Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2008?limit=200®isters=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom2024-05-23T19:30:03-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31130.htmlNotice - 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 Exchange2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31130.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31127.htmlProposed Rule - Records Services, Fee Schedule2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31127Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31127.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31102.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish Its New Risk Management Gateway Service2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31102Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31102.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31101.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing of Proposed Rule Change To Establish Its New Risk Management Gateway Service2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31101Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31101.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31100.htmlNotice - 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.2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31100Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31100.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31098.htmlNotice - 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 Securities2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31098Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31098.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31094.htmlNotice - 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 19342008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31094Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31094.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31093.htmlNotice - Submission for OMB Review; Comment Request2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31093Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31093.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31092.htmlNotice - Submission for OMB Review; Comment Request2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31092Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31092.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31091.htmlNotice - Submission for OMB Review; Comment Request2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31091Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31091.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31090.htmlNotice - Citigroup Global Markets Inc., et al.; Notice of Application and Temporary Order2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31090Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31090.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31089.htmlNotice - Grail Advisors, LLC and Grail Advisors' Alpha ETF Trust; Notice of Application2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31089Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31089.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31088.htmlNotice - Sun Life Assurance Company of Canada (U.S.), et al., Notice of Application2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31088Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31088.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31087.htmlNotice - UBS Securities LLC, et al.; Notice of Application and Temporary Order2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31087Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31087.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31086.htmlNotice - AdvisorShares Investments, LLC and AdvisorShares Trust; Notice of Application2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31086Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31086.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31085.htmlNotice - Submission for OMB Review; Comment Request2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31085Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31085.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31053.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing of Proposed Rule Change Amending Rules Governing the Trading of Listed Options on NYSE Amex2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31053Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31053.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31052.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Clarify Amendments to “Other Securities” Initial Listing Standards2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31052Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31052.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31051.htmlNotice - 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)2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31051Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31051.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31050.htmlNotice - 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 Exchange2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31050Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31050.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31049.htmlNotice - 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 Fees2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31049Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31049.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/31/E8-31048.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change As Amended To Increase Liquidity Resources2008-12-31T00:00:00-08:002008-12-31T00:00:00-08:00E8-31048Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-31/pdf/E8-31048.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/30/E8-30938.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. To Amend the Sanctioning Guidelines2008-12-30T00:00:00-08:002008-12-30T00:00:00-08:00E8-30938Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-30/pdf/E8-30938.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/30/E8-30898.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Minimum Price Variation of $0.01 for Orders and Quotations in Bonds Admitted to Dealings on NYSE Alternext2008-12-30T00:00:00-08:002008-12-30T00:00:00-08:00E8-30898Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-30/pdf/E8-30898.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/30/E8-30897.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Amend the Requirements of Section 203.01 of the Listed Company Manual with respect to Annual Reports2008-12-30T00:00:00-08:002008-12-30T00:00:00-08:00E8-30897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-30/pdf/E8-30897.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/30/E8-30862.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Purchase by International Securities Exchange Holdings, Inc., of an Ownership Interest in Direct Edge Holdings, Inc.2008-12-30T00:00:00-08:002008-12-30T00:00:00-08:00E8-30862Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-30/pdf/E8-30862.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/30/E8-30861.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 International Securities Exchange, LLC and the Financial Industry Regulatory Authority, Inc.2008-12-30T00:00:00-08:002008-12-30T00:00:00-08:00E8-30861Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-30/pdf/E8-30861.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/30/E8-30860.htmlNotice - Order Granting Application for a Temporary Conditional Exemption Pursuant to Section 36(a) of the Exchange Act by the International Securities Exchange, LLC Relating to the Acquisition by International Securities Exchange Holdings, Inc. of an Electronic Communications Network2008-12-30T00:00:00-08:002008-12-30T00:00:00-08:00E8-30860Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-30/pdf/E8-30860.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/30/E8-30859.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. To List Options on the Mini-Nasdaq-100 Index at $1 Strike Price Intervals2008-12-30T00:00:00-08:002008-12-30T00:00:00-08:00E8-30859Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-30/pdf/E8-30859.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/30/E8-30858.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2008-12-30T00:00:00-08:002008-12-30T00:00:00-08:00E8-30858Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-30/pdf/E8-30858.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/30/E8-30857.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting of Transfers of Securities Subject to an Asset Purchase Agreement2008-12-30T00:00:00-08:002008-12-30T00:00:00-08:00E8-30857Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-30/pdf/E8-30857.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/30/E8-30856.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Duration of the Hybrid Rule Pertaining to Orders Represented in Open Outcry2008-12-30T00:00:00-08:002008-12-30T00:00:00-08:00E8-30856Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-30/pdf/E8-30856.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/30/E8-30855.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402008-12-30T00:00:00-08:002008-12-30T00:00:00-08:00E8-30855Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-30/pdf/E8-30855.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30790.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5240 (Anti Intimidation / Coordination) in the Consolidated FINRA Rulebook2008-12-29T00:00:00-08:002008-12-29T00:00:00-08:00E8-30790Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30790.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30789.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Minimum Price Variation of $0.01 for Orders and Quotations in Bonds Admitted to Dealings on NYSE2008-12-29T00:00:00-08:002008-12-29T00:00:00-08:00E8-30789Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30789.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30788.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Name of BATS Holdings, Inc.2008-12-29T00:00:00-08:002008-12-29T00:00:00-08:00E8-30788Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30788.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30787.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC That the $8,000,000 Annual Trading Floor Regulatory Fee Allocated Among the Designated Market Maker Firms, Formerly Referred to as the “Specialist Trading Floor Regulatory Fee,” Be Reduced by 50% for 2008, and Eliminated Thereafter2008-12-29T00:00:00-08:002008-12-29T00:00:00-08:00E8-30787Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30787.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30786.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Relating to Applicant and Member Disqualification Criteria2008-12-29T00:00:00-08:002008-12-29T00:00:00-08:00E8-30786Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30786.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30785.htmlNotice - Self-Regulatory Organizations: Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Adoption of NASD Rules 12805 and 13805 as FINRA Rules in the New Consolidated FINRA Rulebook2008-12-29T00:00:00-08:002008-12-29T00:00:00-08:00E8-30785Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30785.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30784.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Discontinue Policy of Prohibiting Transfer Agents from Charging Fees for Issuing Stock Certificates2008-12-29T00:00:00-08:002008-12-29T00:00:00-08:00E8-30784Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30784.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30783.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change to Amend Rules to Add an Agreement from Fund Members that Submit Mutual Fund Profile Information2008-12-29T00:00:00-08:002008-12-29T00:00:00-08:00E8-30783Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30783.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30782.htmlNotice - Proposed Collection; Comment Request2008-12-29T00:00:00-08:002008-12-29T00:00:00-08:00E8-30782Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30782.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/23/E8-30431.htmlNotice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20092008-12-23T00:00:00-08:002008-12-23T00:00:00-08:00E8-30431Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-23/pdf/E8-30431.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/23/E8-30408.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change to Amend Exchange Rule 4.21 Relating to Third Party Deposits2008-12-23T00:00:00-08:002008-12-23T00:00:00-08:00E8-30408Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-23/pdf/E8-30408.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/22/E8-30322.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Implement a New Service To Allow Issuers To Track and Limit the Number of Beneficial Owners for an Individual CUSIP2008-12-22T00:00:00-08:002008-12-22T00:00:00-08:00E8-30322Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-22/pdf/E8-30322.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/22/E8-30321.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Boston Stock Exchange, Incorporated2008-12-22T00:00:00-08:002008-12-22T00:00:00-08:00E8-30321Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-22/pdf/E8-30321.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/22/E8-30320.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Generic Listing Standards for Index Multiple Exchange Traded Fund Shares and Index Inverse Exchange Traded Fund Shares2008-12-22T00:00:00-08:002008-12-22T00:00:00-08:00E8-30320Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-22/pdf/E8-30320.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/22/E8-30319.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules002008-12-22T00:00:00-08:002008-12-22T00:00:00-08:00E8-30319Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-22/pdf/E8-30319.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/22/E8-30318.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of the Exchange2008-12-22T00:00:00-08:002008-12-22T00:00:00-08:00E8-30318Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-22/pdf/E8-30318.pdfhttps://regulations.justia.com/regulations/fedreg/2008/12/22/E8-30317.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2008-12-22T00:00:00-08:002008-12-22T00:00:00-08:00E8-30317Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-12-22/pdf/E8-30317.pdf