Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/03?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T06:05:01-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7089.htmlNotice - Submission for OMB Review; Comment Request2009-03-31T00:00:00-07:002009-03-31T00:00:00-07:00E9-7089Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7089.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7088.htmlNotice - Submission for OMB Review; Comment Request2009-03-31T00:00:00-07:002009-03-31T00:00:00-07:00E9-7088Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7088.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7087.htmlNotice - Submission for OMB Review; Comment Request2009-03-31T00:00:00-07:002009-03-31T00:00:00-07:00E9-7087Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7087.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7086.htmlNotice - MetLife Insurance Company of Connecticut, et al.2009-03-31T00:00:00-07:002009-03-31T00:00:00-07:00E9-7086Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7086.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7085.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change To Establish New Fees for Services Available to Members and Non-Members2009-03-31T00:00:00-07:002009-03-31T00:00:00-07:00E9-7085Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7085.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6964.htmlNotice - Proposed Collection; Comment Request2009-03-30T00:00:00-07:002009-03-30T00:00:00-07:00E9-6964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-30/pdf/E9-6964.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6963.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Modifications2009-03-30T00:00:00-07:002009-03-30T00:00:00-07:00E9-6963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-30/pdf/E9-6963.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6962.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Rule 92(c)(3) From March 31, 2009 to July 31, 20092009-03-30T00:00:00-07:002009-03-30T00:00:00-07:00E9-6962Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-30/pdf/E9-6962.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6961.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of Rule 92(c)(3) From March 31, 2009 to July 31, 20092009-03-30T00:00:00-07:002009-03-30T00:00:00-07:00E9-6961Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-30/pdf/E9-6961.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6832.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Implement and Revise Fees Related to Non-Participant Services2009-03-27T00:00:00-07:002009-03-27T00:00:00-07:00E9-6832Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6832.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6831.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 6.37A-Obligations of Market Makers-OX2009-03-27T00:00:00-07:002009-03-27T00:00:00-07:00E9-6831Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6831.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6830.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Proposed Changes to Forms U4 and U52009-03-27T00:00:00-07:002009-03-27T00:00:00-07:00E9-6830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6830.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6829.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC Amending NYSE Alternext Equities Rule 124 To Execute the Odd-Lot Portion of a Part of a Round-Lot Order Pursuant to the Same Pricing Methodology Used for Odd-Lot Orders2009-03-27T00:00:00-07:002009-03-27T00:00:00-07:00E9-6829Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6829.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6828.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 124 To Execute the Odd-Lot Portion of a Part of a Round-Lot Order Pursuant to the Same Pricing Methodology Used for Odd-Lot Orders2009-03-27T00:00:00-07:002009-03-27T00:00:00-07:00E9-6828Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6828.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6827.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend Certificate of Incorporation To Increase Preferred Shares Issuance2009-03-27T00:00:00-07:002009-03-27T00:00:00-07:00E9-6827Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6827.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6826.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Administration of Certain Rules in Respect of Index Data Dissemination2009-03-27T00:00:00-07:002009-03-27T00:00:00-07:00E9-6826Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6826.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6825.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.47 To Remove Obsolete Text Related to the SizeQuote Pilot Program2009-03-27T00:00:00-07:002009-03-27T00:00:00-07:00E9-6825Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6825.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6723.htmlNotice - Proposed Collection; Comment Request2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6723Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6723.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6722.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Establish Fees for NYSE Trades2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6722Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6722.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6721.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Tiered Trade Netting Fee2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6721Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6721.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6720.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending the Listed Company Manual Section 902.08 To Establish an Initial Listing Fee and an Annual Listing Fee for Securities Listed Under Section 102.03 and Traded on the NYSE Bonds System2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6720Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6720.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6719.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading the Two-Character Ticker Symbol “UG”2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6719Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6719.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6703.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Short Term Option Series2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6703Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6703.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6702.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.62 To Provide Additional Order Types2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6702Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6702.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6659.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rule 2114 (Recommendations to Customers in OTC Equity Securities) in the Consolidated FINRA Rulebook2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6659.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6658.htmlNotice - Proposed Collection; Comment Request2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6658Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6658.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6657.htmlNotice - Proposed Collection; Comment Request2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6657Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6657.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6656.htmlNotice - Proposed Collection; Comment Request2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6656.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6655.htmlNotice - UBS AG, et al.; Notice of Application and Temporary Order2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6655.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6617.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 623 (Communications to Customers)2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6617Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6617.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6616.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Electronic Municipal Market Access System Pilot2009-03-26T00:00:00-07:002009-03-26T00:00:00-07:00E9-6616Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6616.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/25/Z9-4678.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Rule 300.10T-NYSE Alternext Equities To Provide a Grace Period Under That Rule for Member Organizations That Have Applied for a Trading License To Comply With Certain Exchange Rules2009-03-25T00:00:00-07:002009-03-25T00:00:00-07:00Z9-4678Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-25/pdf/Z9-4678.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/25/E9-6466.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to Private Placements of Securities Issued by Members2009-03-25T00:00:00-07:002009-03-25T00:00:00-07:00E9-6466Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-25/pdf/E9-6466.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/25/E9-6465.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Establish Fees for NYSE Arca Trades2009-03-25T00:00:00-07:002009-03-25T00:00:00-07:00E9-6465Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-25/pdf/E9-6465.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/25/E9-6464.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Establish a Technical Original Listing Fee Specific to Derivative Securities Products and Structured Products2009-03-25T00:00:00-07:002009-03-25T00:00:00-07:00E9-6464Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-25/pdf/E9-6464.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6406.htmlNotice - Proposed Collection; Comment Request2009-03-24T00:00:00-07:002009-03-24T00:00:00-07:00E9-6406Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6406.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6405.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC Amending NYSE Alternext Rules To Delete References to Specific Exchange Systems and To Remove the Requirement that Opening Transactions Receive Specific Designations Pursuant to NYSE Alternext Rules 79A and 115A. These Amendments are Proposed To Conform to Amendments Filed by the New York Stock Exchange LLC 12009-03-24T00:00:00-07:002009-03-24T00:00:00-07:00E9-6405Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6405.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6404.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Complex Order Book2009-03-24T00:00:00-07:002009-03-24T00:00:00-07:00E9-6404Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6404.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6398.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change as Modified by Amendment No. 2 Thereto To Establish a Pilot Program for NASDAQ Basic Data Feeds2009-03-24T00:00:00-07:002009-03-24T00:00:00-07:00E9-6398Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6398.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6397.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until June 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 Malfunction2009-03-24T00:00:00-07:002009-03-24T00:00:00-07:00E9-6397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6397.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6391.htmlNotice - ING Investments, LLC, et al.; Notice of Application2009-03-24T00:00:00-07:002009-03-24T00:00:00-07:00E9-6391Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6391.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6354.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the NYSE Rule Book To Delete References to Specific Exchange Systems and To Remove the Requirement That Opening Transactions Receive Specific Designations Pursuant to NYSE Rules 79A and 115A2009-03-24T00:00:00-07:002009-03-24T00:00:00-07:00E9-6354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6354.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6353.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a 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; Correction2009-03-24T00:00:00-07:002009-03-24T00:00:00-07:00E9-6353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6353.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6352.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Fee Schedule To Implement a Program To Award Rebates for Liquidity Adding Zero Display Orders and Clarify the Definition of “Liquidity Adding Average Daily Volume”2009-03-24T00:00:00-07:002009-03-24T00:00:00-07:00E9-6352Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6352.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6330.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Related to the $1 Strike Price Program2009-03-24T00:00:00-07:002009-03-24T00:00:00-07:00E9-6330Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6330.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6329.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the $1 Strike Price Program on the Boston Options Exchange Facility2009-03-24T00:00:00-07:002009-03-24T00:00:00-07:00E9-6329Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6329.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6328.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Related To the $1 Strike Price Program2009-03-24T00:00:00-07:002009-03-24T00:00:00-07:00E9-6328Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6328.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6327.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Chicago Board Options Exchange, Incorporated; NYSE Arca, Inc.; and NYSE Alternext US LLC; Order Granting Accelerated Approval of Proposed Rule Changes, as Amended, To Expand the $1 Strike Program2009-03-24T00:00:00-07:002009-03-24T00:00:00-07:00E9-6327Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6327.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6434.htmlNotice - Sunshine Act Meeting2009-03-23T00:00:00-07:002009-03-23T00:00:00-07:00E9-6434Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6434.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6209.htmlNotice - Massachusetts Financial Services Company, et al.; Notice of Application2009-03-23T00:00:00-07:002009-03-23T00:00:00-07:00E9-6209Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6209.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6208.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications2009-03-23T00:00:00-07:002009-03-23T00:00:00-07:00E9-6208Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6208.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6147.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto To Establish the Nasdaq Daily Share Volume Service and To Establish Fees for the Service2009-03-23T00:00:00-07:002009-03-23T00:00:00-07:00E9-6147Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6147.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6146.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change as Modified by Amendment No. 2 Thereto To Establish Nasdaq Custom Data Feeds2009-03-23T00:00:00-07:002009-03-23T00:00:00-07:00E9-6146Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6146.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6192.htmlNotice - Sunshine Act Meeting2009-03-20T00:00:00-07:002009-03-20T00:00:00-07:00E9-6192Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-20/pdf/E9-6192.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6086.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fee Changes2009-03-20T00:00:00-07:002009-03-20T00:00:00-07:00E9-6086Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-20/pdf/E9-6086.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6085.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 2 to the National Market System Plan for the Selection and Reservation of Securities Symbols To Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC., the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., the NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Alternext U.S. LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.2009-03-20T00:00:00-07:002009-03-20T00:00:00-07:00E9-6085Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-20/pdf/E9-6085.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6084.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Articles of Organization and By-Laws of Boston Stock Exchange Clearing Corporation2009-03-20T00:00:00-07:002009-03-20T00:00:00-07:00E9-6084Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-20/pdf/E9-6084.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5980.htmlNotice - ING USA Annuity and Life Insurance Company, et al.2009-03-19T00:00:00-07:002009-03-19T00:00:00-07:00E9-5980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5980.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5979.htmlNotice - Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certificate of Formation, Amended and Restated Operating Agreement, Rules, and Company Guide To Change the Name of the Exchange to NYSE Amex LLC2009-03-19T00:00:00-07:002009-03-19T00:00:00-07:00E9-5979Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5979.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5978.htmlNotice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule To Impose a Charge on Members With a Fail-to-Deliver in Treasury Securities2009-03-19T00:00:00-07:002009-03-19T00:00:00-07:00E9-5978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5978.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5931.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Rules 13, 902, 903, 904, 905 and Rule 906 To Eliminate Certain Order Types From the Off-Hours Trading Facility2009-03-19T00:00:00-07:002009-03-19T00:00:00-07:00E9-5931Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5931.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5930.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Caps on Equity Option Transaction Charges on Dividend, Merger and Short Stock Interest Strategies2009-03-19T00:00:00-07:002009-03-19T00:00:00-07:00E9-5930Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5930.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5929.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook2009-03-19T00:00:00-07:002009-03-19T00:00:00-07:00E9-5929Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5929.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5928.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Safety First Trust Certificates Linked to the S&P 500® Index2009-03-19T00:00:00-07:002009-03-19T00:00:00-07:00E9-5928Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5928.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5927.htmlNotice - Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with Request of Chicago Mercantile Exchange Inc. and Citadel Investment Group, L.L.C. Related to Central Clearing of Credit Default Swaps, and Request for Comments2009-03-19T00:00:00-07:002009-03-19T00:00:00-07:00E9-5927Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5927.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5932.htmlNotice - Sunshine Act Meeting2009-03-18T00:00:00-07:002009-03-18T00:00:00-07:00E9-5932Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5932.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5791.htmlNotice - Sunshine Act Meeting2009-03-18T00:00:00-07:002009-03-18T00:00:00-07:00E9-5791Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5791.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5790.htmlNotice - Automated Trading Desk Specialists, LLC, et al.2009-03-18T00:00:00-07:002009-03-18T00:00:00-07:00E9-5790Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5790.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5785.htmlNotice - E*TRADE Capital Markets LLC, et al.; Notice of Application and Temporary Order2009-03-18T00:00:00-07:002009-03-18T00:00:00-07:00E9-5785Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5785.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5779.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2009-03-18T00:00:00-07:002009-03-18T00:00:00-07:00E9-5779Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5779.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5769.htmlNotice - Submission for OMB Review; Comment Request2009-03-18T00:00:00-07:002009-03-18T00:00:00-07:00E9-5769Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5769.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5768.htmlNotice - Submission for OMB Review; Comment Request2009-03-18T00:00:00-07:002009-03-18T00:00:00-07:00E9-5768Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5768.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5767.htmlNotice - Consolidated Tape Association; Order Approving the Thirteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Ninth Substantive Amendment to the Restated Consolidated Quotation Plan2009-03-18T00:00:00-07:002009-03-18T00:00:00-07:00E9-5767Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5767.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5766.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending for Two Months to May 31, 2009 the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 1102009-03-18T00:00:00-07:002009-03-18T00:00:00-07:00E9-5766Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5766.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5722.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Processing of Orders on the NASDAQ Options Market2009-03-17T00:00:00-07:002009-03-17T00:00:00-07:00E9-5722Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5722.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5719.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Eliminating the Ability To Enter Orders on the Exchange With the Settlement Instructions of “Cash”, “Next Day” and “Seller's Option” To Conform to Amendments Filed by the New York Stock Exchange2009-03-17T00:00:00-07:002009-03-17T00:00:00-07:00E9-5719Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5719.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5718.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC.; Order Approving Proposed Rule Change To Revise Listing Fees2009-03-17T00:00:00-07:002009-03-17T00:00:00-07:00E9-5718Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5718.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5717.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Adopt Listing Fees for Securities Listed Under Section 703.21 and 703.22 and Traded on NYSE Bonds2009-03-17T00:00:00-07:002009-03-17T00:00:00-07:00E9-5717Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5717.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5716.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 6.87-Obvious Errors2009-03-17T00:00:00-07:002009-03-17T00:00:00-07:00E9-5716Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5716.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5715.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ Stock Market LLC Regarding a Clerical Change to Nasdaq Rules2009-03-17T00:00:00-07:002009-03-17T00:00:00-07:00E9-5715Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5715.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5714.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Rules Applicable to the Nasdaq Market Center and Nasdaq Options Market That Explicitly Require Members To Input Accurate Information Into Nasdaq Systems2009-03-17T00:00:00-07:002009-03-17T00:00:00-07:00E9-5714Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5714.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5687.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Debt Securities That Are Issued Under the Debt Guarantee Program Component of the Federal Deposit Insurance Corporation's Temporary Liquidity Guarantee Program to the GCF Repo Service2009-03-17T00:00:00-07:002009-03-17T00:00:00-07:00E9-5687Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5687.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5594.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enable the Listing and Trading of Options on Managed Fund Shares2009-03-16T00:00:00-07:002009-03-16T00:00:00-07:00E9-5594Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5594.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5593.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Obvious Error Rules2009-03-16T00:00:00-07:002009-03-16T00:00:00-07:00E9-5593Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5593.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5572.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Hybrid Rule Pertaining to Orders Represented in Open Outcry2009-03-16T00:00:00-07:002009-03-16T00:00:00-07:00E9-5572Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5572.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5571.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Elimination of Sector Index Options From Monthly Firm Cap2009-03-16T00:00:00-07:002009-03-16T00:00:00-07:00E9-5571Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5571.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5570.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Order Approving Proposed Rule Change To Introduce a NYSE OpenBook Nonprofessional Subscriber Fee and To Revise the Unit of Count That Determines the Device Fees Payable by Data Recipients2009-03-16T00:00:00-07:002009-03-16T00:00:00-07:00E9-5570Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5570.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5569.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Order Approving Proposed Rule Change To Introduce a NYSE Order Imbalance Information Fee2009-03-16T00:00:00-07:002009-03-16T00:00:00-07:00E9-5569Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5569.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5568.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Leverage Factor Applicable to the MacroShares Major Metro Housing Trusts2009-03-16T00:00:00-07:002009-03-16T00:00:00-07:00E9-5568Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5568.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5567.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating To Expanding the Scope and Timing To Collect and Pass-Through Fees Owed by Participants to American Depositary Receipt Agents2009-03-16T00:00:00-07:002009-03-16T00:00:00-07:00E9-5567Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5567.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5566.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Two Pilot Programs2009-03-16T00:00:00-07:002009-03-16T00:00:00-07:00E9-5566Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5566.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5565.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of a Proposed Rule Change Relating to the Nomination and Election of Candidates for Governor and Independent Governor2009-03-16T00:00:00-07:002009-03-16T00:00:00-07:00E9-5565Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5565.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5564.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto by NASDAQ OMX PHLX, Inc. To Amend the Exchange's Fee Schedule Relating to the Market Access Provider Subsidy2009-03-16T00:00:00-07:002009-03-16T00:00:00-07:00E9-5564Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5564.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5389.htmlNotice - 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 Lists2009-03-13T00:00:00-07:002009-03-13T00:00:00-07:00E9-5389Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5389.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5388.htmlNotice - 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 Program2009-03-13T00:00:00-07:002009-03-13T00:00:00-07:00E9-5388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5388.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5387.htmlNotice - 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, 20102009-03-13T00:00:00-07:002009-03-13T00:00:00-07:00E9-5387Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5387.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5386.htmlNotice - 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 Differentials2009-03-13T00:00:00-07:002009-03-13T00:00:00-07:00E9-5386Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5386.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5377.htmlRule - Attaching Authenticating Documents to Online Form ID Applications2009-03-13T00:00:00-07:002009-03-13T00:00:00-07:00E9-5377Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5377.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/12/E9-5299.htmlNotice - Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of ICE U.S. Trust LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments2009-03-12T00:00:00-07:002009-03-12T00:00:00-07:00E9-5299Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-12/pdf/E9-5299.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/12/E9-5298.htmlNotice - Proposed Collection; Comment Request2009-03-12T00:00:00-07:002009-03-12T00:00:00-07:00E9-5298Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-12/pdf/E9-5298.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5212.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a 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 Rulebook2009-03-11T00:00:00-07:002009-03-11T00:00:00-07:00E9-5212Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5212.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5211.htmlNotice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.2009-03-11T00:00:00-07:002009-03-11T00:00:00-07:00E9-5211Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5211.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5210.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.2009-03-11T00:00:00-07:002009-03-11T00:00:00-07:00E9-5210Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5210.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5209.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Temporarily Suspend Its Price Continued Listing Standard and Extend the Period of the Temporary Lowering of Its Average Global Market Capitalization Continued Listing Standard2009-03-11T00:00:00-07:002009-03-11T00:00:00-07:00E9-5209Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5209.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5208.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the CBSX Direct Connectivity Charge and the Trading Permit Application Fee2009-03-11T00:00:00-07:002009-03-11T00:00:00-07:00E9-5208Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5208.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5207.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to the Reduction of the Annual Fee for Certain Issues Listed Under Rule 5.2(j)(6)2009-03-11T00:00:00-07:002009-03-11T00:00:00-07:00E9-5207Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5207.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5206.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2009-03-11T00:00:00-07:002009-03-11T00:00:00-07:00E9-5206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5206.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5205.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status and Interim Trading Permit Access Fees2009-03-11T00:00:00-07:002009-03-11T00:00:00-07:00E9-5205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5205.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5204.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Arca, Inc. Implementing Fee Change2009-03-11T00:00:00-07:002009-03-11T00:00:00-07:00E9-5204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5204.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5203.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Definition of TRACE-Eligible Security To Include Securities Eligible for Public Sale and Additional Securities That Are Restricted Securities2009-03-11T00:00:00-07:002009-03-11T00:00:00-07:00E9-5203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5203.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5202.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Rule 10.16, Sanctioning Guidelines2009-03-11T00:00:00-07:002009-03-11T00:00:00-07:00E9-5202Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5202.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5132.htmlNotice - Sunshine Act Meeting2009-03-11T00:00:00-07:002009-03-11T00:00:00-07:00E9-5132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5132.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5130.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to Order Handling and Exposure Periods on the Boston Options Exchange Facility2009-03-11T00:00:00-07:002009-03-11T00:00:00-07:00E9-5130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5130.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/10/E9-5169.htmlNotice - In the Matter of International Business Ventures Group, Inc.; File No. 500-1; Order of Suspension of Trading2009-03-10T00:00:00-07:002009-03-10T00:00:00-07:00E9-5169Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-5169.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/10/E9-5057.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Modifying the Appendix of the GSD-CME Cross-Margining Agreement, Deletion of the GSD-TCC Cross-Margining Arrangement, and Technical Changes and Corrections2009-03-10T00:00:00-07:002009-03-10T00:00:00-07:00E9-5057Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-5057.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4965.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Incorporated NYSE Rules 12 (“Business Day”) and 282 (Buy-in Procedures) and To Delete Incorporated NYSE Rule 177 (Delivery Time-“Cash” Contracts) Relating to the Elimination of NYSE Members' Ability To Enter Orders on the NYSE With Settlement Instructions of “Cash,” “Next Day” and “Seller's Option”2009-03-10T00:00:00-07:002009-03-10T00:00:00-07:00E9-4965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4965.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4964.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 123C To Provide the Exchange With the Ability To Temporarily Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange2009-03-10T00:00:00-07:002009-03-10T00:00:00-07:00E9-4964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4964.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4963.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 123C To Provide the Exchange With the Ability To Temporarily Suspend Certain Exchange Requirements Relating to the Closing of Securities at the Exchange2009-03-10T00:00:00-07:002009-03-10T00:00:00-07:00E9-4963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4963.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4962.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, by International Securities Exchange, LLC Relating to Changes to the Third Amended and Restated Limited Liability Company Operating Agreement of Direct Edge Holdings LLC2009-03-10T00:00:00-07:002009-03-10T00:00:00-07:00E9-4962Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4962.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4961.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals2009-03-10T00:00:00-07:002009-03-10T00:00:00-07:00E9-4961Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4961.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4960.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain Equity Transaction Fees and Rebates2009-03-10T00:00:00-07:002009-03-10T00:00:00-07:00E9-4960Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4960.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4959.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting New NYSE Rule 6A and Amending Existing NYSE Rule 36 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 Floor2009-03-10T00:00:00-07:002009-03-10T00:00:00-07:00E9-4959Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4959.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4958.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC To Eliminate the $3 Price Requirement for Continued Approval for an Underlying Security and Listing Additional Series of Options2009-03-10T00:00:00-07:002009-03-10T00:00:00-07:00E9-4958Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4958.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4877.htmlNotice - 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 Index2009-03-09T00:00:00-07:002009-03-09T00:00:00-07:00E9-4877Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4877.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4876.htmlNotice - 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 SM2009-03-09T00:00:00-07:002009-03-09T00:00:00-07:00E9-4876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4876.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4875.htmlNotice - Forward Funds, et al.; Notice of Application2009-03-09T00:00:00-07:002009-03-09T00:00:00-07:00E9-4875Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4875.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4874.htmlNotice - 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 182009-03-09T00:00:00-07:002009-03-09T00:00:00-07:00E9-4874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4874.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4873.htmlNotice - 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 182009-03-09T00:00:00-07:002009-03-09T00:00:00-07:00E9-4873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4873.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4872.htmlNotice - 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 Floor2009-03-09T00:00:00-07:002009-03-09T00:00:00-07:00E9-4872Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4872.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4816.htmlNotice - Proposed Collection; Comment Request2009-03-09T00:00:00-07:002009-03-09T00:00:00-07:00E9-4816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4816.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4785.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Schedule of Fees and Charges for Exchange Services2009-03-06T00:00:00-08:002009-03-06T00:00:00-08:00E9-4785Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4785.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4780.htmlNotice - Securities Act of 1933, Release No. 9010/March 3, 2009; Securities Exchange Act of 1934, Release No. 59487/March 3, 2009; Order Regarding Review of FASB Accounting Support Fee for 2009 Under Section 109 of the Sarbanes-Oxley Act of 20022009-03-06T00:00:00-08:002009-03-06T00:00:00-08:00E9-4780Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4780.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4779.htmlNotice - Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Use Its Broker Dealer Affiliate, Archipelago Securities, LLC, as Its Routing Broker for Options Orders2009-03-06T00:00:00-08:002009-03-06T00:00:00-08:00E9-4779Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4779.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4778.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish Rules for the Trading of Listed Options2009-03-06T00:00:00-08:002009-03-06T00:00:00-08:00E9-4778Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4778.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4777.htmlNotice - Self-Regulatory Organizations; NYSE Alternext US, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Amending Its Schedule of Fees and Charges for Exchange Services2009-03-06T00:00:00-08:002009-03-06T00:00:00-08:00E9-4777Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4777.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4769.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to Zero Bid Orders on the Boston Options Exchange Facility2009-03-06T00:00:00-08:002009-03-06T00:00:00-08:00E9-4769Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4769.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4768.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of Shares of the iShares® MSCI All Peru Index Fund2009-03-06T00:00:00-08:002009-03-06T00:00:00-08:00E9-4768Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4768.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4767.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402009-03-06T00:00:00-08:002009-03-06T00:00:00-08:00E9-4767Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4767.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4757.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Regulatory Circular RG02-101 Issued Under Rule 17.50(g)(6)-Imposition of Fines for Minor Rule Violations2009-03-06T00:00:00-08:002009-03-06T00:00:00-08:00E9-4757Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4757.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4756.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market, LLC; NASDAQ OMX BX, Inc.; NASDAQ OMX Phlx, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.2009-03-06T00:00:00-08:002009-03-06T00:00:00-08:00E9-4756Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4756.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4755.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to SPDR Barclays Capital Convertible Bond ETF2009-03-06T00:00:00-08:002009-03-06T00:00:00-08:00E9-4755Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4755.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4754.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 4, To Amend NYSE Rule 452 and Listed Company Manual Section 402.08 To Eliminate Broker Discretionary Voting for the Election of Directors and Codify Two Previously Published Interpretations That Do Not Permit Broker Discretionary Votes for Material Amendments to Investment Advisory Contracts2009-03-06T00:00:00-08:002009-03-06T00:00:00-08:00E9-4754Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4754.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4738.htmlNotice - Order Making Fiscal Year 2009 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 19342009-03-05T00:00:00-08:002009-03-05T00:00:00-08:00E9-4738Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-05/pdf/E9-4738.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4679.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amended Interpretative Guidance on the New Methodology for Adjusting Option Contracts for Cash Dividends and Distributions2009-03-05T00:00:00-08:002009-03-05T00:00:00-08:00E9-4679Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-05/pdf/E9-4679.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4678.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Rule 300.10T-NYSE Alternext Equities To Provide a Grace Period Under That Rule for Member Organizations That Have Applied for a Trading License To Comply With Certain Exchange Rules2009-03-05T00:00:00-08:002009-03-05T00:00:00-08:00E9-4678Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-05/pdf/E9-4678.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4677.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 300.10T To Provide a Grace Period Under That Rule for NYSE Alternext U.S. LLC Member Organizations That Have Applied for a Trading License to Comply With Certain Exchange Rules2009-03-05T00:00:00-08:002009-03-05T00:00:00-08:00E9-4677Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-05/pdf/E9-4677.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4604.htmlNotice - DFA Investment Dimensions Group Inc., et al.; Notice of Application2009-03-04T00:00:00-08:002009-03-04T00:00:00-08:00E9-4604Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4604.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4603.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Allow for Direct Membership for Non-Domestic Entities2009-03-04T00:00:00-08:002009-03-04T00:00:00-08:00E9-4603Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4603.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4602.htmlNotice - IndexIQ ETF Trust, et al.; Notice of Application2009-03-04T00:00:00-08:002009-03-04T00:00:00-08:00E9-4602Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4602.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4564.htmlNotice - Sunshine Act Meeting2009-03-04T00:00:00-08:002009-03-04T00:00:00-08:00E9-4564Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4564.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4563.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center2009-03-04T00:00:00-08:002009-03-04T00:00:00-08:00E9-4563Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4563.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4562.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC To Delete Certain Rules Governing the Trading of Listed Options2009-03-04T00:00:00-08:002009-03-04T00:00:00-08:00E9-4562Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4562.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4561.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Adopt a Policy Relating to its Treatment of Trade Reports That it Determines To Be Inconsistent With the Prevailing Market2009-03-04T00:00:00-08:002009-03-04T00:00:00-08:00E9-4561Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4561.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4560.htmlNotice - 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”2009-03-04T00:00:00-08:002009-03-04T00:00:00-08:00E9-4560Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4560.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4558.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by NYSE Alternext US LLC Amending Rule 472-NYSE Alternext Equities (Communications With the Public)2009-03-04T00:00:00-08:002009-03-04T00:00:00-08:00E9-4558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4558.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4557.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by New York Stock Exchange LLC Amending NYSE Rule 472 (Communications With the Public)2009-03-04T00:00:00-08:002009-03-04T00:00:00-08:00E9-4557Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4557.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4556.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System2009-03-04T00:00:00-08:002009-03-04T00:00:00-08:00E9-4556Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4556.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4594.htmlNotice - In the Matter of Cincinnati Microwave, Inc., Core Technologies Pennsylvania, Inc., First Central Financial Corp., Imark Technologies, Inc. (n/k/a Pharm Control Ltd.), Molten Metal Technology, Inc., MRS Technology, Inc., Sun Television & Appliances, Inc., and Telegroup, Inc.; File No. 500-1; Order of Suspension of Trading2009-03-03T00:00:00-08:002009-03-03T00:00:00-08:00E9-4594Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4594.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4428.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Simple Auction Liaison (SAL)2009-03-03T00:00:00-08:002009-03-03T00:00:00-08:00E9-4428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4428.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4427.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Eliminating the Ability To Enter Orders on the Exchange With the Settlement Instructions of “Cash”, “Next Day” and “Seller's Option”2009-03-03T00:00:00-08:002009-03-03T00:00:00-08:00E9-4427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4427.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4426.htmlNotice - C2 Options Exchange, Incorporated; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 19342009-03-03T00:00:00-08:002009-03-03T00:00:00-08:00E9-4426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4426.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4425.htmlNotice - Submission for OMB Review; Comment Request2009-03-03T00:00:00-08:002009-03-03T00:00:00-08:00E9-4425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4425.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4379.htmlRule - Adjustments to Civil Monetary Penalty Amounts2009-03-03T00:00:00-08:002009-03-03T00:00:00-08:00E9-4379Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4379.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4378.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.69-Reporting Duties2009-03-03T00:00:00-08:002009-03-03T00:00:00-08:00E9-4378Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4378.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/02/E9-4300.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules2009-03-02T00:00:00-08:002009-03-02T00:00:00-08:00E9-4300Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-02/pdf/E9-4300.pdfhttps://regulations.justia.com/regulations/fedreg/2009/03/02/E9-4287.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to Tied Hedge Transactions2009-03-02T00:00:00-08:002009-03-02T00:00:00-08:00E9-4287Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-03-02/pdf/E9-4287.pdf