Securities and Exchange Commission December 31, 2008 – Federal Register Recent Federal Regulation Documents

Results 1 - 22 of 22
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Routing to an Affiliated Exchange
Document Number: E8-31130
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31130.html
Records Services, Fee Schedule
Document Number: E8-31127
Type: Proposed Rule
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is soliciting comments on a proposed amendment to its regulation governing the fees for records services. The Commission's schedule of fees for records services will be updated using a formula for the calculation of fees under the Freedom of Information Act (``FOIA'') and language that directs FOIA requesters to the Commission's Web site. Using a formula, instead of set rates, will allow the Commission to charge fees that reflect its allowable direct costs.
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31127.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish Its New Risk Management Gateway Service
Document Number: E8-31102
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31102.html
Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing of Proposed Rule Change To Establish Its New Risk Management Gateway Service
Document Number: E8-31101
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31101.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Extend to March 27, 2009, the Operative Date of New York Stock Exchange Rule 2 Requirement That NYSE-Only Member Organizations Apply for and Be Approved as a Member of the Financial Industry Regulatory Authority, Inc.
Document Number: E8-31100
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31100.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending NYSE Arca Equities Rule 5.2(j)(6), the Exchange's Initial Listing Standards for Equity Index-Linked Securities, Commodity-Linked Securities, Currency-Linked Securities, Fixed Income Index-Linked Securities, Futures-Linked Securities and Multifactor Index-Linked Securities
Document Number: E8-31098
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31098.html
Self-Regulatory Organizations; Boston Stock Exchange, Incorporated; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Establish New Rules for Membership, Member Conduct, and the Listing and Trading of Cash Equity Securities; Order Granting an Exemption for the Boston Stock Exchange, Incorporated From Section 11A(b) of the Securities Exchange Act of 1934
Document Number: E8-31094
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31094.html
Submission for OMB Review; Comment Request
Document Number: E8-31093
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31093.html
Submission for OMB Review; Comment Request
Document Number: E8-31092
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31092.html
Submission for OMB Review; Comment Request
Document Number: E8-31091
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31091.html
Citigroup Global Markets Inc., et al.; Notice of Application and Temporary Order
Document Number: E8-31090
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31090.html
Grail Advisors, LLC and Grail Advisors' Alpha ETF Trust; Notice of Application
Document Number: E8-31089
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31089.html
Sun Life Assurance Company of Canada (U.S.), et al., Notice of Application
Document Number: E8-31088
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31088.html
UBS Securities LLC, et al.; Notice of Application and Temporary Order
Document Number: E8-31087
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31087.html
AdvisorShares Investments, LLC and AdvisorShares Trust; Notice of Application
Document Number: E8-31086
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31086.html
Submission for OMB Review; Comment Request
Document Number: E8-31085
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31085.html
Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing of Proposed Rule Change Amending Rules Governing the Trading of Listed Options on NYSE Amex
Document Number: E8-31053
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31053.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Clarify Amendments to “Other Securities” Initial Listing Standards
Document Number: E8-31052
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31052.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Proposed Rule Change To Amend NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order)
Document Number: E8-31051
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31051.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Close of Trading on the ISE Stock Exchange
Document Number: E8-31050
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31050.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Establish a Trading License Fee for 2009 and Amend Certain Other Floor Fees
Document Number: E8-31049
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31049.html
Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change As Amended To Increase Liquidity Resources
Document Number: E8-31048
Type: Notice
Date: 2008-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31048.html
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