Securities and Exchange Commission March 13, 2009 – Federal Register Recent Federal Regulation Documents

Results 1 - 5 of 5
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Discovery Guide To Update the Document Production Lists
Document Number: E9-5389
Type: Notice
Date: 2009-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5389.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges Applicable to the Option Strategy Executions Pilot Program
Document Number: E9-5388
Type: Notice
Date: 2009-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5388.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Dividend, Merger and Short Stock Interest Strategies Fee Cap Pilot Program Until March 1, 2010
Document Number: E9-5387
Type: Notice
Date: 2009-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5387.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC To Permit Two Trading Officials To Modify the Required Bid/Ask Differentials
Document Number: E9-5386
Type: Notice
Date: 2009-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5386.html
Attaching Authenticating Documents to Online Form ID Applications
Document Number: E9-5377
Type: Rule
Date: 2009-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting rule and form amendments that allow applicants for EDGAR access codes using Form ID to submit their authenticating documents by attaching them to their online Form ID applications in Portable Document Format (PDF) as an alternative to submitting the documents by fax.
https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5377.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.