Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/04?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2024-05-22T22:21:47-07:00 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/2009/04/30/E9-10035.html Notice - Pax Clean Energy, Inc.; Order of Suspension of Trading 2009-04-30T00:00:00-07:00 2009-04-30T00:00:00-07:00 E9-10035 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-30/pdf/E9-10035.pdf https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9879.html Notice - Sunshine Act Meeting 2009-04-29T00:00:00-07:00 2009-04-29T00:00:00-07:00 E9-9879 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9879.pdf https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9820.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rules 15 and 123C Regarding the Operation of Its NYSE Order Imbalance Information Service To Modify the Reference Price at Which the Exchange Reports the Order Imbalance Information and Clarify What Information Is Included and Excluded From the Order Imbalance Information Reports 2009-04-29T00:00:00-07:00 2009-04-29T00:00:00-07:00 E9-9820 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9820.pdf https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9819.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to the Voluntary Submission of Continuing Disclosure Documents to Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA®) 2009-04-29T00:00:00-07:00 2009-04-29T00:00:00-07:00 E9-9819 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9819.pdf https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9818.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rules 15 and 123C Regarding the Operation of Its NYSE Amex Order Imbalance Information Service To Modify the Reference Price at Which the Exchange Reports the Order Imbalance Information and Clarify What Information Is Included and Excluded From the Order Imbalance Information Reports 2009-04-29T00:00:00-07:00 2009-04-29T00:00:00-07:00 E9-9818 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9818.pdf https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9749.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2009-04-29T00:00:00-07:00 2009-04-29T00:00:00-07:00

E9-9749 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9749.pdf https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9704.html Notice - Sunshine Act Meeting 2009-04-29T00:00:00-07:00 2009-04-29T00:00:00-07:00 E9-9704 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9704.pdf https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9673.html Notice - Submission for OMB Review; Comment Request 2009-04-29T00:00:00-07:00 2009-04-29T00:00:00-07:00 E9-9673 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9673.pdf https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9672.html Notice - Submission for OMB Review; Comment Request 2009-04-29T00:00:00-07:00 2009-04-29T00:00:00-07:00 E9-9672 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9672.pdf https://regulations.justia.com/regulations/fedreg/2009/04/29/E9-9671.html Notice - Submission for OMB Review; Comment Request 2009-04-29T00:00:00-07:00 2009-04-29T00:00:00-07:00 E9-9671 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-29/pdf/E9-9671.pdf https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9576.html Notice - William Blair & Company, L.L.C. and Wilblairco II, L.L.C.; Notice of Application 2009-04-28T00:00:00-07:00 2009-04-28T00:00:00-07:00 E9-9576 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9576.pdf https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9573.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fee Change 2009-04-28T00:00:00-07:00 2009-04-28T00:00:00-07:00 E9-9573 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9573.pdf https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9561.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing 2009-04-28T00:00:00-07:00 2009-04-28T00:00:00-07:00 E9-9561 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9561.pdf https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9560.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness by International Securities Exchange, LLC of a Proposed Rule Change To Amend Exchange Rules Related to Confirmations to Customers 2009-04-28T00:00:00-07:00 2009-04-28T00:00:00-07:00 E9-9560 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9560.pdf https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9559.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Non-Substantive, Technical Changes to FINRA Trade Reporting Rules Upon Implementation of SR-FINRA-2008-011 2009-04-28T00:00:00-07:00 2009-04-28T00:00:00-07:00 E9-9559 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9559.pdf https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9558.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Regarding Market Maker Obligations 2009-04-28T00:00:00-07:00 2009-04-28T00:00:00-07:00 E9-9558 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9558.pdf https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9557.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Impose a Charge on Members With a Fail-to-Deliver in Treasury Securities 2009-04-28T00:00:00-07:00 2009-04-28T00:00:00-07:00 E9-9557 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9557.pdf https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9556.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules 13, 902, 903, 904, 905 and 906 To Eliminate Certain Order Types From the Off-Hours Trading Facility 2009-04-28T00:00:00-07:00 2009-04-28T00:00:00-07:00 E9-9556 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9556.pdf https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9555.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change as Modified by Amendments No. 2 and 3 Thereto To Modify the Fee for Connecting to a Nasdaq Data Center Over the Internet 2009-04-28T00:00:00-07:00 2009-04-28T00:00:00-07:00 E9-9555 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9555.pdf https://regulations.justia.com/regulations/fedreg/2009/04/28/E9-9554.html Notice - Proposed Extension of Existing Collection; Comment Request 2009-04-28T00:00:00-07:00 2009-04-28T00:00:00-07:00 E9-9554 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-28/pdf/E9-9554.pdf https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9402.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Implementing the NYSE Arca Realtime Reference Prices Service on a Permanent Basis 2009-04-24T00:00:00-07:00 2009-04-24T00:00:00-07:00 E9-9402 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9402.pdf https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9389.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc., Order Approving Proposed Rule Change Relating to the Nomination and Election of Candidates for Governor and Independent Governor 2009-04-24T00:00:00-07:00 2009-04-24T00:00:00-07:00 E9-9389 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9389.pdf https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9388.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Its Obvious Error Rules 2009-04-24T00:00:00-07:00 2009-04-24T00:00:00-07:00 E9-9388 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9388.pdf https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9387.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Implementing NYSE Realtime Reference Price Service on a Permanent Basis 2009-04-24T00:00:00-07:00 2009-04-24T00:00:00-07:00 E9-9387 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9387.pdf https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9386.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook 2009-04-24T00:00:00-07:00 2009-04-24T00:00:00-07:00 E9-9386 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9386.pdf https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9385.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Listing and Trading of Shares of the ETFS Silver Trust 2009-04-24T00:00:00-07:00 2009-04-24T00:00:00-07:00 E9-9385 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9385.pdf https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9374.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 Involving Best Execution and Interpositioning 2009-04-24T00:00:00-07:00 2009-04-24T00:00:00-07:00 E9-9374 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9374.pdf https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9373.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish InterACT, a New Service, and Related Fees. 2009-04-24T00:00:00-07:00 2009-04-24T00:00:00-07:00 E9-9373 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9373.pdf https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9372.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 1010 (Electronic Filing Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook 2009-04-24T00:00:00-07:00 2009-04-24T00:00:00-07:00 E9-9372 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9372.pdf https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9370.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. 2009-04-24T00:00:00-07:00 2009-04-24T00:00:00-07:00 E9-9370 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9370.pdf https://regulations.justia.com/regulations/fedreg/2009/04/24/E9-9367.html Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Amendment to Board Rules Relating to Inspections 2009-04-24T00:00:00-07:00 2009-04-24T00:00:00-07:00 E9-9367 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-24/pdf/E9-9367.pdf https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9418.html Notice - Act Manufacturing, Inc., Aerovox, Inc. (n/k/a New Bedford Capacitor, Inc.), Agility Capital, Inc., Air Water International Corp. (f/k/a Universal Communications Systems, Inc.), Allegiant Physician Services, Inc., and Alpha Microsystems, Inc. (n/k/a NQL, Inc.); Order of Suspension of Trading 2009-04-23T00:00:00-07:00 2009-04-23T00:00:00-07:00 E9-9418 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9418.pdf https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9314.html Rule - Adoption of Updated EDGAR Filer Manual 2009-04-23T00:00:00-07:00 2009-04-23T00:00:00-07:00

E9-9314 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9314.pdf https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9241.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II 2009-04-23T00:00:00-07:00 2009-04-23T00:00:00-07:00 E9-9241 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9241.pdf https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9240.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Adopt a Policy Relating to Its Treatment of Trade Reports That It Determines To Be Inconsistent With the Prevailing Market 2009-04-23T00:00:00-07:00 2009-04-23T00:00:00-07:00 E9-9240 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9240.pdf https://regulations.justia.com/regulations/fedreg/2009/04/23/E9-9089.html Rule - Technical Amendments to Rules, Forms, Schedules, and Codification of Financial Reporting Policies 2009-04-23T00:00:00-07:00 2009-04-23T00:00:00-07:00

E9-9089 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-04-23/pdf/E9-9089.pdf https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9239.html Notice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Settlement Service Guide and Settlement Progress Payments 2009-04-22T00:00:00-07:00 2009-04-22T00:00:00-07:00 E9-9239 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9239.pdf https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9203.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2009-04-22T00:00:00-07:00 2009-04-22T00:00:00-07:00 E9-9203 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9203.pdf https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9202.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; the NASDAQ Stock Market LLC; 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. 2009-04-22T00:00:00-07:00 2009-04-22T00:00:00-07:00 E9-9202 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9202.pdf https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9163.html Notice - Submission for OMB Review; Comment Requested 2009-04-22T00:00:00-07:00 2009-04-22T00:00:00-07:00 E9-9163 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9163.pdf https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9162.html Notice - Submission for OMB Review; Comment Request 2009-04-22T00:00:00-07:00 2009-04-22T00:00:00-07:00 E9-9162 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9162.pdf https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9161.html Notice - Submission for OMB Review; Comment Request 2009-04-22T00:00:00-07:00 2009-04-22T00:00:00-07:00 E9-9161 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9161.pdf https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9160.html Notice - OMB Review; Comment Request 2009-04-22T00:00:00-07:00 2009-04-22T00:00:00-07:00 E9-9160 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9160.pdf https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9159.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities 2009-04-22T00:00:00-07:00 2009-04-22T00:00:00-07:00 E9-9159 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9159.pdf https://regulations.justia.com/regulations/fedreg/2009/04/22/E9-9157.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Adoption of FINRA Rule 2080 (Obtaining an Order of Expungement of Customer Dispute Information From the Central Registration Depository (CRD System)), FINRA Rule 2310 (Direct Participation Programs), FINRA Rule 4551 (Requirements for Alternative Trading Systems To Record and Transmit Order and Execution Information for Security Futures) and FINRA Rule 2266 (SIPC Information) in the Consolidated FINRA Rulebook 2009-04-22T00:00:00-07:00 2009-04-22T00:00:00-07:00 E9-9157 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-22/pdf/E9-9157.pdf https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9179.html Notice - Sunshine Act Meeting 2009-04-21T00:00:00-07:00 2009-04-21T00:00:00-07:00 E9-9179 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9179.pdf https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9059.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, To Expand the Definition of “TRACE-Eligible Security” 2009-04-21T00:00:00-07:00 2009-04-21T00:00:00-07:00 E9-9059 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9059.pdf https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9058.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2320 in the Consolidated FINRA Rulebook 2009-04-21T00:00:00-07:00 2009-04-21T00:00:00-07:00 E9-9058 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9058.pdf https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9057.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals 2009-04-21T00:00:00-07:00 2009-04-21T00:00:00-07:00 E9-9057 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9057.pdf https://regulations.justia.com/regulations/fedreg/2009/04/21/E9-9056.html Notice - ProShares Trust, et al.; Notice of Application 2009-04-21T00:00:00-07:00 2009-04-21T00:00:00-07:00 E9-9056 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-21/pdf/E9-9056.pdf