Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/02?limit=200&registers=between&min-day=1&max-day=28&mode=atom 2024-05-23T00:37:17-07:00 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/2009/02/27/E9-4185.html Notice - Proposed Collection; Comment Request 2009-02-27T00:00:00-08:00 2009-02-27T00:00:00-08:00 E9-4185 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4185.pdf https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4184.html Notice - Proposed Collection; Comment Request 2009-02-27T00:00:00-08:00 2009-02-27T00:00:00-08:00 E9-4184 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4184.pdf https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4183.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change Relating to BOX Rules Governing Doing Business With the Public 2009-02-27T00:00:00-08:00 2009-02-27T00:00:00-08:00 E9-4183 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4183.pdf https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4182.html Notice - 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 Service 2009-02-27T00:00:00-08:00 2009-02-27T00:00:00-08:00 E9-4182 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4182.pdf https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4181.html Notice - 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 Service 2009-02-27T00:00:00-08:00 2009-02-27T00:00:00-08:00 E9-4181 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4181.pdf https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4153.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee 2009-02-27T00:00:00-08:00 2009-02-27T00:00:00-08:00 E9-4153 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-27/pdf/E9-4153.pdf https://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4120.html Notice - 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-Makers 2009-02-26T00:00:00-08:00 2009-02-26T00:00:00-08:00 E9-4120 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-26/pdf/E9-4120.pdf https://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4064.html Notice - Mainstay VP Series Fund, Inc. 2009-02-26T00:00:00-08:00 2009-02-26T00:00:00-08:00 E9-4064 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-26/pdf/E9-4064.pdf https://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4062.html Notice - 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” 2009-02-26T00:00:00-08:00 2009-02-26T00:00:00-08:00 E9-4062 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-26/pdf/E9-4062.pdf https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4038.html Notice - 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 Second 2009-02-25T00:00:00-08:00 2009-02-25T00:00:00-08:00 E9-4038 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4038.pdf https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4037.html Notice - 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 Market 2009-02-25T00:00:00-08:00 2009-02-25T00:00:00-08:00 E9-4037 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4037.pdf https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4036.html Notice - 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 Expirations 2009-02-25T00:00:00-08:00 2009-02-25T00:00:00-08:00 E9-4036 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4036.pdf https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4035.html Notice - Submission for OMB Review; Comment Request 2009-02-25T00:00:00-08:00 2009-02-25T00:00:00-08:00 E9-4035 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-4035.pdf https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3993.html Notice - Sunshine Act Meeting 2009-02-25T00:00:00-08:00 2009-02-25T00:00:00-08:00 E9-3993 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3993.pdf https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3982.html Notice - 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 Securities 2009-02-25T00:00:00-08:00 2009-02-25T00:00:00-08:00 E9-3982 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3982.pdf https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3981.html Notice - 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 Exchange 2009-02-25T00:00:00-08:00 2009-02-25T00:00:00-08:00 E9-3981 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3981.pdf https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3980.html Notice - 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 Exchange 2009-02-25T00:00:00-08:00 2009-02-25T00:00:00-08:00 E9-3980 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3980.pdf https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3979.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2009-02-25T00:00:00-08:00 2009-02-25T00:00:00-08:00 E9-3979 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3979.pdf https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3978.html Notice - 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 Facility 2009-02-25T00:00:00-08:00 2009-02-25T00:00:00-08:00 E9-3978 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-25/pdf/E9-3978.pdf https://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3861.html Notice - 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 LMMs 2009-02-24T00:00:00-08:00 2009-02-24T00:00:00-08:00 E9-3861 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-24/pdf/E9-3861.pdf https://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3860.html Notice - 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 Members 2009-02-24T00:00:00-08:00 2009-02-24T00:00:00-08:00 E9-3860 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-24/pdf/E9-3860.pdf https://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3841.html Notice - Wachovia Securities, LLC, et al.; Notice of Application and Temporary Order 2009-02-24T00:00:00-08:00 2009-02-24T00:00:00-08:00 E9-3841 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-24/pdf/E9-3841.pdf https://regulations.justia.com/regulations/fedreg/2009/02/23/Z9-1807.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 2009-02-23T00:00:00-08:00 2009-02-23T00:00:00-08:00 Z9-1807 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/Z9-1807.pdf https://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3742.html Notice - 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 Offer 2009-02-23T00:00:00-08:00 2009-02-23T00:00:00-08:00 E9-3742 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/E9-3742.pdf https://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3741.html Notice - 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”) 2009-02-23T00:00:00-08:00 2009-02-23T00:00:00-08:00 E9-3741 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/E9-3741.pdf https://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3740.html Notice - 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 Schedule 2009-02-23T00:00:00-08:00 2009-02-23T00:00:00-08:00 E9-3740 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-23/pdf/E9-3740.pdf https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3611.html Notice - 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”) System 2009-02-20T00:00:00-08:00 2009-02-20T00:00:00-08:00 E9-3611 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3611.pdf https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3580.html Notice - Proposed Collection; Comment Request 2009-02-20T00:00:00-08:00 2009-02-20T00:00:00-08:00 E9-3580 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3580.pdf https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3579.html Notice - Proposed Collection; Comment Request 2009-02-20T00:00:00-08:00 2009-02-20T00:00:00-08:00 E9-3579 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3579.pdf https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3578.html Notice - Proposed Collection; Comment Request 2009-02-20T00:00:00-08:00 2009-02-20T00:00:00-08:00 E9-3578 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3578.pdf https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3577.html Notice - Proposed Collection; Comment Request 2009-02-20T00:00:00-08:00 2009-02-20T00:00:00-08:00 E9-3577 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3577.pdf https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3576.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Its Fee Schedule 2009-02-20T00:00:00-08:00 2009-02-20T00:00:00-08:00 E9-3576 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3576.pdf https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3575.html Notice - 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” 2009-02-20T00:00:00-08:00 2009-02-20T00:00:00-08:00 E9-3575 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3575.pdf https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3574.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Post-Only Order 2009-02-20T00:00:00-08:00 2009-02-20T00:00:00-08:00 E9-3574 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3574.pdf https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3573.html Notice - 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 1933 2009-02-20T00:00:00-08:00 2009-02-20T00:00:00-08:00 E9-3573 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-20/pdf/E9-3573.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3466.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Amending Rule 6.4 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3466 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3466.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3465.html Notice - Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing of a Proposed Rule Change Amending Rule 903 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3465 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3465.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3464.html Notice - 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 Schedule 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3464 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3464.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3433.html Notice - Submission for OMB Review; Comment Request 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3433 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3433.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3431.html Notice - Submission for OMB Review; Comment Request 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3431 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3431.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3429.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Implement and Revise Fees Related to Non-Participant Services 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3429 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3429.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3428.html Notice - 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 Banks 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3428 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3428.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3427.html Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Exchange Directorships Under Its By-Laws 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3427 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3427.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3426.html Notice - 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) 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3426 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3426.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3425.html Notice - 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 System 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3425 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3425.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3424.html Notice - 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 Executions 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3424 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3424.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3423.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to the $1 Strike Program 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3423 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3423.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3422.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to the $1 Strike Program 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3422 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3422.pdf https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3359.html Rule - Interactive Data for Mutual Fund Risk/Return Summary 2009-02-19T00:00:00-08:00 2009-02-19T00:00:00-08:00 E9-3359 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-02-19/pdf/E9-3359.pdf https://regulations.justia.com/regulations/fedreg/2009/02/18/E9-3484.html Notice - 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 Privileges 2009-02-18T00:00:00-08:00 2009-02-18T00:00:00-08:00 E9-3484 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-18/pdf/E9-3484.pdf