Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/05/14?limit=200&registers=between&mode=atom 2024-11-24T05:00:45-08:00 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/2009/05/14/E9-11393.html Notice - In the Matter of: Fortel, Inc., Now Known as Envit Capital Group, Inc.; Order of Suspension of Trading 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11393 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11393.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11380.html Notice - Sunshine Act Meeting 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11380 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11380.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11301.html Notice - Pacific Investment Management Company LLC and PIMCO ETF Trust; Notice of Application 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11301 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11301.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11264.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. 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11264 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11264.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11263.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11263 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11263.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11234.html Notice - Flaherty & Crumrine Preferred Income Fund Incorporated, et al.; Notice of Application 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11234 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11234.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11233.html Notice - Cohen & Steers Advantage Income Realty Fund, et al.; Notice of Application 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11233 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11233.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11232.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11232 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11232.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11231.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. 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11231 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11231.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11230.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, by the International Securities Exchange, LLC Relating to Amending the Direct Edge ECN Fee Schedule To Increase the Super Tier Rebate in Securities Reported To Tape A and Tape C 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11230 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11230.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11229.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Amounts That Direct Edge ECN, in Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11229 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11229.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11228.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete All References in the NYSE Rule Book to “Alternext” and “Alternext US” and Substitute References to “Amex” To Reflect the Recent Name Change of NYSE Alternext US LLC to NYSE Amex LLC 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11228 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11228.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11227.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Making Certain Amendments to Its Price List 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11227 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11227.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11170.html Notice - Proposed Extension of Existing Collection; Comment Request 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11170 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11170.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11168.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify DOT, SCAN and STGY Routing Strategies To Incorporate an Optional Pre-Routing Display Period 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11168 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11168.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11167.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to MSRB Rule G-8 Requiring Brokers, Dealers and Municipal Securities Dealers To Maintain Certain Records Relating to Auction Rate Securities and Variable Rate Demand Obligations 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11167 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11167.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11166.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until October 1, 2009 the Six-Month Pilot Program Which Established a New Class of NYSE Market Participants Referred to as “Supplemental Liquidity Providers” and Is Designated as Exchange Rule 107B 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11166 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11166.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11165.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Modify Certain Equity Transaction Fees and Rebates 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11165 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11165.pdf https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11163.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Regarding Amendments to NYSE Arca Equities Rule 8.3 (“Listing of Currency and Index Warrants”) 2009-05-14T00:00:00-07:00 2009-05-14T00:00:00-07:00 E9-11163 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11163.pdf