Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/02?limit=200®isters=between&min-day=1&max-day=28&mode=atom2024-05-23T00:37:17-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4185.htmlNotice - Proposed Collection; Comment Request2009-02-27T00:00:00-08:002009-02-27T00:00:00-08:00E9-4185Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4185.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4184.htmlNotice - Proposed Collection; Comment Request2009-02-27T00:00:00-08:002009-02-27T00:00:00-08:00E9-4184Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4184.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4183.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change Relating to BOX Rules Governing Doing Business With the Public2009-02-27T00:00:00-08:002009-02-27T00:00:00-08:00E9-4183Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4183.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4182.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Its New Risk Management Gateway Service2009-02-27T00:00:00-08:002009-02-27T00:00:00-08:00E9-4182Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4182.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4181.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Its New Risk Management Gateway Service2009-02-27T00:00:00-08:002009-02-27T00:00:00-08:00E9-4181Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4181.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4153.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2009-02-27T00:00:00-08:002009-02-27T00:00:00-08:00E9-4153Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4153.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4120.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Its Rules Prohibiting Members From Functioning as Market-Makers2009-02-26T00:00:00-08:002009-02-26T00:00:00-08:00E9-4120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-26/pdf/E9-4120.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4064.htmlNotice - Mainstay VP Series Fund, Inc.2009-02-26T00:00:00-08:002009-02-26T00:00:00-08:00E9-4064Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-26/pdf/E9-4064.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4062.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Nasdaq's Definition of “Controlled Company”2009-02-26T00:00:00-08:002009-02-26T00:00:00-08:00E9-4062Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-26/pdf/E9-4062.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4038.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Reduce Certain Order Exposure Periods on the NASDAQ Options Market From Three Seconds to One Second2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-4038Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4038.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4037.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Exchange Direct Order for the NASDAQ Options Market2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-4037Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4037.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4036.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendments No. 1 and 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, Relating to FLEX Options Expirations2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-4036Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4036.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4035.htmlNotice - Submission for OMB Review; Comment Request2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-4035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4035.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3993.htmlNotice - Sunshine Act Meeting2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-3993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3993.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3982.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Instructions as to the Payment of Listing Fees in Connection With the Listing of Additional Securities2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-3982Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3982.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3981.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Certain NYSE Alternext Equities Rules To Reflect That Designated Market Makers (“DMMs”) on the Exchange No Longer Act as Agents for Orders Entered on the Exchange2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-3981Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3981.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3980.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Certain NYSE Rules To Reflect That Designated Market Makers on the Exchange No Longer Act as Agents for Orders Entered on the Exchange2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-3980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3980.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3979.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-3979Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3979.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3978.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the $3 Underlying Price Requirement for Continued Listing and Listing of Additional Series on the Boston Options Exchange Facility2009-02-25T00:00:00-08:002009-02-25T00:00:00-08:00E9-3978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3978.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3861.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 DPMs and LMMs2009-02-24T00:00:00-08:002009-02-24T00:00:00-08:00E9-3861Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-24/pdf/E9-3861.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3860.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Addendum O To Allow Admission of Entities That Are Organized in a Country Other Than the U.S. for Admission as Limited Members2009-02-24T00:00:00-08:002009-02-24T00:00:00-08:00E9-3860Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-24/pdf/E9-3860.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3841.htmlNotice - Wachovia Securities, LLC, et al.; Notice of Application and Temporary Order2009-02-24T00:00:00-08:002009-02-24T00:00:00-08:00E9-3841Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-24/pdf/E9-3841.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/23/Z9-1807.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 Rulebook2009-02-23T00:00:00-08:002009-02-23T00:00:00-08:00Z9-1807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/Z9-1807.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3742.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Allowing Entry of Orders Into the PIP at a Price Matching the National Best Bid or Offer2009-02-23T00:00:00-08:002009-02-23T00:00:00-08:00E9-3742Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/E9-3742.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3741.htmlNotice - Self-Regulatory Organizations; 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”)2009-02-23T00:00:00-08:002009-02-23T00:00:00-08:00E9-3741Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/E9-3741.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3740.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Reformatting Its Fee Schedule2009-02-23T00:00:00-08:002009-02-23T00:00:00-08:00E9-3740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/E9-3740.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3611.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123E (“DMM Combination Review Policy”) To Be More Consistent With the Exchange's Current Designated Market Maker (“DMM”) System2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3611Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3611.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3580.htmlNotice - Proposed Collection; Comment Request2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3580Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3580.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3579.htmlNotice - Proposed Collection; Comment Request2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3579Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3579.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3578.htmlNotice - Proposed Collection; Comment Request2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3578Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3578.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3577.htmlNotice - Proposed Collection; Comment Request2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3577Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3577.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3576.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Its Fee Schedule2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3576.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3575.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending Its Limited Liability Company Operating Agreement and the Bylaws of Its Wholly-Owned Subsidiary NYSE Market, Inc. To Eliminate, in Each Case, a Requirement That Not Less Than Two Members of the Board of Directors Must Qualify as “Non-Affiliated Directors” and a Related Requirement That Not Less Than Two Members of the Board of Directors Must Qualify as “Fair Representation Candidates”2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3575Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3575.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3574.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Post-Only Order2009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3574.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3573.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change Relating to Eliminating the SRO Requirement as a Condition of DTC-Eligibility for Securities That Are Eligible for Resale Under Rule 144A Under the Securities Act of 19332009-02-20T00:00:00-08:002009-02-20T00:00:00-08:00E9-3573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3573.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3466.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Amending Rule 6.42009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3466Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3466.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3465.htmlNotice - Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing of a Proposed Rule Change Amending Rule 9032009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3465Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3465.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3464.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by NASDAQ OMX PHLX, Inc. To Amend the Exchange's Fee Schedule2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3464Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3464.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3433.htmlNotice - Submission for OMB Review; Comment Request2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3433Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3433.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3431.htmlNotice - Submission for OMB Review; Comment Request2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3431Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3431.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3429.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Implement and Revise Fees Related to Non-Participant Services2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3429.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3428.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change, As Amended, To Modify End of Day Settlement Procedures Relating to Settlement Acknowledgement Cut-Off Time Frames for Settling Banks2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3428.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3427.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Exchange Directorships Under Its By-Laws2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3427.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3426.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order)2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3426.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3425.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Implement a Maturity Presentment Pend Function To Replace the Maturity Presentment Contingency System2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3425.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3424.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Broker-Dealer Transaction Fees for AIM Executions2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3424.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3423.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to the $1 Strike Program2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3423Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3423.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3422.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to the $1 Strike Program2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3422.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3359.htmlRule - Interactive Data for Mutual Fund Risk/Return Summary2009-02-19T00:00:00-08:002009-02-19T00:00:00-08:00E9-3359Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3359.pdfhttps://regulations.justia.com/regulations/fedreg/2009/02/18/E9-3484.htmlNotice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; 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 Privileges2009-02-18T00:00:00-08:002009-02-18T00:00:00-08:00E9-3484Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-02-18/pdf/E9-3484.pdf