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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2025-01-22T11:21:34-08:00 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/2009/05/29/Z9-11609.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of NASDAQ OMX BX, Inc. 2009-05-29T00:00:00-07:00 2009-05-29T00:00:00-07:00 Z9-11609 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/Z9-11609.pdf https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12514.html Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cross-Margining of Security Futures on Exchange-Traded Funds Based on Broad-Based Stock Indices 2009-05-29T00:00:00-07:00 2009-05-29T00:00:00-07:00 E9-12514 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12514.pdf https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12451.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Changing Certain NYSE Rules and Rule Interpretations To Harmonize Them With Changes to Corresponding Rules Filed by the Financial Industry Regulatory Authority, Inc. 2009-05-29T00:00:00-07:00 2009-05-29T00:00:00-07:00 E9-12451 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12451.pdf https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12450.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 935NY-Order Exposure Requirements To Reduce the Exposure Periods From Three Seconds to One Second 2009-05-29T00:00:00-07:00 2009-05-29T00:00:00-07:00 E9-12450 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12450.pdf https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12449.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing 2009-05-29T00:00:00-07:00 2009-05-29T00:00:00-07:00 E9-12449 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12449.pdf https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12448.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Revising Rules Governing the Use of Telephones on the Options Trading Floor 2009-05-29T00:00:00-07:00 2009-05-29T00:00:00-07:00 E9-12448 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12448.pdf https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12446.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, Entitled “Order Execution” 2009-05-29T00:00:00-07:00 2009-05-29T00:00:00-07:00 E9-12446 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12446.pdf https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12445.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rules To Offer an After Hours Trading Session 2009-05-29T00:00:00-07:00 2009-05-29T00:00:00-07:00 E9-12445 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12445.pdf https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12444.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws 2009-05-29T00:00:00-07:00 2009-05-29T00:00:00-07:00 E9-12444 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12444.pdf https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12443.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Adopt IM-2830-1 (“Breakpoint” Sales) in the Consolidated FINRA Rulebook 2009-05-29T00:00:00-07:00 2009-05-29T00:00:00-07:00 E9-12443 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12443.pdf https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12442.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Relating to the Establishment of a Primary Market Disclosure Service and Trade Price Transparency Service of the Electronic Municipal Market Access System (EMMA®) and Amendments to MSRB Rules G-32 and G-36 2009-05-29T00:00:00-07:00 2009-05-29T00:00:00-07:00 E9-12442 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12442.pdf https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12441.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Relating to the Establishment of a Pilot Phase of Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA®) 2009-05-29T00:00:00-07:00 2009-05-29T00:00:00-07:00 E9-12441 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12441.pdf https://regulations.justia.com/regulations/fedreg/2009/05/28/E9-12357.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Market Data Fees 2009-05-28T00:00:00-07:00 2009-05-28T00:00:00-07:00 E9-12357 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-28/pdf/E9-12357.pdf https://regulations.justia.com/regulations/fedreg/2009/05/28/E9-12347.html Notice - Sunshine Act Meetings 2009-05-28T00:00:00-07:00 2009-05-28T00:00:00-07:00 E9-12347 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-28/pdf/E9-12347.pdf https://regulations.justia.com/regulations/fedreg/2009/05/28/E9-12342.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Implement an Interim Pilot Program With Respect to Margin Requirements for Certain Transactions in Credit Default Swaps 2009-05-28T00:00:00-07:00 2009-05-28T00:00:00-07:00 E9-12342 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-28/pdf/E9-12342.pdf https://regulations.justia.com/regulations/fedreg/2009/05/28/E9-12311.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA Rule 2360 (Options) Regarding Position Limits for Options on Exchange-Traded Funds and Registration Qualifications With Respect to Options Discretionary Accounts 2009-05-28T00:00:00-07:00 2009-05-28T00:00:00-07:00 E9-12311 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-28/pdf/E9-12311.pdf https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12219.html Notice - Main Street Capital Corporation, et al.; Notice of Application 2009-05-27T00:00:00-07:00 2009-05-27T00:00:00-07:00 E9-12219 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12219.pdf https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12218.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt Incorporated NYSE Rule 406 (Designation of Accounts) as a FINRA Rule in the Consolidated FINRA Rulebook 2009-05-27T00:00:00-07:00 2009-05-27T00:00:00-07:00 E9-12218 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12218.pdf https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12217.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.72 Governing Trading Differentials and Proposing To Expand the Penny Pilot 2009-05-27T00:00:00-07:00 2009-05-27T00:00:00-07:00 E9-12217 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12217.pdf https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12216.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program for Directed Orders 2009-05-27T00:00:00-07:00 2009-05-27T00:00:00-07:00 E9-12216 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12216.pdf https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12215.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Adopt a Policy With Respect to the Treatment of Aberrant Trades 2009-05-27T00:00:00-07:00 2009-05-27T00:00:00-07:00 E9-12215 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12215.pdf https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12182.html Proposed Rule - Custody of Funds or Securities of Clients by Investment Advisers 2009-05-27T00:00:00-07:00 2009-05-27T00:00:00-07:00 E9-12182 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12182.pdf https://regulations.justia.com/regulations/fedreg/2009/05/26/E9-12253.html Notice - In the Matter of Nanosignal Corp., Inc. (n/k/a Nano Global, Inc.), National Micronetics, Inc., NetVoice Technologies Corp., Network Access Solutions Corp., Network Plus Corp., The New Anaconda Co., New York Regional Rail Corp., NewCom International, Inc. (n/k/a Sino Express Travel Ltd.), NewKidCo International, Inc., NexGen Vision, Inc., and Noel Group, Inc.; Order of Suspension of Trading 2009-05-26T00:00:00-07:00 2009-05-26T00:00:00-07:00 E9-12253 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-26/pdf/E9-12253.pdf https://regulations.justia.com/regulations/fedreg/2009/05/26/E9-12143.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change to Reduce Fees for NASDAQ Basic Data Feeds 2009-05-26T00:00:00-07:00 2009-05-26T00:00:00-07:00 E9-12143 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-26/pdf/E9-12143.pdf https://regulations.justia.com/regulations/fedreg/2009/05/26/E9-12090.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to Rebating Member Dues for Certain Members 2009-05-26T00:00:00-07:00 2009-05-26T00:00:00-07:00 E9-12090 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-26/pdf/E9-12090.pdf https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-12103.html Notice - In the Matter of Today's Man, Inc., Tokheim Corp., Total Film Group, Inc., Toth Aluminum Corp., Tower Air, Inc., TPC Liquidation, Inc., the Translation Group, Ltd., Track `n Trail, Inc., TransAxis, Inc., Transmedia Europe, Inc., Treasury International, Inc., Trend-Lines, Inc., and Tri Lite, Inc., Respondents; Order of Suspension of Trading 2009-05-22T00:00:00-07:00 2009-05-22T00:00:00-07:00 E9-12103 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-22/pdf/E9-12103.pdf https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-12024.html Notice - Hearing on Target Date Funds and Similar Investment Options 2009-05-22T00:00:00-07:00 2009-05-22T00:00:00-07:00 E9-12024 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-22/pdf/E9-12024.pdf https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-11941.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.13, entitled “Order Execution” 2009-05-22T00:00:00-07:00 2009-05-22T00:00:00-07:00 E9-11941 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-22/pdf/E9-11941.pdf https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-11940.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Regarding the Minimum Creation and Redemption Size Applicable to the MacroShares Major Metro Housing Trusts 2009-05-22T00:00:00-07:00 2009-05-22T00:00:00-07:00 E9-11940 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-22/pdf/E9-11940.pdf https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-11937.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Order Entry Port Fee 2009-05-22T00:00:00-07:00 2009-05-22T00:00:00-07:00 E9-11937 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-22/pdf/E9-11937.pdf https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11812.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook 2009-05-21T00:00:00-07:00 2009-05-21T00:00:00-07:00 E9-11812 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-21/pdf/E9-11812.pdf https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11811.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Permanently Establish the Quarterly Option Series Pilot Program 2009-05-21T00:00:00-07:00 2009-05-21T00:00:00-07:00 E9-11811 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-21/pdf/E9-11811.pdf https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11810.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Retroactively Amend the Fee Schedule To Clarify and Correct References to the Volume Discount Given to Market Makers 2009-05-21T00:00:00-07:00 2009-05-21T00:00:00-07:00 E9-11810 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-21/pdf/E9-11810.pdf https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11809.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Clerical Corrections of the Rules of the Boston Options Exchange Facility 2009-05-21T00:00:00-07:00 2009-05-21T00:00:00-07:00 E9-11809 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-21/pdf/E9-11809.pdf https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11808.html Notice - Self-Regulatory Organizations; The Depository Trust Company, Fixed Income Clearing Corporation, and National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control 2009-05-21T00:00:00-07:00 2009-05-21T00:00:00-07:00 E9-11808 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-21/pdf/E9-11808.pdf https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11807.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Securities That Underlie Options Traded on the Exchange 2009-05-21T00:00:00-07:00 2009-05-21T00:00:00-07:00 E9-11807 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-21/pdf/E9-11807.pdf https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11740.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Its Limited Liability Agreement 2009-05-20T00:00:00-07:00 2009-05-20T00:00:00-07:00 E9-11740 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-20/pdf/E9-11740.pdf https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11739.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc., Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto To Amend the By-Laws, Rules, and Option Floor Procedure Advices Concerning Governance of the Exchange 2009-05-20T00:00:00-07:00 2009-05-20T00:00:00-07:00 E9-11739 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-20/pdf/E9-11739.pdf https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11702.html Notice - Sunshine Act Meeting 2009-05-20T00:00:00-07:00 2009-05-20T00:00:00-07:00 E9-11702 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-20/pdf/E9-11702.pdf https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11701.html Notice - Sunshine Act Meeting; Correction 2009-05-20T00:00:00-07:00 2009-05-20T00:00:00-07:00 E9-11701 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-20/pdf/E9-11701.pdf https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11697.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change as Modified by Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Filing as Amended by Amendment No. 2 Relating to Changes to Forms U4, U5, and FINRA Rule 8312 2009-05-20T00:00:00-07:00 2009-05-20T00:00:00-07:00 E9-11697 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-20/pdf/E9-11697.pdf https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11618.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Nasdaq Listing Rules To Conform Those Rules With the Prior Marketplace Rules and Make Certain Technical Corrections 2009-05-19T00:00:00-07:00 2009-05-19T00:00:00-07:00 E9-11618 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-19/pdf/E9-11618.pdf https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11617.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC Relating to Changes to the Fee Schedule 2009-05-19T00:00:00-07:00 2009-05-19T00:00:00-07:00 E9-11617 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-19/pdf/E9-11617.pdf https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11609.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Restated Certificate of Incorporation and By-Laws of NASDAQ OMX BX, Inc. 2009-05-19T00:00:00-07:00 2009-05-19T00:00:00-07:00 E9-11609 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-19/pdf/E9-11609.pdf https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11608.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Amend the Tolling Provisions in Rules 12206 and 13206 of the Codes of Arbitration Procedure for Customer and Industry Disputes 2009-05-19T00:00:00-07:00 2009-05-19T00:00:00-07:00 E9-11608 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-19/pdf/E9-11608.pdf https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11607.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto To Amend Trade Reporting Rules To Require a Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA 2009-05-19T00:00:00-07:00 2009-05-19T00:00:00-07:00 E9-11607 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-19/pdf/E9-11607.pdf https://regulations.justia.com/regulations/fedreg/2009/05/18/E9-11468.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange Relating to Far Away Market Maker Fees 2009-05-18T00:00:00-07:00 2009-05-18T00:00:00-07:00 E9-11468 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-18/pdf/E9-11468.pdf https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11397.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of ETFS Gold Trust 2009-05-15T00:00:00-07:00 2009-05-15T00:00:00-07:00 E9-11397 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11397.pdf https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11361.html Notice - Submission for OMB Review; Comment Request 2009-05-15T00:00:00-07:00 2009-05-15T00:00:00-07:00 E9-11361 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11361.pdf https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11360.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Regarding Appointments and Obligations of CBSX DPMs 2009-05-15T00:00:00-07:00 2009-05-15T00:00:00-07:00 E9-11360 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11360.pdf https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11359.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Implement a Cap on Certain Fees for Members 2009-05-15T00:00:00-07:00 2009-05-15T00:00:00-07:00 E9-11359 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11359.pdf https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11358.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fee Change 2009-05-15T00:00:00-07:00 2009-05-15T00:00:00-07:00 E9-11358 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11358.pdf https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11357.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Increasing Transaction Fees for Linkage Inbound Principal Orders and Principal Acting as Agent Orders 2009-05-15T00:00:00-07:00 2009-05-15T00:00:00-07:00 E9-11357 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11357.pdf https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11356.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Implementing a Cap on Vendors' Administrative Charges for NYSE OpenBook 2009-05-15T00:00:00-07:00 2009-05-15T00:00:00-07:00 E9-11356 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11356.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11169.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC Relating To Changes to the Fee Schedule 2009-05-13T00:00:00-07:00 2009-05-13T00:00:00-07:00 E9-11169 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11169.pdf https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11164.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center and NASDAQ Options Market 2009-05-13T00:00:00-07:00 2009-05-13T00:00:00-07:00 E9-11164 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11164.pdf https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11122.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to ISE's Margin Rule 2009-05-13T00:00:00-07:00 2009-05-13T00:00:00-07:00 E9-11122 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11122.pdf https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11121.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, Related to Margin Requirements 2009-05-13T00:00:00-07:00 2009-05-13T00:00:00-07:00 E9-11121 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11121.pdf https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11120.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Non-Substantive Changes to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes 2009-05-13T00:00:00-07:00 2009-05-13T00:00:00-07:00 E9-11120 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11120.pdf https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11119.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to the Subscription Service for Continuing Disclosure Documents Through the Electronic Municipal Market Access System (EMMA®) 2009-05-13T00:00:00-07:00 2009-05-13T00:00:00-07:00 E9-11119 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11119.pdf https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11081.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Modernize and Simplify NASD Rule 2720 2009-05-13T00:00:00-07:00 2009-05-13T00:00:00-07:00 E9-11081 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11081.pdf https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-11100.html Notice - Sunshine Act Meeting 2009-05-12T00:00:00-07:00 2009-05-12T00:00:00-07:00 E9-11100 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-11100.pdf https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10998.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade Reporting File Upload Service and Related Fees 2009-05-12T00:00:00-07:00 2009-05-12T00:00:00-07:00 E9-10998 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-10998.pdf https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10997.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status and Interim Trading Permit Access Fees 2009-05-12T00:00:00-07:00 2009-05-12T00:00:00-07:00 E9-10997 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-10997.pdf https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10996.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Volume Discount Given to Market Makers 2009-05-12T00:00:00-07:00 2009-05-12T00:00:00-07:00 E9-10996 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-10996.pdf https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10995.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM 2009-05-12T00:00:00-07:00 2009-05-12T00:00:00-07:00 E9-10995 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-10995.pdf https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10994.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. 2009-05-12T00:00:00-07:00 2009-05-12T00:00:00-07:00 E9-10994 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-10994.pdf https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10993.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Elimination of Options Transaction Charge for Customer Executions in Options on RUT, RMN, MNX and NDX 2009-05-12T00:00:00-07:00 2009-05-12T00:00:00-07:00 E9-10993 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-10993.pdf https://regulations.justia.com/regulations/fedreg/2009/05/11/E9-11077.html Notice - Sunshine Act Meeting 2009-05-11T00:00:00-07:00 2009-05-11T00:00:00-07:00 E9-11077 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-11/pdf/E9-11077.pdf https://regulations.justia.com/regulations/fedreg/2009/05/11/E9-11015.html Notice - Sunshine Act Meeting 2009-05-11T00:00:00-07:00 2009-05-11T00:00:00-07:00 E9-11015 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-11/pdf/E9-11015.pdf https://regulations.justia.com/regulations/fedreg/2009/05/11/E9-10863.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Safety First Trust Certificates Linked to the Dow Jones Industrial Average 2009-05-11T00:00:00-07:00 2009-05-11T00:00:00-07:00 E9-10863 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-11/pdf/E9-10863.pdf https://regulations.justia.com/regulations/fedreg/2009/05/11/E9-10282.html Unknown - Securities and Exchange Commission Semiannual Regulatory Agenda 2009-05-11T00:00:00-07:00 2009-05-11T00:00:00-07:00 E9-10282 Unknown http://www.gpo.gov/fdsys/pkg/FR-2009-05-11/pdf/E9-10282.pdf https://regulations.justia.com/regulations/fedreg/2009/05/08/E9-10933.html Notice - In the Matter of Wade Cook Financial Corp., Warning Management Services, Inc., Weldotron Corp., Western Microwave, Inc., Wickes, Inc., Worldwide Technologies, Inc., and Worldwide Xceed Group, Inc. (n/k/a Liquidating WXG, Inc.); Order of Suspension of Trading 2009-05-08T00:00:00-07:00 2009-05-08T00:00:00-07:00 E9-10933 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-08/pdf/E9-10933.pdf https://regulations.justia.com/regulations/fedreg/2009/05/08/E9-10690.html Notice - Proposed Collection; Comment Request 2009-05-08T00:00:00-07:00 2009-05-08T00:00:00-07:00 E9-10690 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-08/pdf/E9-10690.pdf https://regulations.justia.com/regulations/fedreg/2009/05/08/E9-10689.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. That Suspends NYSE Arca's Stock Price Continued Listing Standard 2009-05-08T00:00:00-07:00 2009-05-08T00:00:00-07:00 E9-10689 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-08/pdf/E9-10689.pdf https://regulations.justia.com/regulations/fedreg/2009/05/07/E9-10716.html Notice - Harvard Industries, Inc., HealthCor Holdings, Inc., and Helm Capital Group, Inc. Order of Suspension of Trading 2009-05-07T00:00:00-07:00 2009-05-07T00:00:00-07:00 E9-10716 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-07/pdf/E9-10716.pdf https://regulations.justia.com/regulations/fedreg/2009/05/07/E9-10525.html Rule - Interactive Data for Mutual Fund Risk/Return Summary; Correction 2009-05-07T00:00:00-07:00 2009-05-07T00:00:00-07:00 E9-10525 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-05-07/pdf/E9-10525.pdf https://regulations.justia.com/regulations/fedreg/2009/05/07/E9-10524.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating To Trading Post/Booth and Registration Fees 2009-05-07T00:00:00-07:00 2009-05-07T00:00:00-07:00 E9-10524 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-07/pdf/E9-10524.pdf https://regulations.justia.com/regulations/fedreg/2009/05/07/E9-10483.html Notice - Roundtable on Short Selling Price Test Restrictions and Short Sale Circuit Breakers 2009-05-07T00:00:00-07:00 2009-05-07T00:00:00-07:00 E9-10483 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-07/pdf/E9-10483.pdf https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10464.html Notice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend the Articles of Organization and By-Laws of Boston Stock Exchange Clearing Corporation 2009-05-06T00:00:00-07:00 2009-05-06T00:00:00-07:00 E9-10464 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10464.pdf https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10449.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.76A Order Execution-OX 2009-05-06T00:00:00-07:00 2009-05-06T00:00:00-07:00 E9-10449 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10449.pdf https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10448.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Stock as Margin 2009-05-06T00:00:00-07:00 2009-05-06T00:00:00-07:00 E9-10448 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10448.pdf https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10447.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change Relating to Quoting Requirements for Streaming Quote Traders, Remote Streaming Quote Traders and Specialists 2009-05-06T00:00:00-07:00 2009-05-06T00:00:00-07:00 E9-10447 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10447.pdf https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10446.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Payment for Order Flow 2009-05-06T00:00:00-07:00 2009-05-06T00:00:00-07:00 E9-10446 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10446.pdf https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10445.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Adoption of Listing Standards for Managed Trust Securities and the Listing and Trading of Shares of the iShares® Diversified Alternatives Trust 2009-05-06T00:00:00-07:00 2009-05-06T00:00:00-07:00 E9-10445 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10445.pdf https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10428.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center 2009-05-06T00:00:00-07:00 2009-05-06T00:00:00-07:00 E9-10428 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10428.pdf https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10427.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Regarding Initial and Annual Listing Fees for Securities Listed and Traded on the NYSE Bonds System 2009-05-06T00:00:00-07:00 2009-05-06T00:00:00-07:00 E9-10427 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10427.pdf https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10401.html Notice - Order Making Fiscal Year 2010 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b), and 31(c) of the Securities Exchange Act of 1934 2009-05-06T00:00:00-07:00 2009-05-06T00:00:00-07:00 E9-10401 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10401.pdf https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10400.html Notice - Sunshine Act Meeting 2009-05-05T00:00:00-07:00 2009-05-05T00:00:00-07:00 E9-10400 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10400.pdf https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10288.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to NYSE Arca Equities Rule 7.10 Governing Clearly Erroneous Executions 2009-05-05T00:00:00-07:00 2009-05-05T00:00:00-07:00 E9-10288 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10288.pdf https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10287.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending Rule 935NY-Order Exposure Requirements 2009-05-05T00:00:00-07:00 2009-05-05T00:00:00-07:00 E9-10287 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10287.pdf https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10254.html Notice - Citibank, N.A.; Notice of Application 2009-05-05T00:00:00-07:00 2009-05-05T00:00:00-07:00 E9-10254 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10254.pdf https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10196.html Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc. 2009-05-05T00:00:00-07:00 2009-05-05T00:00:00-07:00 E9-10196 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10196.pdf https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10195.html Notice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc. 2009-05-05T00:00:00-07:00 2009-05-05T00:00:00-07:00 E9-10195 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10195.pdf https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10171.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Equities Rules 1000, 60 and 123C To Be More Consistent With the Trading Characteristics of Securities Traded on NYSE Amex 2009-05-05T00:00:00-07:00 2009-05-05T00:00:00-07:00 E9-10171 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10171.pdf https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10172.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend the Panel Composition Rules of the Code of Arbitration Procedure for Industry Disputes 2009-05-04T00:00:00-07:00 2009-05-04T00:00:00-07:00 E9-10172 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10172.pdf https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10123.html Rule - Delegation of Authority to the General Counsel 2009-05-04T00:00:00-07:00 2009-05-04T00:00:00-07:00 E9-10123 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10123.pdf https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10120.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Permanently Establish the Short Term Option Series Pilot Program 2009-05-04T00:00:00-07:00 2009-05-04T00:00:00-07:00 E9-10120 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10120.pdf https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10119.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the Exchange's Timely Alert Policy 2009-05-04T00:00:00-07:00 2009-05-04T00:00:00-07:00 E9-10119 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10119.pdf https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10118.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying Rule 7050 Governing Pricing for The NASDAQ Options Market (“NOM”) 2009-05-04T00:00:00-07:00 2009-05-04T00:00:00-07:00 E9-10118 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10118.pdf https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10117.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change Relating to Expanding the Scope and Timing To Collect and Pass-Through Fees Owed by Participants to American Depositary Receipt Agents 2009-05-04T00:00:00-07:00 2009-05-04T00:00:00-07:00 E9-10117 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10117.pdf https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10116.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To List and Trade Shares of the Grail American Beacon Large Cap Value ETF 2009-05-04T00:00:00-07:00 2009-05-04T00:00:00-07:00 E9-10116 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10116.pdf https://regulations.justia.com/regulations/fedreg/2009/05/01/E9-10014.html Notice - Proposed Collection; Comment Request 2009-05-01T00:00:00-07:00 2009-05-01T00:00:00-07:00 E9-10014 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-01/pdf/E9-10014.pdf