Securities and Exchange Commission March 9, 2009 – Federal Register Recent Federal Regulation Documents

Results 1 - 7 of 7
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of Bear Market Strategic Accelerated Redemption Securities® Linked to the S&P Small Cap Regional Banks Index
Document Number: E9-4877
Type: Notice
Date: 2009-03-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4877.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPoint SM
Document Number: E9-4876
Type: Notice
Date: 2009-03-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4876.html
Forward Funds, et al.; Notice of Application
Document Number: E9-4875
Type: Notice
Date: 2009-03-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants request an order to permit certain registered open- end investment companies in the same group of investment companies to enter into a special servicing agreement (``Special Servicing Agreement'').
https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4875.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NYSE Rule 17 To Address Issues Related to Vendor Liability and To Make Amendments and Conforming Changes to NYSE Rule 18
Document Number: E9-4874
Type: Notice
Date: 2009-03-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4874.html
Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Alternext Equities Rule 17 To Address Issues Related to Vendor Liability and To Make Amendments and Conforming Changes to NYSE Alternext Equities Rule 18
Document Number: E9-4873
Type: Notice
Date: 2009-03-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4873.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Adopting New Rule 6A-NYSE Alternext Equities and Amending Existing Rule 36-NYSE Alternext Equities Concerning the Use of Personal Portable or Wireless Communication Devices and the Use or Possession of Wireless Trading Devices On and Off the Exchange Trading Floor
Document Number: E9-4872
Type: Notice
Date: 2009-03-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4872.html
Proposed Collection; Comment Request
Document Number: E9-4816
Type: Notice
Date: 2009-03-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4816.html
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