Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/03?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-02T06:05:01-07:00 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/2009/03/31/E9-7089.html Notice - Submission for OMB Review; Comment Request 2009-03-31T00:00:00-07:00 2009-03-31T00:00:00-07:00 E9-7089 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7089.pdf https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7088.html Notice - Submission for OMB Review; Comment Request 2009-03-31T00:00:00-07:00 2009-03-31T00:00:00-07:00 E9-7088 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7088.pdf https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7087.html Notice - Submission for OMB Review; Comment Request 2009-03-31T00:00:00-07:00 2009-03-31T00:00:00-07:00 E9-7087 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7087.pdf https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7086.html Notice - MetLife Insurance Company of Connecticut, et al. 2009-03-31T00:00:00-07:00 2009-03-31T00:00:00-07:00 E9-7086 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7086.pdf https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7085.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change To Establish New Fees for Services Available to Members and Non-Members 2009-03-31T00:00:00-07:00 2009-03-31T00:00:00-07:00 E9-7085 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7085.pdf https://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6964.html Notice - Proposed Collection; Comment Request 2009-03-30T00:00:00-07:00 2009-03-30T00:00:00-07:00 E9-6964 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-30/pdf/E9-6964.pdf https://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6963.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Modifications 2009-03-30T00:00:00-07:00 2009-03-30T00:00:00-07:00 E9-6963 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-30/pdf/E9-6963.pdf https://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6962.html Notice - 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, 2009 2009-03-30T00:00:00-07:00 2009-03-30T00:00:00-07:00 E9-6962 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-30/pdf/E9-6962.pdf https://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6961.html Notice - 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, 2009 2009-03-30T00:00:00-07:00 2009-03-30T00:00:00-07:00 E9-6961 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-30/pdf/E9-6961.pdf https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6832.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Implement and Revise Fees Related to Non-Participant Services 2009-03-27T00:00:00-07:00 2009-03-27T00:00:00-07:00 E9-6832 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6832.pdf https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6831.html Notice - 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-OX 2009-03-27T00:00:00-07:00 2009-03-27T00:00:00-07:00 E9-6831 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6831.pdf https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6830.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Proposed Changes to Forms U4 and U5 2009-03-27T00:00:00-07:00 2009-03-27T00:00:00-07:00 E9-6830 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6830.pdf https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6829.html Notice - 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 Orders 2009-03-27T00:00:00-07:00 2009-03-27T00:00:00-07:00 E9-6829 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6829.pdf https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6828.html Notice - 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 Orders 2009-03-27T00:00:00-07:00 2009-03-27T00:00:00-07:00 E9-6828 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6828.pdf https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6827.html Notice - 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 Issuance 2009-03-27T00:00:00-07:00 2009-03-27T00:00:00-07:00 E9-6827 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6827.pdf https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6826.html Notice - 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 Dissemination 2009-03-27T00:00:00-07:00 2009-03-27T00:00:00-07:00 E9-6826 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6826.pdf https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6825.html Notice - 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 Program 2009-03-27T00:00:00-07:00 2009-03-27T00:00:00-07:00 E9-6825 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6825.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6723.html Notice - Proposed Collection; Comment Request 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6723 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6723.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6722.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Establish Fees for NYSE Trades 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6722 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6722.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6721.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Tiered Trade Netting Fee 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6721 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6721.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6720.html Notice - 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 System 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6720 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6720.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6719.html Notice - 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” 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6719 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6719.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6703.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Short Term Option Series 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6703 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6703.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6702.html Notice - 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 Types 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6702 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6702.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6659.html Notice - 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 Rulebook 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6659 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6659.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6658.html Notice - Proposed Collection; Comment Request 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6658 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6658.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6657.html Notice - Proposed Collection; Comment Request 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6657 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6657.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6656.html Notice - Proposed Collection; Comment Request 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6656 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6656.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6655.html Notice - UBS AG, et al.; Notice of Application and Temporary Order 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6655 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6655.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6617.html Notice - 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) 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6617 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6617.pdf https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6616.html Notice - 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 Pilot 2009-03-26T00:00:00-07:00 2009-03-26T00:00:00-07:00 E9-6616 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6616.pdf https://regulations.justia.com/regulations/fedreg/2009/03/25/Z9-4678.html Notice - 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 Rules 2009-03-25T00:00:00-07:00 2009-03-25T00:00:00-07:00 Z9-4678 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-25/pdf/Z9-4678.pdf https://regulations.justia.com/regulations/fedreg/2009/03/25/E9-6466.html Notice - 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 Members 2009-03-25T00:00:00-07:00 2009-03-25T00:00:00-07:00 E9-6466 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-25/pdf/E9-6466.pdf https://regulations.justia.com/regulations/fedreg/2009/03/25/E9-6465.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Establish Fees for NYSE Arca Trades 2009-03-25T00:00:00-07:00 2009-03-25T00:00:00-07:00 E9-6465 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-25/pdf/E9-6465.pdf https://regulations.justia.com/regulations/fedreg/2009/03/25/E9-6464.html Notice - 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 Products 2009-03-25T00:00:00-07:00 2009-03-25T00:00:00-07:00 E9-6464 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-25/pdf/E9-6464.pdf https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6406.html Notice - Proposed Collection; Comment Request 2009-03-24T00:00:00-07:00 2009-03-24T00:00:00-07:00 E9-6406 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6406.pdf https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6405.html Notice - 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 1 2009-03-24T00:00:00-07:00 2009-03-24T00:00:00-07:00 E9-6405 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6405.pdf https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6404.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Complex Order Book 2009-03-24T00:00:00-07:00 2009-03-24T00:00:00-07:00 E9-6404 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6404.pdf https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6398.html Notice - 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 Feeds 2009-03-24T00:00:00-07:00 2009-03-24T00:00:00-07:00 E9-6398 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6398.pdf https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6397.html Notice - 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 Malfunction 2009-03-24T00:00:00-07:00 2009-03-24T00:00:00-07:00 E9-6397 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6397.pdf https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6391.html Notice - ING Investments, LLC, et al.; Notice of Application 2009-03-24T00:00:00-07:00 2009-03-24T00:00:00-07:00 E9-6391 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6391.pdf https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6354.html Notice - 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 115A 2009-03-24T00:00:00-07:00 2009-03-24T00:00:00-07:00 E9-6354 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6354.pdf https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6353.html Notice - 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; Correction 2009-03-24T00:00:00-07:00 2009-03-24T00:00:00-07:00 E9-6353 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6353.pdf https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6352.html Notice - 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” 2009-03-24T00:00:00-07:00 2009-03-24T00:00:00-07:00 E9-6352 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6352.pdf https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6330.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Related to the $1 Strike Price Program 2009-03-24T00:00:00-07:00 2009-03-24T00:00:00-07:00 E9-6330 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6330.pdf https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6329.html Notice - 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 Facility 2009-03-24T00:00:00-07:00 2009-03-24T00:00:00-07:00 E9-6329 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6329.pdf https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6328.html Notice - 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 Program 2009-03-24T00:00:00-07:00 2009-03-24T00:00:00-07:00 E9-6328 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6328.pdf https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6327.html Notice - 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 Program 2009-03-24T00:00:00-07:00 2009-03-24T00:00:00-07:00 E9-6327 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6327.pdf https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6434.html Notice - Sunshine Act Meeting 2009-03-23T00:00:00-07:00 2009-03-23T00:00:00-07:00 E9-6434 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6434.pdf https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6209.html Notice - Massachusetts Financial Services Company, et al.; Notice of Application 2009-03-23T00:00:00-07:00 2009-03-23T00:00:00-07:00 E9-6209 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6209.pdf https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6208.html Notice - 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 Disqualifications 2009-03-23T00:00:00-07:00 2009-03-23T00:00:00-07:00 E9-6208 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6208.pdf https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6147.html Notice - 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 Service 2009-03-23T00:00:00-07:00 2009-03-23T00:00:00-07:00 E9-6147 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6147.pdf https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6146.html Notice - 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 Feeds 2009-03-23T00:00:00-07:00 2009-03-23T00:00:00-07:00 E9-6146 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6146.pdf https://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6192.html Notice - Sunshine Act Meeting 2009-03-20T00:00:00-07:00 2009-03-20T00:00:00-07:00 E9-6192 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-20/pdf/E9-6192.pdf https://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6086.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fee Changes 2009-03-20T00:00:00-07:00 2009-03-20T00:00:00-07:00 E9-6086 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-20/pdf/E9-6086.pdf https://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6085.html Notice - 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. 2009-03-20T00:00:00-07:00 2009-03-20T00:00:00-07:00 E9-6085 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-20/pdf/E9-6085.pdf https://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6084.html Notice - 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 Corporation 2009-03-20T00:00:00-07:00 2009-03-20T00:00:00-07:00 E9-6084 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-20/pdf/E9-6084.pdf https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5980.html Notice - ING USA Annuity and Life Insurance Company, et al. 2009-03-19T00:00:00-07:00 2009-03-19T00:00:00-07:00 E9-5980 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5980.pdf https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5979.html Notice - 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 LLC 2009-03-19T00:00:00-07:00 2009-03-19T00:00:00-07:00 E9-5979 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5979.pdf https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5978.html Notice - 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 Securities 2009-03-19T00:00:00-07:00 2009-03-19T00:00:00-07:00 E9-5978 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5978.pdf https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5931.html Notice - 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 Facility 2009-03-19T00:00:00-07:00 2009-03-19T00:00:00-07:00 E9-5931 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5931.pdf https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5930.html Notice - 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 Strategies 2009-03-19T00:00:00-07:00 2009-03-19T00:00:00-07:00 E9-5930 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5930.pdf https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5929.html Notice - 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 Rulebook 2009-03-19T00:00:00-07:00 2009-03-19T00:00:00-07:00 E9-5929 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5929.pdf https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5928.html Notice - 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® Index 2009-03-19T00:00:00-07:00 2009-03-19T00:00:00-07:00 E9-5928 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5928.pdf https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5927.html Notice - 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 Comments 2009-03-19T00:00:00-07:00 2009-03-19T00:00:00-07:00 E9-5927 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5927.pdf https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5932.html Notice - Sunshine Act Meeting 2009-03-18T00:00:00-07:00 2009-03-18T00:00:00-07:00 E9-5932 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5932.pdf https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5791.html Notice - Sunshine Act Meeting 2009-03-18T00:00:00-07:00 2009-03-18T00:00:00-07:00 E9-5791 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5791.pdf https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5790.html Notice - Automated Trading Desk Specialists, LLC, et al. 2009-03-18T00:00:00-07:00 2009-03-18T00:00:00-07:00 E9-5790 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5790.pdf https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5785.html Notice - E*TRADE Capital Markets LLC, et al.; Notice of Application and Temporary Order 2009-03-18T00:00:00-07:00 2009-03-18T00:00:00-07:00 E9-5785 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5785.pdf https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5779.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2009-03-18T00:00:00-07:00 2009-03-18T00:00:00-07:00 E9-5779 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5779.pdf https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5769.html Notice - Submission for OMB Review; Comment Request 2009-03-18T00:00:00-07:00 2009-03-18T00:00:00-07:00 E9-5769 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5769.pdf https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5768.html Notice - Submission for OMB Review; Comment Request 2009-03-18T00:00:00-07:00 2009-03-18T00:00:00-07:00 E9-5768 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5768.pdf https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5767.html Notice - 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 Plan 2009-03-18T00:00:00-07:00 2009-03-18T00:00:00-07:00 E9-5767 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5767.pdf https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5766.html Notice - 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 110 2009-03-18T00:00:00-07:00 2009-03-18T00:00:00-07:00 E9-5766 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5766.pdf https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5722.html Notice - 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 Market 2009-03-17T00:00:00-07:00 2009-03-17T00:00:00-07:00 E9-5722 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5722.pdf https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5719.html Notice - 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 Exchange 2009-03-17T00:00:00-07:00 2009-03-17T00:00:00-07:00 E9-5719 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5719.pdf https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5718.html Notice - Self-Regulatory Organizations; NYSE Alternext US LLC.; Order Approving Proposed Rule Change To Revise Listing Fees 2009-03-17T00:00:00-07:00 2009-03-17T00:00:00-07:00 E9-5718 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5718.pdf https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5717.html Notice - 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 Bonds 2009-03-17T00:00:00-07:00 2009-03-17T00:00:00-07:00 E9-5717 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5717.pdf https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5716.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 6.87-Obvious Errors 2009-03-17T00:00:00-07:00 2009-03-17T00:00:00-07:00 E9-5716 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5716.pdf https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5715.html Notice - 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 Rules 2009-03-17T00:00:00-07:00 2009-03-17T00:00:00-07:00 E9-5715 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5715.pdf https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5714.html Notice - 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 Systems 2009-03-17T00:00:00-07:00 2009-03-17T00:00:00-07:00 E9-5714 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5714.pdf https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5687.html Notice - 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 Service 2009-03-17T00:00:00-07:00 2009-03-17T00:00:00-07:00 E9-5687 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5687.pdf https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5594.html Notice - 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 Shares 2009-03-16T00:00:00-07:00 2009-03-16T00:00:00-07:00 E9-5594 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5594.pdf https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5593.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Obvious Error Rules 2009-03-16T00:00:00-07:00 2009-03-16T00:00:00-07:00 E9-5593 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5593.pdf https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5572.html Notice - 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 Outcry 2009-03-16T00:00:00-07:00 2009-03-16T00:00:00-07:00 E9-5572 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5572.pdf https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5571.html Notice - 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 Cap 2009-03-16T00:00:00-07:00 2009-03-16T00:00:00-07:00 E9-5571 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5571.pdf https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5570.html Notice - 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 Recipients 2009-03-16T00:00:00-07:00 2009-03-16T00:00:00-07:00 E9-5570 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5570.pdf https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5569.html Notice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Order Approving Proposed Rule Change To Introduce a NYSE Order Imbalance Information Fee 2009-03-16T00:00:00-07:00 2009-03-16T00:00:00-07:00 E9-5569 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5569.pdf https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5568.html Notice - 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 Trusts 2009-03-16T00:00:00-07:00 2009-03-16T00:00:00-07:00 E9-5568 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5568.pdf https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5567.html Notice - 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 Agents 2009-03-16T00:00:00-07:00 2009-03-16T00:00:00-07:00 E9-5567 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5567.pdf https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5566.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Two Pilot Programs 2009-03-16T00:00:00-07:00 2009-03-16T00:00:00-07:00 E9-5566 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5566.pdf https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5565.html Notice - 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 Governor 2009-03-16T00:00:00-07:00 2009-03-16T00:00:00-07:00 E9-5565 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5565.pdf https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5564.html Notice - 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 Subsidy 2009-03-16T00:00:00-07:00 2009-03-16T00:00:00-07:00 E9-5564 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5564.pdf https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5389.html Notice - 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 2009-03-13T00:00:00-07:00 2009-03-13T00:00:00-07:00 E9-5389 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5389.pdf https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5388.html Notice - 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 2009-03-13T00:00:00-07:00 2009-03-13T00:00:00-07:00 E9-5388 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5388.pdf https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5387.html Notice - 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 2009-03-13T00:00:00-07:00 2009-03-13T00:00:00-07:00 E9-5387 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5387.pdf https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5386.html Notice - 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 2009-03-13T00:00:00-07:00 2009-03-13T00:00:00-07:00 E9-5386 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5386.pdf https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5377.html Rule - Attaching Authenticating Documents to Online Form ID Applications 2009-03-13T00:00:00-07:00 2009-03-13T00:00:00-07:00 E9-5377 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5377.pdf https://regulations.justia.com/regulations/fedreg/2009/03/12/E9-5299.html Notice - 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 Comments 2009-03-12T00:00:00-07:00 2009-03-12T00:00:00-07:00 E9-5299 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-12/pdf/E9-5299.pdf https://regulations.justia.com/regulations/fedreg/2009/03/12/E9-5298.html Notice - Proposed Collection; Comment Request 2009-03-12T00:00:00-07:00 2009-03-12T00:00:00-07:00 E9-5298 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-12/pdf/E9-5298.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5212.html Notice - 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 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5212 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5212.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5211.html Notice - 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. 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5211 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5211.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5210.html Notice - 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. 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5210 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5210.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5209.html Notice - 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 Standard 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5209 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5209.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5208.html Notice - 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 Fee 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5208 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5208.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5207.html Notice - 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) 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5207 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5207.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5206.html Notice - 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. 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5206 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5206.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5205.html Notice - 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 Fees 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5205 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5205.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5204.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Arca, Inc. Implementing Fee Change 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5204 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5204.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5203.html Notice - 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 Securities 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5203 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5203.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5202.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Rule 10.16, Sanctioning Guidelines 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5202 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5202.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5132.html Notice - Sunshine Act Meeting 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5132 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5132.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5130.html Notice - 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 Facility 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5130 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5130.pdf https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-5169.html Notice - In the Matter of International Business Ventures Group, Inc.; File No. 500-1; Order of Suspension of Trading 2009-03-10T00:00:00-07:00 2009-03-10T00:00:00-07:00 E9-5169 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-5169.pdf https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-5057.html Notice - 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 Corrections 2009-03-10T00:00:00-07:00 2009-03-10T00:00:00-07:00 E9-5057 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-5057.pdf https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4965.html Notice - 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” 2009-03-10T00:00:00-07:00 2009-03-10T00:00:00-07:00 E9-4965 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4965.pdf https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4964.html Notice - 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 Exchange 2009-03-10T00:00:00-07:00 2009-03-10T00:00:00-07:00 E9-4964 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4964.pdf https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4963.html Notice - 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 Exchange 2009-03-10T00:00:00-07:00 2009-03-10T00:00:00-07:00 E9-4963 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4963.pdf https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4962.html Notice - 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 LLC 2009-03-10T00:00:00-07:00 2009-03-10T00:00:00-07:00 E9-4962 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4962.pdf https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4961.html Notice - 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 Professionals 2009-03-10T00:00:00-07:00 2009-03-10T00:00:00-07:00 E9-4961 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4961.pdf https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4960.html Notice - 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 Rebates 2009-03-10T00:00:00-07:00 2009-03-10T00:00:00-07:00 E9-4960 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4960.pdf https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4959.html Notice - 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 Floor 2009-03-10T00:00:00-07:00 2009-03-10T00:00:00-07:00 E9-4959 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4959.pdf https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4958.html Notice - 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 Options 2009-03-10T00:00:00-07:00 2009-03-10T00:00:00-07:00 E9-4958 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4958.pdf https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4877.html Notice - 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 2009-03-09T00:00:00-07:00 2009-03-09T00:00:00-07:00 E9-4877 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4877.pdf https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4876.html Notice - 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 2009-03-09T00:00:00-07:00 2009-03-09T00:00:00-07:00 E9-4876 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4876.pdf https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4875.html Notice - Forward Funds, et al.; Notice of Application 2009-03-09T00:00:00-07:00 2009-03-09T00:00:00-07:00 E9-4875 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4875.pdf https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4874.html Notice - 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 2009-03-09T00:00:00-07:00 2009-03-09T00:00:00-07:00 E9-4874 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4874.pdf https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4873.html Notice - 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 2009-03-09T00:00:00-07:00 2009-03-09T00:00:00-07:00 E9-4873 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4873.pdf https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4872.html Notice - 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 2009-03-09T00:00:00-07:00 2009-03-09T00:00:00-07:00 E9-4872 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4872.pdf https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4816.html Notice - Proposed Collection; Comment Request 2009-03-09T00:00:00-07:00 2009-03-09T00:00:00-07:00 E9-4816 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4816.pdf https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4785.html Notice - 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 Services 2009-03-06T00:00:00-08:00 2009-03-06T00:00:00-08:00 E9-4785 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4785.pdf https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4780.html Notice - 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 2002 2009-03-06T00:00:00-08:00 2009-03-06T00:00:00-08:00 E9-4780 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4780.pdf https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4779.html Notice - 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 Orders 2009-03-06T00:00:00-08:00 2009-03-06T00:00:00-08:00 E9-4779 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4779.pdf https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4778.html Notice - 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 Options 2009-03-06T00:00:00-08:00 2009-03-06T00:00:00-08:00 E9-4778 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4778.pdf https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4777.html Notice - 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 Services 2009-03-06T00:00:00-08:00 2009-03-06T00:00:00-08:00 E9-4777 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4777.pdf https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4769.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to Zero Bid Orders on the Boston Options Exchange Facility 2009-03-06T00:00:00-08:00 2009-03-06T00:00:00-08:00 E9-4769 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4769.pdf https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4768.html Notice - 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 Fund 2009-03-06T00:00:00-08:00 2009-03-06T00:00:00-08:00 E9-4768 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4768.pdf https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4767.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2009-03-06T00:00:00-08:00 2009-03-06T00:00:00-08:00 E9-4767 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4767.pdf https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4757.html Notice - 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 Violations 2009-03-06T00:00:00-08:00 2009-03-06T00:00:00-08:00 E9-4757 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4757.pdf https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4756.html Notice - 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. 2009-03-06T00:00:00-08:00 2009-03-06T00:00:00-08:00 E9-4756 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4756.pdf https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4755.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to SPDR Barclays Capital Convertible Bond ETF 2009-03-06T00:00:00-08:00 2009-03-06T00:00:00-08:00 E9-4755 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4755.pdf https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4754.html Notice - 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 Contracts 2009-03-06T00:00:00-08:00 2009-03-06T00:00:00-08:00 E9-4754 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4754.pdf https://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4738.html Notice - 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 1934 2009-03-05T00:00:00-08:00 2009-03-05T00:00:00-08:00 E9-4738 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-05/pdf/E9-4738.pdf https://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4679.html Notice - 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 Distributions 2009-03-05T00:00:00-08:00 2009-03-05T00:00:00-08:00 E9-4679 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-05/pdf/E9-4679.pdf https://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4678.html Notice - 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 Rules 2009-03-05T00:00:00-08:00 2009-03-05T00:00:00-08:00 E9-4678 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-05/pdf/E9-4678.pdf https://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4677.html Notice - 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 Rules 2009-03-05T00:00:00-08:00 2009-03-05T00:00:00-08:00 E9-4677 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-05/pdf/E9-4677.pdf https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4604.html Notice - DFA Investment Dimensions Group Inc., et al.; Notice of Application 2009-03-04T00:00:00-08:00 2009-03-04T00:00:00-08:00 E9-4604 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4604.pdf https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4603.html Notice - 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 Entities 2009-03-04T00:00:00-08:00 2009-03-04T00:00:00-08:00 E9-4603 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4603.pdf https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4602.html Notice - IndexIQ ETF Trust, et al.; Notice of Application 2009-03-04T00:00:00-08:00 2009-03-04T00:00:00-08:00 E9-4602 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4602.pdf https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4564.html Notice - Sunshine Act Meeting 2009-03-04T00:00:00-08:00 2009-03-04T00:00:00-08:00 E9-4564 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4564.pdf https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4563.html Notice - 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 Center 2009-03-04T00:00:00-08:00 2009-03-04T00:00:00-08:00 E9-4563 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4563.pdf https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4562.html Notice - 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 Options 2009-03-04T00:00:00-08:00 2009-03-04T00:00:00-08:00 E9-4562 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4562.pdf https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4561.html Notice - 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 Market 2009-03-04T00:00:00-08:00 2009-03-04T00:00:00-08:00 E9-4561 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4561.pdf https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4560.html Notice - 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” 2009-03-04T00:00:00-08:00 2009-03-04T00:00:00-08:00 E9-4560 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4560.pdf https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4558.html Notice - 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) 2009-03-04T00:00:00-08:00 2009-03-04T00:00:00-08:00 E9-4558 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4558.pdf https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4557.html Notice - 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) 2009-03-04T00:00:00-08:00 2009-03-04T00:00:00-08:00 E9-4557 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4557.pdf https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4556.html Notice - 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 System 2009-03-04T00:00:00-08:00 2009-03-04T00:00:00-08:00 E9-4556 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4556.pdf https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4594.html Notice - 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 Trading 2009-03-03T00:00:00-08:00 2009-03-03T00:00:00-08:00 E9-4594 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4594.pdf https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4428.html Notice - 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) 2009-03-03T00:00:00-08:00 2009-03-03T00:00:00-08:00 E9-4428 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4428.pdf https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4427.html Notice - 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” 2009-03-03T00:00:00-08:00 2009-03-03T00:00:00-08:00 E9-4427 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4427.pdf https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4426.html Notice - 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 1934 2009-03-03T00:00:00-08:00 2009-03-03T00:00:00-08:00 E9-4426 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4426.pdf https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4425.html Notice - Submission for OMB Review; Comment Request 2009-03-03T00:00:00-08:00 2009-03-03T00:00:00-08:00 E9-4425 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4425.pdf https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4379.html Rule - Adjustments to Civil Monetary Penalty Amounts 2009-03-03T00:00:00-08:00 2009-03-03T00:00:00-08:00 E9-4379 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4379.pdf https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4378.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.69-Reporting Duties 2009-03-03T00:00:00-08:00 2009-03-03T00:00:00-08:00 E9-4378 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4378.pdf https://regulations.justia.com/regulations/fedreg/2009/03/02/E9-4300.html Notice - 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 Rules 2009-03-02T00:00:00-08:00 2009-03-02T00:00:00-08:00 E9-4300 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-02/pdf/E9-4300.pdf https://regulations.justia.com/regulations/fedreg/2009/03/02/E9-4287.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to Tied Hedge Transactions 2009-03-02T00:00:00-08:00 2009-03-02T00:00:00-08:00 E9-4287 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-02/pdf/E9-4287.pdf