Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/01?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T09:52:02-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2159.htmlNotice - In the Matter of Future Canada China Environment Inc.; Order of Suspension of Trading2009-01-30T00:00:00-08:002009-01-30T00:00:00-08:00E9-2159Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2159.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2061.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2009-01-30T00:00:00-08:002009-01-30T00:00:00-08:00E9-2061Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2061.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2021.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 15062009-01-30T00:00:00-08:002009-01-30T00:00:00-08:00E9-2021Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2021.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2020.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 2.5, Entitled “Restrictions,” and BATS Rule 11.4, Entitled “Authorized Traders.”2009-01-30T00:00:00-08:002009-01-30T00:00:00-08:00E9-2020Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2020.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2019.htmlNotice - Proposed Collection; Comment Request2009-01-30T00:00:00-08:002009-01-30T00:00:00-08:00E9-2019Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2019.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2016.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Temporarily Lower Its Average Global Market Capitalization Continued Listing Standard2009-01-30T00:00:00-08:002009-01-30T00:00:00-08:00E9-2016Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2016.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1983.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Provide The Options Clearing Corporation With Settlement Services for Stock Loan Transactions Entered Into Under the Market Loan Program2009-01-30T00:00:00-08:002009-01-30T00:00:00-08:00E9-1983Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1983.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1981.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce a Pilot Program for NYSE Trades2009-01-30T00:00:00-08:002009-01-30T00:00:00-08:00E9-1981Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1981.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1980.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a Pilot Program for NYSE Arca Trades2009-01-30T00:00:00-08:002009-01-30T00:00:00-08:00E9-1980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1980.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1979.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Professional Account Holders2009-01-30T00:00:00-08:002009-01-30T00:00:00-08:00E9-1979Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1979.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1978.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Margin Requirements for Foreign Currency Options2009-01-30T00:00:00-08:002009-01-30T00:00:00-08:00E9-1978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1978.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/29/Z9-9.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Period for the NYSE Realtime Reference Prices Pilot Program2009-01-29T00:00:00-08:002009-01-29T00:00:00-08:00Z9-9Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/Z9-9.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/29/Z9-349.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Existing Operational Arrangements2009-01-29T00:00:00-08:002009-01-29T00:00:00-08:00Z9-349Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/Z9-349.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/29/Z8-31351.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Fee Changes2009-01-29T00:00:00-08:002009-01-29T00:00:00-08:00Z8-31351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/Z8-31351.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/29/E9-1943.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Compliance Period Applicable to Companies That Fail To Meet the Market Value of Listed Securities Requirement2009-01-29T00:00:00-08:002009-01-29T00:00:00-08:00E9-1943Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/E9-1943.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/29/E9-1883.htmlNotice - Sunshine Act Meeting.2009-01-29T00:00:00-08:002009-01-29T00:00:00-08:00E9-1883Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/E9-1883.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/29/E9-1871.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Modified Sponsored Access Rule2009-01-29T00:00:00-08:002009-01-29T00:00:00-08:00E9-1871Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/E9-1871.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1873.htmlNotice - Proposed Collection; Comment Request2009-01-28T00:00:00-08:002009-01-28T00:00:00-08:00E9-1873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1873.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1872.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.8, Entitled “Obligations of Market Makers.”2009-01-28T00:00:00-08:002009-01-28T00:00:00-08:00E9-1872Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1872.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1808.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program for Directed Orders2009-01-28T00:00:00-08:002009-01-28T00:00:00-08:00E9-1808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1808.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1807.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook2009-01-28T00:00:00-08:002009-01-28T00:00:00-08:00E9-1807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1807.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1806.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Relating to the Limited Liability Company Agreement of New York Block Exchange, a Facility of NYSE2009-01-28T00:00:00-08:002009-01-28T00:00:00-08:00E9-1806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1806.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1805.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Trading Rules for the New York Block Exchange2009-01-28T00:00:00-08:002009-01-28T00:00:00-08:00E9-1805Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1805.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1717.htmlNotice - Submission for OMB Review; Comment Request2009-01-28T00:00:00-08:002009-01-28T00:00:00-08:00E9-1717Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1717.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1716.htmlNotice - Submission for OMB Review; Comment Request2009-01-28T00:00:00-08:002009-01-28T00:00:00-08:00E9-1716Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1716.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1715.htmlNotice - Submission for OMB Review; Comment Request2009-01-28T00:00:00-08:002009-01-28T00:00:00-08:00E9-1715Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1715.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1714.htmlNotice - Submission for OMB Review; Comment Request2009-01-28T00:00:00-08:002009-01-28T00:00:00-08:00E9-1714Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1714.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1676.htmlNotice - Proposed Collection; Comment Request2009-01-27T00:00:00-08:002009-01-27T00:00:00-08:00E9-1676Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1676.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1675.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Technical Changes to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes2009-01-27T00:00:00-08:002009-01-27T00:00:00-08:00E9-1675Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1675.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1674.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Create the Nasdaq Market Pathfinders Service and Establish Fees for the Service2009-01-27T00:00:00-08:002009-01-27T00:00:00-08:00E9-1674Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1674.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1673.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving Proposed Rule Change Relating to Delisting Standards2009-01-27T00:00:00-08:002009-01-27T00:00:00-08:00E9-1673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1673.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1672.htmlNotice - Self-Regulatory Organizations; Notice of Filing of and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Amend or Eliminate Unnecessary Rule Text2009-01-27T00:00:00-08:002009-01-27T00:00:00-08:00E9-1672Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1672.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1671.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deferring Operation of Its Listing Standards for Primary Listings and Consolidating Into a Single Rule Certain Requirements for Products Traded on the Exchange Pursuant to Unlisted Trading Privileges2009-01-27T00:00:00-08:002009-01-27T00:00:00-08:00E9-1671Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1671.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1670.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.9, entitled “Orders and Modifiers”2009-01-27T00:00:00-08:002009-01-27T00:00:00-08:00E9-1670Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1670.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1656.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Adoption of FINRA Rule 2140 (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) in the Consolidated FINRA Rulebook2009-01-27T00:00:00-08:002009-01-27T00:00:00-08:00E9-1656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1656.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1691.htmlNotice - In the Matter of: BBJ Environmental Technologies, Inc.; Order of Suspension of Trading2009-01-26T00:00:00-08:002009-01-26T00:00:00-08:00E9-1691Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1691.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1571.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Enhancement to Its Insurance and Retirement Services To Allow for the Electronic Exchange of Attachments to Messages2009-01-26T00:00:00-08:002009-01-26T00:00:00-08:00E9-1571Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1571.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1466.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto Relating to Private Placements of Securities Issued by Members2009-01-26T00:00:00-08:002009-01-26T00:00:00-08:00E9-1466Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1466.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1465.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7050 Governing Pricing for Nasdaq Members Using the NASDAQ Options Market (“NOM”)2009-01-26T00:00:00-08:002009-01-26T00:00:00-08:00E9-1465Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1465.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1464.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Post-Only Order2009-01-26T00:00:00-08:002009-01-26T00:00:00-08:00E9-1464Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1464.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1463.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until March 9, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions If They Arise 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 Malfunction2009-01-26T00:00:00-08:002009-01-26T00:00:00-08:00E9-1463Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1463.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1462.htmlNotice - Submission for OMB Review; Comment Request2009-01-26T00:00:00-08:002009-01-26T00:00:00-08:00E9-1462Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1462.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1461.htmlNotice - Submission for OMB Review; Comment Request2009-01-26T00:00:00-08:002009-01-26T00:00:00-08:00E9-1461Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1461.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1460.htmlNotice - Submission for OMB Review; Comment Request2009-01-26T00:00:00-08:002009-01-26T00:00:00-08:00E9-1460Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1460.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1459.htmlNotice - Submission for OMB Review; Comment Request2009-01-26T00:00:00-08:002009-01-26T00:00:00-08:00E9-1459Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1459.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1458.htmlNotice - Submission for OMB Review; Comment Request2009-01-26T00:00:00-08:002009-01-26T00:00:00-08:00E9-1458Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1458.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1173.htmlProposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act2009-01-26T00:00:00-08:002009-01-26T00:00:00-08:00E9-1173Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1173.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1035.htmlRule - Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies2009-01-26T00:00:00-08:002009-01-26T00:00:00-08:00E9-1035Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1035.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/23/E9-1300.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Adding Liquidity Only Order2009-01-23T00:00:00-08:002009-01-23T00:00:00-08:00E9-1300Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-23/pdf/E9-1300.pdfhttps://regulations.justia.com/regulations/fedreg/2009/01/23/E9-1299.htmlNotice - Calamos Convertible Opportunities and Income Fund, et al.; Notice of Application2009-01-23T00:00:00-08:002009-01-23T00:00:00-08:00E9-1299Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-01-23/pdf/E9-1299.pdf