Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/01?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-23T09:52:02-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2159.html Notice - In the Matter of Future Canada China Environment Inc.; Order of Suspension of Trading 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-2159 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2159.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2061.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-2061 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2061.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2021.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 1506 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-2021 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2021.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2020.html Notice - 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.” 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-2020 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2020.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2019.html Notice - Proposed Collection; Comment Request 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-2019 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2019.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-2016.html Notice - 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 Standard 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-2016 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-2016.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1983.html Notice - 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 Program 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-1983 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1983.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1981.html Notice - 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 Trades 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-1981 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1981.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1980.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a Pilot Program for NYSE Arca Trades 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-1980 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1980.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1979.html Notice - 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 Holders 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-1979 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1979.pdf https://regulations.justia.com/regulations/fedreg/2009/01/30/E9-1978.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Margin Requirements for Foreign Currency Options 2009-01-30T00:00:00-08:00 2009-01-30T00:00:00-08:00 E9-1978 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-30/pdf/E9-1978.pdf https://regulations.justia.com/regulations/fedreg/2009/01/29/Z9-9.html Notice - 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 Program 2009-01-29T00:00:00-08:00 2009-01-29T00:00:00-08:00 Z9-9 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/Z9-9.pdf https://regulations.justia.com/regulations/fedreg/2009/01/29/Z9-349.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Existing Operational Arrangements 2009-01-29T00:00:00-08:00 2009-01-29T00:00:00-08:00 Z9-349 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/Z9-349.pdf https://regulations.justia.com/regulations/fedreg/2009/01/29/Z8-31351.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Fee Changes 2009-01-29T00:00:00-08:00 2009-01-29T00:00:00-08:00 Z8-31351 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/Z8-31351.pdf https://regulations.justia.com/regulations/fedreg/2009/01/29/E9-1943.html Notice - 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 Requirement 2009-01-29T00:00:00-08:00 2009-01-29T00:00:00-08:00 E9-1943 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/E9-1943.pdf https://regulations.justia.com/regulations/fedreg/2009/01/29/E9-1883.html Notice - Sunshine Act Meeting. 2009-01-29T00:00:00-08:00 2009-01-29T00:00:00-08:00 E9-1883 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/E9-1883.pdf https://regulations.justia.com/regulations/fedreg/2009/01/29/E9-1871.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Modified Sponsored Access Rule 2009-01-29T00:00:00-08:00 2009-01-29T00:00:00-08:00 E9-1871 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-29/pdf/E9-1871.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1873.html Notice - Proposed Collection; Comment Request 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1873 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1873.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1872.html Notice - 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.” 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1872 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1872.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1808.html Notice - 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 Orders 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1808 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1808.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1807.html Notice - 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 Rulebook 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1807 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1807.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1806.html Notice - 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 NYSE 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1806 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1806.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1805.html Notice - 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 Exchange 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1805 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1805.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1717.html Notice - Submission for OMB Review; Comment Request 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1717 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1717.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1716.html Notice - Submission for OMB Review; Comment Request 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1716 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1716.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1715.html Notice - Submission for OMB Review; Comment Request 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1715 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1715.pdf https://regulations.justia.com/regulations/fedreg/2009/01/28/E9-1714.html Notice - Submission for OMB Review; Comment Request 2009-01-28T00:00:00-08:00 2009-01-28T00:00:00-08:00 E9-1714 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-28/pdf/E9-1714.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1676.html Notice - Proposed Collection; Comment Request 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1676 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1676.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1675.html Notice - 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 Disputes 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1675 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1675.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1674.html Notice - 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 Service 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1674 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1674.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1673.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving Proposed Rule Change Relating to Delisting Standards 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1673 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1673.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1672.html Notice - Self-Regulatory Organizations; Notice of Filing of and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Amend or Eliminate Unnecessary Rule Text 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1672 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1672.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1671.html Notice - 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 Privileges 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1671 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1671.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1670.html Notice - 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” 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1670 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1670.pdf https://regulations.justia.com/regulations/fedreg/2009/01/27/E9-1656.html Notice - 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 Rulebook 2009-01-27T00:00:00-08:00 2009-01-27T00:00:00-08:00 E9-1656 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-27/pdf/E9-1656.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1691.html Notice - In the Matter of: BBJ Environmental Technologies, Inc.; Order of Suspension of Trading 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1691 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1691.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1571.html Notice - 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 Messages 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1571 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1571.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1466.html Notice - 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 Members 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1466 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1466.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1465.html Notice - 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”) 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1465 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1465.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1464.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Post-Only Order 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1464 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1464.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1463.html Notice - 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 Malfunction 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1463 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1463.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1462.html Notice - Submission for OMB Review; Comment Request 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1462 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1462.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1461.html Notice - Submission for OMB Review; Comment Request 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1461 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1461.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1460.html Notice - Submission for OMB Review; Comment Request 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1460 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1460.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1459.html Notice - Submission for OMB Review; Comment Request 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1459 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1459.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1458.html Notice - Submission for OMB Review; Comment Request 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1458 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1458.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1173.html Proposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1173 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1173.pdf https://regulations.justia.com/regulations/fedreg/2009/01/26/E9-1035.html Rule - Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies 2009-01-26T00:00:00-08:00 2009-01-26T00:00:00-08:00 E9-1035 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-01-26/pdf/E9-1035.pdf https://regulations.justia.com/regulations/fedreg/2009/01/23/E9-1300.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Adding Liquidity Only Order 2009-01-23T00:00:00-08:00 2009-01-23T00:00:00-08:00 E9-1300 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-23/pdf/E9-1300.pdf https://regulations.justia.com/regulations/fedreg/2009/01/23/E9-1299.html Notice - Calamos Convertible Opportunities and Income Fund, et al.; Notice of Application 2009-01-23T00:00:00-08:00 2009-01-23T00:00:00-08:00 E9-1299 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-23/pdf/E9-1299.pdf