E8-23362.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/03/E8-23346.htmlNotice - Invesco PowerShares Capital Management LLC, et al.; Notice of Application2008-10-03T00:00:00-07:002008-10-03T00:00:00-07:00E8-23346Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-03/pdf/E8-23346.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/03/E8-23343.htmlNotice - Dodge & Cox Funds and Dodge & Cox Incorporated; Notice of Application2008-10-03T00:00:00-07:002008-10-03T00:00:00-07:00E8-23343Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-03/pdf/E8-23343.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/03/E8-23314.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving the Adoption of New Rule 478T To Set Forth the Temporary Procedures That Will Apply To Disciplinary Proceedings Pending as of the Closing Date of the Acquisition of Amex by NYSE Euronext2008-10-03T00:00:00-07:002008-10-03T00:00:00-07:00E8-23314Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-03/pdf/E8-23314.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/03/E8-23313.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 1 and 4 Thereto, Relating to the Acquisition of the Amex by NYSE Euronext; Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Acquisition of the Amex by NYSE Euronext2008-10-03T00:00:00-07:002008-10-03T00:00:00-07:00E8-23313Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-03/pdf/E8-23313.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/02/E8-23378.htmlNotice - MB Tech, Inc., Order of Suspension of Trading2008-10-02T00:00:00-07:002008-10-02T00:00:00-07:00E8-23378Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-02/pdf/E8-23378.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/02/E8-23283.htmlNotice - Sunshine Act Meeting2008-10-02T00:00:00-07:002008-10-02T00:00:00-07:00E8-23283Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-02/pdf/E8-23283.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/02/E8-23282.htmlNotice - Sunshine Act Meeting2008-10-02T00:00:00-07:002008-10-02T00:00:00-07:00E8-23282Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-02/pdf/E8-23282.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/02/E8-23198.htmlNotice - Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 19402008-10-02T00:00:00-07:002008-10-02T00:00:00-07:00E8-23198Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-02/pdf/E8-23198.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/02/E8-23197.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook2008-10-02T00:00:00-07:002008-10-02T00:00:00-07:00E8-23197Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-02/pdf/E8-23197.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/02/E8-23196.htmlNotice - Self-Regulatory Organizations: Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook2008-10-02T00:00:00-07:002008-10-02T00:00:00-07:00E8-23196Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-02/pdf/E8-23196.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/02/E8-23195.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure To Raise the Amount in Controversy Heard by a Single Chair-Qualified Arbitrator to $100,0002008-10-02T00:00:00-07:002008-10-02T00:00:00-07:00E8-23195Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-02/pdf/E8-23195.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/02/E8-23194.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change To Allow Issuers of Exchange-Traded Funds (“ETFs”) and Structured Products Who Are Voluntarily Delisting the Securities From the Exchange and Re-Listing on Another National Securities Exchange To Submit to the Exchange a Letter From an Authorized Officer of the Issuer Rather Than a Certified Copy of Board of Directors Resolutions2008-10-02T00:00:00-07:002008-10-02T00:00:00-07:00E8-23194Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-02/pdf/E8-23194.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/02/E8-23193.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Modify Its Policy With Respect to Legal Opinions in Connection With Listings of Securities2008-10-02T00:00:00-07:002008-10-02T00:00:00-07:00E8-23193Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-02/pdf/E8-23193.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/02/E8-23192.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ProShares Trust II2008-10-02T00:00:00-07:002008-10-02T00:00:00-07:00E8-23192Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-02/pdf/E8-23192.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/02/E8-23057.htmlRule - Technical Amendment to Item 407 of Regulation S-K2008-10-02T00:00:00-07:002008-10-02T00:00:00-07:00E8-23057Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-02/pdf/E8-23057.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-23105.htmlNotice - Roundtable on Modernizing the SEC's Disclosure System2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-23105Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-23105.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-23086.htmlNotice - Wendt-Bristol Health Services Corp.; Order of Suspension of Trading2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-23086Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-23086.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-23074.htmlNotice - Sunshine Act Meeting2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-23074Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-23074.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-23048.htmlNotice - Sunshine Act Meeting2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-23048Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-23048.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-23047.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Supervision of Market Letters2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-23047Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-23047.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-23044.htmlNotice - Aberdeen Asset Management Inc., et al.; Notice of Application2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-23044Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-23044.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-23043.htmlNotice - Van Kampen Retirement Strategy Trust, et al.; Notice of Application2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-23043Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-23043.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-23042.htmlNotice - Delaware Management Business Trust, et al.; Notice of Application2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-23042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-23042.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-23041.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rulebook Chapter XI To Add Four New Rules Regarding the Registration and Obligations of Market Makers and Amend Rule 1.5 To Add Definitions of “Market Maker” and “Market Maker Authorized Trader”2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-23041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-23041.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-23040.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Adoption of NASD Rules 4000 Through 10000 Series and the 12000 Through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook; Order Approving Proposed Rule Change Relating to the Membership Waive-In Process for Certain New York Stock Exchange Members; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook; Order Approving Proposed Rule Change To Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook; and Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Repeal NASD Rule 1130 and Incorporated Rules 405A, 440F, 440G and 447 as Part of th2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-23040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-23040.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-22969.htmlNotice - Proposed Collection; Comment Request2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-22969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-22969.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-22968.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Nasdaq's PORTAL Market2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-22968Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-22968.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-22967.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes.2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-22967Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-22967.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-22966.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Proposing To Suspend the Operation of Certain NYSE Rules To Respond to the Impact to the Marketplace of the Events of September 15, 2008, Including the Bankruptcy Filing by Lehman Brothers Holding Inc.2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-22966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-22966.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-22965.htmlNotice - Joint Industry Plan; Order Granting Permanent Approval to Amendment No. 2 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-22965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-22965.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-22964.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Rule 1000 (“Automatic Execution of Limit Orders Against Orders Reflected in NYSE Published Quotation”)2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-22964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-22964.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-22961.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consolidating Into a Single Rule Certain Requirements for Products Traded on the Exchange Pursuant to Unlisted Trading Privileges2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-22961Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-22961.pdfhttps://regulations.justia.com/regulations/fedreg/2008/10/01/E8-22960.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Administration and Enforcement of Certain Rules Pertaining to XLE2008-10-01T00:00:00-07:002008-10-01T00:00:00-07:00E8-22960Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-10-01/pdf/E8-22960.pdf