<![CDATA[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?registers=between&min-day=1&max-day=31 Thu, 02 May 2024 01:58:05 -0700 Thu, 02 May 2024 01:58:05 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[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?registers=between&min-day=1&max-day=31 Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7089.html https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7089.html Tue, 31 Mar 2009 00:00:00 -0700 E9-7089 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7089.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7088.html https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7088.html Tue, 31 Mar 2009 00:00:00 -0700 E9-7088 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7088.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7087.html https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7087.html Tue, 31 Mar 2009 00:00:00 -0700 E9-7087 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7087.pdf Notice - MetLife Insurance Company of Connecticut, et al. https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7086.html https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7086.html Tue, 31 Mar 2009 00:00:00 -0700 E9-7086 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7086.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7085.html https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7085.html Tue, 31 Mar 2009 00:00:00 -0700 E9-7085 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-31/pdf/E9-7085.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6964.html https://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6964.html Mon, 30 Mar 2009 00:00:00 -0700 E9-6964 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-30/pdf/E9-6964.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Modifications https://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6963.html https://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6963.html Mon, 30 Mar 2009 00:00:00 -0700 E9-6963 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-30/pdf/E9-6963.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6962.html https://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6962.html Mon, 30 Mar 2009 00:00:00 -0700 E9-6962 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-30/pdf/E9-6962.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6961.html https://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6961.html Mon, 30 Mar 2009 00:00:00 -0700 E9-6961 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-30/pdf/E9-6961.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Implement and Revise Fees Related to Non-Participant Services https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6832.html https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6832.html Fri, 27 Mar 2009 00:00:00 -0700 E9-6832 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6832.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6831.html https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6831.html Fri, 27 Mar 2009 00:00:00 -0700 E9-6831 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6831.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6830.html https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6830.html Fri, 27 Mar 2009 00:00:00 -0700 E9-6830 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6830.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6829.html https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6829.html Fri, 27 Mar 2009 00:00:00 -0700 E9-6829 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6829.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6828.html https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6828.html Fri, 27 Mar 2009 00:00:00 -0700 E9-6828 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6828.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6827.html https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6827.html Fri, 27 Mar 2009 00:00:00 -0700 E9-6827 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6827.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6826.html https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6826.html Fri, 27 Mar 2009 00:00:00 -0700 E9-6826 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6826.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6825.html https://regulations.justia.com/regulations/fedreg/2009/03/27/E9-6825.html Fri, 27 Mar 2009 00:00:00 -0700 E9-6825 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-27/pdf/E9-6825.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6723.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6723.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6723 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6723.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Establish Fees for NYSE Trades https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6722.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6722.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6722 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6722.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6721.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6721.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6721 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6721.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6720.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6720.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6720 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6720.pdf 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” https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6719.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6719.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6719 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6719.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Short Term Option Series https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6703.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6703.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6703 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6703.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6702.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6702.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6702 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6702.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6659.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6659.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6659 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6659.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6658.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6658.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6658 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6658.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6657.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6657.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6657 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6657.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6656.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6656.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6656 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6656.pdf Notice - UBS AG, et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6655.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6655.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6655 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6655.pdf 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) https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6617.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6617.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6617 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6617.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6616.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6616.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6616 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6616.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/25/Z9-4678.html https://regulations.justia.com/regulations/fedreg/2009/03/25/Z9-4678.html Wed, 25 Mar 2009 00:00:00 -0700 Z9-4678 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-25/pdf/Z9-4678.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/25/E9-6466.html https://regulations.justia.com/regulations/fedreg/2009/03/25/E9-6466.html Wed, 25 Mar 2009 00:00:00 -0700 E9-6466 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-25/pdf/E9-6466.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Establish Fees for NYSE Arca Trades https://regulations.justia.com/regulations/fedreg/2009/03/25/E9-6465.html https://regulations.justia.com/regulations/fedreg/2009/03/25/E9-6465.html Wed, 25 Mar 2009 00:00:00 -0700 E9-6465 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-25/pdf/E9-6465.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/25/E9-6464.html https://regulations.justia.com/regulations/fedreg/2009/03/25/E9-6464.html Wed, 25 Mar 2009 00:00:00 -0700 E9-6464 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-25/pdf/E9-6464.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6406.html https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6406.html Tue, 24 Mar 2009 00:00:00 -0700 E9-6406 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6406.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6405.html https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6405.html Tue, 24 Mar 2009 00:00:00 -0700 E9-6405 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6405.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6404.html https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6404.html Tue, 24 Mar 2009 00:00:00 -0700 E9-6404 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6404.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6398.html https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6398.html Tue, 24 Mar 2009 00:00:00 -0700 E9-6398 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6398.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6397.html https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6397.html Tue, 24 Mar 2009 00:00:00 -0700 E9-6397 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6397.pdf Notice - ING Investments, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6391.html https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6391.html Tue, 24 Mar 2009 00:00:00 -0700 E9-6391 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6391.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6354.html https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6354.html Tue, 24 Mar 2009 00:00:00 -0700 E9-6354 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6354.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6353.html https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6353.html Tue, 24 Mar 2009 00:00:00 -0700 E9-6353 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6353.pdf 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” https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6352.html https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6352.html Tue, 24 Mar 2009 00:00:00 -0700 E9-6352 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6352.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6330.html https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6330.html Tue, 24 Mar 2009 00:00:00 -0700 E9-6330 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6330.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6329.html https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6329.html Tue, 24 Mar 2009 00:00:00 -0700 E9-6329 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6329.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6328.html https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6328.html Tue, 24 Mar 2009 00:00:00 -0700 E9-6328 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6328.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6327.html https://regulations.justia.com/regulations/fedreg/2009/03/24/E9-6327.html Tue, 24 Mar 2009 00:00:00 -0700 E9-6327 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-24/pdf/E9-6327.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6434.html https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6434.html Mon, 23 Mar 2009 00:00:00 -0700 E9-6434 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6434.pdf Notice - Massachusetts Financial Services Company, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6209.html https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6209.html Mon, 23 Mar 2009 00:00:00 -0700 E9-6209 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6209.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6208.html https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6208.html Mon, 23 Mar 2009 00:00:00 -0700 E9-6208 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6208.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6147.html https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6147.html Mon, 23 Mar 2009 00:00:00 -0700 E9-6147 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6147.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6146.html https://regulations.justia.com/regulations/fedreg/2009/03/23/E9-6146.html Mon, 23 Mar 2009 00:00:00 -0700 E9-6146 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-23/pdf/E9-6146.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6192.html https://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6192.html Fri, 20 Mar 2009 00:00:00 -0700 E9-6192 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-20/pdf/E9-6192.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fee Changes https://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6086.html https://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6086.html Fri, 20 Mar 2009 00:00:00 -0700 E9-6086 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-20/pdf/E9-6086.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6085.html https://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6085.html Fri, 20 Mar 2009 00:00:00 -0700 E9-6085 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-20/pdf/E9-6085.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6084.html https://regulations.justia.com/regulations/fedreg/2009/03/20/E9-6084.html Fri, 20 Mar 2009 00:00:00 -0700 E9-6084 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-20/pdf/E9-6084.pdf Notice - ING USA Annuity and Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5980.html https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5980.html Thu, 19 Mar 2009 00:00:00 -0700 E9-5980 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5980.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5979.html https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5979.html Thu, 19 Mar 2009 00:00:00 -0700 E9-5979 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5979.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5978.html https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5978.html Thu, 19 Mar 2009 00:00:00 -0700 E9-5978 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5978.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5931.html https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5931.html Thu, 19 Mar 2009 00:00:00 -0700 E9-5931 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5931.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5930.html https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5930.html Thu, 19 Mar 2009 00:00:00 -0700 E9-5930 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5930.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5929.html https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5929.html Thu, 19 Mar 2009 00:00:00 -0700 E9-5929 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5929.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5928.html https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5928.html Thu, 19 Mar 2009 00:00:00 -0700 E9-5928 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5928.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5927.html https://regulations.justia.com/regulations/fedreg/2009/03/19/E9-5927.html Thu, 19 Mar 2009 00:00:00 -0700 E9-5927 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-19/pdf/E9-5927.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5932.html https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5932.html Wed, 18 Mar 2009 00:00:00 -0700 E9-5932 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5932.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5791.html https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5791.html Wed, 18 Mar 2009 00:00:00 -0700 E9-5791 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5791.pdf Notice - Automated Trading Desk Specialists, LLC, et al. https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5790.html https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5790.html Wed, 18 Mar 2009 00:00:00 -0700 E9-5790 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5790.pdf Notice - E*TRADE Capital Markets LLC, et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5785.html https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5785.html Wed, 18 Mar 2009 00:00:00 -0700 E9-5785 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5785.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5779.html https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5779.html Wed, 18 Mar 2009 00:00:00 -0700 E9-5779 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5779.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5769.html https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5769.html Wed, 18 Mar 2009 00:00:00 -0700 E9-5769 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5769.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5768.html https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5768.html Wed, 18 Mar 2009 00:00:00 -0700 E9-5768 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5768.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5767.html https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5767.html Wed, 18 Mar 2009 00:00:00 -0700 E9-5767 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5767.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5766.html https://regulations.justia.com/regulations/fedreg/2009/03/18/E9-5766.html Wed, 18 Mar 2009 00:00:00 -0700 E9-5766 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-18/pdf/E9-5766.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5722.html https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5722.html Tue, 17 Mar 2009 00:00:00 -0700 E9-5722 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5722.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5719.html https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5719.html Tue, 17 Mar 2009 00:00:00 -0700 E9-5719 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5719.pdf Notice - Self-Regulatory Organizations; NYSE Alternext US LLC.; Order Approving Proposed Rule Change To Revise Listing Fees https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5718.html https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5718.html Tue, 17 Mar 2009 00:00:00 -0700 E9-5718 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5718.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5717.html https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5717.html Tue, 17 Mar 2009 00:00:00 -0700 E9-5717 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5717.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 6.87-Obvious Errors https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5716.html https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5716.html Tue, 17 Mar 2009 00:00:00 -0700 E9-5716 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5716.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5715.html https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5715.html Tue, 17 Mar 2009 00:00:00 -0700 E9-5715 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5715.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5714.html https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5714.html Tue, 17 Mar 2009 00:00:00 -0700 E9-5714 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5714.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5687.html https://regulations.justia.com/regulations/fedreg/2009/03/17/E9-5687.html Tue, 17 Mar 2009 00:00:00 -0700 E9-5687 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-17/pdf/E9-5687.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5594.html https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5594.html Mon, 16 Mar 2009 00:00:00 -0700 E9-5594 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5594.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5593.html https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5593.html Mon, 16 Mar 2009 00:00:00 -0700 E9-5593 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5593.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5572.html https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5572.html Mon, 16 Mar 2009 00:00:00 -0700 E9-5572 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5572.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5571.html https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5571.html Mon, 16 Mar 2009 00:00:00 -0700 E9-5571 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5571.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5570.html https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5570.html Mon, 16 Mar 2009 00:00:00 -0700 E9-5570 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5570.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Order Approving Proposed Rule Change To Introduce a NYSE Order Imbalance Information Fee https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5569.html https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5569.html Mon, 16 Mar 2009 00:00:00 -0700 E9-5569 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5569.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5568.html https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5568.html Mon, 16 Mar 2009 00:00:00 -0700 E9-5568 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5568.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5567.html https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5567.html Mon, 16 Mar 2009 00:00:00 -0700 E9-5567 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5567.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Two Pilot Programs https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5566.html https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5566.html Mon, 16 Mar 2009 00:00:00 -0700 E9-5566 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5566.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5565.html https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5565.html Mon, 16 Mar 2009 00:00:00 -0700 E9-5565 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5565.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5564.html https://regulations.justia.com/regulations/fedreg/2009/03/16/E9-5564.html Mon, 16 Mar 2009 00:00:00 -0700 E9-5564 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-16/pdf/E9-5564.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5389.html https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5389.html Fri, 13 Mar 2009 00:00:00 -0700 E9-5389 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5389.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5388.html https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5388.html Fri, 13 Mar 2009 00:00:00 -0700 E9-5388 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5388.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5387.html https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5387.html Fri, 13 Mar 2009 00:00:00 -0700 E9-5387 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5387.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5386.html https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5386.html Fri, 13 Mar 2009 00:00:00 -0700 E9-5386 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5386.pdf Rule - Attaching Authenticating Documents to Online Form ID Applications https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5377.html https://regulations.justia.com/regulations/fedreg/2009/03/13/E9-5377.html Fri, 13 Mar 2009 00:00:00 -0700 E9-5377 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-03-13/pdf/E9-5377.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/12/E9-5299.html https://regulations.justia.com/regulations/fedreg/2009/03/12/E9-5299.html Thu, 12 Mar 2009 00:00:00 -0700 E9-5299 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-12/pdf/E9-5299.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/12/E9-5298.html https://regulations.justia.com/regulations/fedreg/2009/03/12/E9-5298.html Thu, 12 Mar 2009 00:00:00 -0700 E9-5298 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-12/pdf/E9-5298.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5212.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5212.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5212 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5212.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5211.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5211.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5211 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5211.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5210.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5210.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5210 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5210.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5209.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5209.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5209 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5209.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5208.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5208.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5208 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5208.pdf 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) https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5207.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5207.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5207 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5207.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5206.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5206.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5206 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5206.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5205.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5205.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5205 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5205.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Arca, Inc. Implementing Fee Change https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5204.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5204.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5204 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5204.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5203.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5203.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5203 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5203.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5202.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5202.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5202 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5202.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5132.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5132.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5132 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5132.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5130.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5130.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5130 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5130.pdf Notice - In the Matter of International Business Ventures Group, Inc.; File No. 500-1; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-5169.html https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-5169.html Tue, 10 Mar 2009 00:00:00 -0700 E9-5169 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-5169.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-5057.html https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-5057.html Tue, 10 Mar 2009 00:00:00 -0700 E9-5057 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-5057.pdf 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” https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4965.html https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4965.html Tue, 10 Mar 2009 00:00:00 -0700 E9-4965 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4965.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4964.html https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4964.html Tue, 10 Mar 2009 00:00:00 -0700 E9-4964 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4964.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4963.html https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4963.html Tue, 10 Mar 2009 00:00:00 -0700 E9-4963 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4963.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4962.html https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4962.html Tue, 10 Mar 2009 00:00:00 -0700 E9-4962 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4962.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4961.html https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4961.html Tue, 10 Mar 2009 00:00:00 -0700 E9-4961 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4961.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4960.html https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4960.html Tue, 10 Mar 2009 00:00:00 -0700 E9-4960 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4960.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4959.html https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4959.html Tue, 10 Mar 2009 00:00:00 -0700 E9-4959 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4959.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4958.html https://regulations.justia.com/regulations/fedreg/2009/03/10/E9-4958.html Tue, 10 Mar 2009 00:00:00 -0700 E9-4958 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-10/pdf/E9-4958.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4877.html https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4877.html Mon, 09 Mar 2009 00:00:00 -0700 E9-4877 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4877.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4876.html https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4876.html Mon, 09 Mar 2009 00:00:00 -0700 E9-4876 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4876.pdf Notice - Forward Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4875.html https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4875.html Mon, 09 Mar 2009 00:00:00 -0700 E9-4875 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4875.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4874.html https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4874.html Mon, 09 Mar 2009 00:00:00 -0700 E9-4874 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4874.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4873.html https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4873.html Mon, 09 Mar 2009 00:00:00 -0700 E9-4873 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4873.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4872.html https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4872.html Mon, 09 Mar 2009 00:00:00 -0700 E9-4872 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4872.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4816.html https://regulations.justia.com/regulations/fedreg/2009/03/09/E9-4816.html Mon, 09 Mar 2009 00:00:00 -0700 E9-4816 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-09/pdf/E9-4816.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4785.html https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4785.html Fri, 06 Mar 2009 00:00:00 -0800 E9-4785 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4785.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4780.html https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4780.html Fri, 06 Mar 2009 00:00:00 -0800 E9-4780 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4780.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4779.html https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4779.html Fri, 06 Mar 2009 00:00:00 -0800 E9-4779 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4779.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4778.html https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4778.html Fri, 06 Mar 2009 00:00:00 -0800 E9-4778 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4778.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4777.html https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4777.html Fri, 06 Mar 2009 00:00:00 -0800 E9-4777 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4777.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4769.html https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4769.html Fri, 06 Mar 2009 00:00:00 -0800 E9-4769 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4769.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4768.html https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4768.html Fri, 06 Mar 2009 00:00:00 -0800 E9-4768 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4768.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4767.html https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4767.html Fri, 06 Mar 2009 00:00:00 -0800 E9-4767 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4767.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4757.html https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4757.html Fri, 06 Mar 2009 00:00:00 -0800 E9-4757 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4757.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4756.html https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4756.html Fri, 06 Mar 2009 00:00:00 -0800 E9-4756 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4756.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to SPDR Barclays Capital Convertible Bond ETF https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4755.html https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4755.html Fri, 06 Mar 2009 00:00:00 -0800 E9-4755 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4755.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4754.html https://regulations.justia.com/regulations/fedreg/2009/03/06/E9-4754.html Fri, 06 Mar 2009 00:00:00 -0800 E9-4754 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-06/pdf/E9-4754.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4738.html https://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4738.html Thu, 05 Mar 2009 00:00:00 -0800 E9-4738 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-05/pdf/E9-4738.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4679.html https://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4679.html Thu, 05 Mar 2009 00:00:00 -0800 E9-4679 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-05/pdf/E9-4679.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4678.html https://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4678.html Thu, 05 Mar 2009 00:00:00 -0800 E9-4678 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-05/pdf/E9-4678.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4677.html https://regulations.justia.com/regulations/fedreg/2009/03/05/E9-4677.html Thu, 05 Mar 2009 00:00:00 -0800 E9-4677 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-05/pdf/E9-4677.pdf Notice - DFA Investment Dimensions Group Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4604.html https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4604.html Wed, 04 Mar 2009 00:00:00 -0800 E9-4604 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4604.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4603.html https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4603.html Wed, 04 Mar 2009 00:00:00 -0800 E9-4603 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4603.pdf Notice - IndexIQ ETF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4602.html https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4602.html Wed, 04 Mar 2009 00:00:00 -0800 E9-4602 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4602.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4564.html https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4564.html Wed, 04 Mar 2009 00:00:00 -0800 E9-4564 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4564.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4563.html https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4563.html Wed, 04 Mar 2009 00:00:00 -0800 E9-4563 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4563.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4562.html https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4562.html Wed, 04 Mar 2009 00:00:00 -0800 E9-4562 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4562.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4561.html https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4561.html Wed, 04 Mar 2009 00:00:00 -0800 E9-4561 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4561.pdf 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” https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4560.html https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4560.html Wed, 04 Mar 2009 00:00:00 -0800 E9-4560 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4560.pdf 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) https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4558.html https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4558.html Wed, 04 Mar 2009 00:00:00 -0800 E9-4558 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4558.pdf 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) https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4557.html https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4557.html Wed, 04 Mar 2009 00:00:00 -0800 E9-4557 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4557.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4556.html https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4556.html Wed, 04 Mar 2009 00:00:00 -0800 E9-4556 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-04/pdf/E9-4556.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4594.html https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4594.html Tue, 03 Mar 2009 00:00:00 -0800 E9-4594 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4594.pdf 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) https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4428.html https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4428.html Tue, 03 Mar 2009 00:00:00 -0800 E9-4428 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4428.pdf 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” https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4427.html https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4427.html Tue, 03 Mar 2009 00:00:00 -0800 E9-4427 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4427.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4426.html https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4426.html Tue, 03 Mar 2009 00:00:00 -0800 E9-4426 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4426.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4425.html https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4425.html Tue, 03 Mar 2009 00:00:00 -0800 E9-4425 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4425.pdf Rule - Adjustments to Civil Monetary Penalty Amounts https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4379.html https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4379.html Tue, 03 Mar 2009 00:00:00 -0800 E9-4379 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4379.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.69-Reporting Duties https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4378.html https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4378.html Tue, 03 Mar 2009 00:00:00 -0800 E9-4378 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-03/pdf/E9-4378.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/02/E9-4300.html https://regulations.justia.com/regulations/fedreg/2009/03/02/E9-4300.html Mon, 02 Mar 2009 00:00:00 -0800 E9-4300 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-02/pdf/E9-4300.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to Tied Hedge Transactions https://regulations.justia.com/regulations/fedreg/2009/03/02/E9-4287.html https://regulations.justia.com/regulations/fedreg/2009/03/02/E9-4287.html Mon, 02 Mar 2009 00:00:00 -0800 E9-4287 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-02/pdf/E9-4287.pdf