<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/05?registers=between&min-day=1&max-day=31 Wed, 01 May 2024 06:34:00 -0700 Wed, 01 May 2024 06:34:00 -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/2009/05?registers=between&min-day=1&max-day=31 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. https://regulations.justia.com/regulations/fedreg/2009/05/29/Z9-11609.html https://regulations.justia.com/regulations/fedreg/2009/05/29/Z9-11609.html Fri, 29 May 2009 00:00:00 -0700 Z9-11609 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/Z9-11609.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12514.html https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12514.html Fri, 29 May 2009 00:00:00 -0700 E9-12514 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12514.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12451.html https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12451.html Fri, 29 May 2009 00:00:00 -0700 E9-12451 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12451.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12450.html https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12450.html Fri, 29 May 2009 00:00:00 -0700 E9-12450 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12450.pdf Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12449.html https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12449.html Fri, 29 May 2009 00:00:00 -0700 E9-12449 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12449.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12448.html https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12448.html Fri, 29 May 2009 00:00:00 -0700 E9-12448 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12448.pdf 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” https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12446.html https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12446.html Fri, 29 May 2009 00:00:00 -0700 E9-12446 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12446.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12445.html https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12445.html Fri, 29 May 2009 00:00:00 -0700 E9-12445 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12445.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12444.html https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12444.html Fri, 29 May 2009 00:00:00 -0700 E9-12444 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12444.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12443.html https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12443.html Fri, 29 May 2009 00:00:00 -0700 E9-12443 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12443.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12442.html https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12442.html Fri, 29 May 2009 00:00:00 -0700 E9-12442 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12442.pdf 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®) https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12441.html https://regulations.justia.com/regulations/fedreg/2009/05/29/E9-12441.html Fri, 29 May 2009 00:00:00 -0700 E9-12441 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-29/pdf/E9-12441.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Market Data Fees https://regulations.justia.com/regulations/fedreg/2009/05/28/E9-12357.html https://regulations.justia.com/regulations/fedreg/2009/05/28/E9-12357.html Thu, 28 May 2009 00:00:00 -0700 E9-12357 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-28/pdf/E9-12357.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2009/05/28/E9-12347.html https://regulations.justia.com/regulations/fedreg/2009/05/28/E9-12347.html Thu, 28 May 2009 00:00:00 -0700 E9-12347 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-28/pdf/E9-12347.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/28/E9-12342.html https://regulations.justia.com/regulations/fedreg/2009/05/28/E9-12342.html Thu, 28 May 2009 00:00:00 -0700 E9-12342 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-28/pdf/E9-12342.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/28/E9-12311.html https://regulations.justia.com/regulations/fedreg/2009/05/28/E9-12311.html Thu, 28 May 2009 00:00:00 -0700 E9-12311 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-28/pdf/E9-12311.pdf Notice - Main Street Capital Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12219.html https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12219.html Wed, 27 May 2009 00:00:00 -0700 E9-12219 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12219.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12218.html https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12218.html Wed, 27 May 2009 00:00:00 -0700 E9-12218 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12218.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12217.html https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12217.html Wed, 27 May 2009 00:00:00 -0700 E9-12217 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12217.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12216.html https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12216.html Wed, 27 May 2009 00:00:00 -0700 E9-12216 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12216.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Adopt a Policy With Respect to the Treatment of Aberrant Trades https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12215.html https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12215.html Wed, 27 May 2009 00:00:00 -0700 E9-12215 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12215.pdf Proposed Rule - Custody of Funds or Securities of Clients by Investment Advisers https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12182.html https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12182.html Wed, 27 May 2009 00:00:00 -0700 E9-12182 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12182.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/26/E9-12253.html https://regulations.justia.com/regulations/fedreg/2009/05/26/E9-12253.html Tue, 26 May 2009 00:00:00 -0700 E9-12253 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-26/pdf/E9-12253.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change to Reduce Fees for NASDAQ Basic Data Feeds https://regulations.justia.com/regulations/fedreg/2009/05/26/E9-12143.html https://regulations.justia.com/regulations/fedreg/2009/05/26/E9-12143.html Tue, 26 May 2009 00:00:00 -0700 E9-12143 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-26/pdf/E9-12143.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to Rebating Member Dues for Certain Members https://regulations.justia.com/regulations/fedreg/2009/05/26/E9-12090.html https://regulations.justia.com/regulations/fedreg/2009/05/26/E9-12090.html Tue, 26 May 2009 00:00:00 -0700 E9-12090 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-26/pdf/E9-12090.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-12103.html https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-12103.html Fri, 22 May 2009 00:00:00 -0700 E9-12103 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-22/pdf/E9-12103.pdf Notice - Hearing on Target Date Funds and Similar Investment Options https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-12024.html https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-12024.html Fri, 22 May 2009 00:00:00 -0700 E9-12024 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-22/pdf/E9-12024.pdf 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” https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-11941.html https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-11941.html Fri, 22 May 2009 00:00:00 -0700 E9-11941 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-22/pdf/E9-11941.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-11940.html https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-11940.html Fri, 22 May 2009 00:00:00 -0700 E9-11940 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-22/pdf/E9-11940.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-11937.html https://regulations.justia.com/regulations/fedreg/2009/05/22/E9-11937.html Fri, 22 May 2009 00:00:00 -0700 E9-11937 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-22/pdf/E9-11937.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11812.html https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11812.html Thu, 21 May 2009 00:00:00 -0700 E9-11812 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-21/pdf/E9-11812.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11811.html https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11811.html Thu, 21 May 2009 00:00:00 -0700 E9-11811 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-21/pdf/E9-11811.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11810.html https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11810.html Thu, 21 May 2009 00:00:00 -0700 E9-11810 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-21/pdf/E9-11810.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11809.html https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11809.html Thu, 21 May 2009 00:00:00 -0700 E9-11809 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-21/pdf/E9-11809.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11808.html https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11808.html Thu, 21 May 2009 00:00:00 -0700 E9-11808 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-21/pdf/E9-11808.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11807.html https://regulations.justia.com/regulations/fedreg/2009/05/21/E9-11807.html Thu, 21 May 2009 00:00:00 -0700 E9-11807 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-21/pdf/E9-11807.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Its Limited Liability Agreement https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11740.html https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11740.html Wed, 20 May 2009 00:00:00 -0700 E9-11740 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-20/pdf/E9-11740.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11739.html https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11739.html Wed, 20 May 2009 00:00:00 -0700 E9-11739 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-20/pdf/E9-11739.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11702.html https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11702.html Wed, 20 May 2009 00:00:00 -0700 E9-11702 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-20/pdf/E9-11702.pdf Notice - Sunshine Act Meeting; Correction https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11701.html https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11701.html Wed, 20 May 2009 00:00:00 -0700 E9-11701 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-20/pdf/E9-11701.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11697.html https://regulations.justia.com/regulations/fedreg/2009/05/20/E9-11697.html Wed, 20 May 2009 00:00:00 -0700 E9-11697 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-20/pdf/E9-11697.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11618.html https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11618.html Tue, 19 May 2009 00:00:00 -0700 E9-11618 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-19/pdf/E9-11618.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11617.html https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11617.html Tue, 19 May 2009 00:00:00 -0700 E9-11617 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-19/pdf/E9-11617.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11609.html https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11609.html Tue, 19 May 2009 00:00:00 -0700 E9-11609 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-19/pdf/E9-11609.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11608.html https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11608.html Tue, 19 May 2009 00:00:00 -0700 E9-11608 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-19/pdf/E9-11608.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11607.html https://regulations.justia.com/regulations/fedreg/2009/05/19/E9-11607.html Tue, 19 May 2009 00:00:00 -0700 E9-11607 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-19/pdf/E9-11607.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/18/E9-11468.html https://regulations.justia.com/regulations/fedreg/2009/05/18/E9-11468.html Mon, 18 May 2009 00:00:00 -0700 E9-11468 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-18/pdf/E9-11468.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11397.html https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11397.html Fri, 15 May 2009 00:00:00 -0700 E9-11397 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11397.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11361.html https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11361.html Fri, 15 May 2009 00:00:00 -0700 E9-11361 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11361.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Regarding Appointments and Obligations of CBSX DPMs https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11360.html https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11360.html Fri, 15 May 2009 00:00:00 -0700 E9-11360 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11360.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11359.html https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11359.html Fri, 15 May 2009 00:00:00 -0700 E9-11359 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11359.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fee Change https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11358.html https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11358.html Fri, 15 May 2009 00:00:00 -0700 E9-11358 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11358.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11357.html https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11357.html Fri, 15 May 2009 00:00:00 -0700 E9-11357 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11357.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Implementing a Cap on Vendors' Administrative Charges for NYSE OpenBook https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11356.html https://regulations.justia.com/regulations/fedreg/2009/05/15/E9-11356.html Fri, 15 May 2009 00:00:00 -0700 E9-11356 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-15/pdf/E9-11356.pdf Notice - In the Matter of: Fortel, Inc., Now Known as Envit Capital Group, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11393.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11393.html Thu, 14 May 2009 00:00:00 -0700 E9-11393 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11393.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11380.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11380.html Thu, 14 May 2009 00:00:00 -0700 E9-11380 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11380.pdf Notice - Pacific Investment Management Company LLC and PIMCO ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11301.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11301.html Thu, 14 May 2009 00:00:00 -0700 E9-11301 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11301.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/2009/05/14/E9-11264.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11264.html Thu, 14 May 2009 00:00:00 -0700 E9-11264 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11264.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11263.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11263.html Thu, 14 May 2009 00:00:00 -0700 E9-11263 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11263.pdf Notice - Flaherty & Crumrine Preferred Income Fund Incorporated, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11234.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11234.html Thu, 14 May 2009 00:00:00 -0700 E9-11234 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11234.pdf Notice - Cohen & Steers Advantage Income Realty Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11233.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11233.html Thu, 14 May 2009 00:00:00 -0700 E9-11233 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11233.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11232.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11232.html Thu, 14 May 2009 00:00:00 -0700 E9-11232 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11232.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/2009/05/14/E9-11231.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11231.html Thu, 14 May 2009 00:00:00 -0700 E9-11231 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11231.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11230.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11230.html Thu, 14 May 2009 00:00:00 -0700 E9-11230 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11230.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11229.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11229.html Thu, 14 May 2009 00:00:00 -0700 E9-11229 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11229.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11228.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11228.html Thu, 14 May 2009 00:00:00 -0700 E9-11228 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11228.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11227.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11227.html Thu, 14 May 2009 00:00:00 -0700 E9-11227 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11227.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11170.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11170.html Thu, 14 May 2009 00:00:00 -0700 E9-11170 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11170.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11168.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11168.html Thu, 14 May 2009 00:00:00 -0700 E9-11168 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11168.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11167.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11167.html Thu, 14 May 2009 00:00:00 -0700 E9-11167 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11167.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11166.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11166.html Thu, 14 May 2009 00:00:00 -0700 E9-11166 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11166.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11165.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11165.html Thu, 14 May 2009 00:00:00 -0700 E9-11165 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11165.pdf 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”) https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11163.html https://regulations.justia.com/regulations/fedreg/2009/05/14/E9-11163.html Thu, 14 May 2009 00:00:00 -0700 E9-11163 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-14/pdf/E9-11163.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11169.html https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11169.html Wed, 13 May 2009 00:00:00 -0700 E9-11169 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11169.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 and NASDAQ Options Market https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11164.html https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11164.html Wed, 13 May 2009 00:00:00 -0700 E9-11164 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11164.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11122.html https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11122.html Wed, 13 May 2009 00:00:00 -0700 E9-11122 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11122.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11121.html https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11121.html Wed, 13 May 2009 00:00:00 -0700 E9-11121 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11121.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11120.html https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11120.html Wed, 13 May 2009 00:00:00 -0700 E9-11120 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11120.pdf 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®) https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11119.html https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11119.html Wed, 13 May 2009 00:00:00 -0700 E9-11119 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11119.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11081.html https://regulations.justia.com/regulations/fedreg/2009/05/13/E9-11081.html Wed, 13 May 2009 00:00:00 -0700 E9-11081 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-13/pdf/E9-11081.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-11100.html https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-11100.html Tue, 12 May 2009 00:00:00 -0700 E9-11100 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-11100.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10998.html https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10998.html Tue, 12 May 2009 00:00:00 -0700 E9-10998 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-10998.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/2009/05/12/E9-10997.html https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10997.html Tue, 12 May 2009 00:00:00 -0700 E9-10997 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-10997.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10996.html https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10996.html Tue, 12 May 2009 00:00:00 -0700 E9-10996 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-10996.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 MatchPointSM https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10995.html https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10995.html Tue, 12 May 2009 00:00:00 -0700 E9-10995 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-10995.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10994.html https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10994.html Tue, 12 May 2009 00:00:00 -0700 E9-10994 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-10994.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10993.html https://regulations.justia.com/regulations/fedreg/2009/05/12/E9-10993.html Tue, 12 May 2009 00:00:00 -0700 E9-10993 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-12/pdf/E9-10993.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/05/11/E9-11077.html https://regulations.justia.com/regulations/fedreg/2009/05/11/E9-11077.html Mon, 11 May 2009 00:00:00 -0700 E9-11077 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-11/pdf/E9-11077.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/05/11/E9-11015.html https://regulations.justia.com/regulations/fedreg/2009/05/11/E9-11015.html Mon, 11 May 2009 00:00:00 -0700 E9-11015 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-11/pdf/E9-11015.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/11/E9-10863.html https://regulations.justia.com/regulations/fedreg/2009/05/11/E9-10863.html Mon, 11 May 2009 00:00:00 -0700 E9-10863 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-11/pdf/E9-10863.pdf Unknown - Securities and Exchange Commission Semiannual Regulatory Agenda https://regulations.justia.com/regulations/fedreg/2009/05/11/E9-10282.html https://regulations.justia.com/regulations/fedreg/2009/05/11/E9-10282.html Mon, 11 May 2009 00:00:00 -0700 E9-10282 Unknown http://www.gpo.gov/fdsys/pkg/FR-2009-05-11/pdf/E9-10282.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/08/E9-10933.html https://regulations.justia.com/regulations/fedreg/2009/05/08/E9-10933.html Fri, 08 May 2009 00:00:00 -0700 E9-10933 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-08/pdf/E9-10933.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/05/08/E9-10690.html https://regulations.justia.com/regulations/fedreg/2009/05/08/E9-10690.html Fri, 08 May 2009 00:00:00 -0700 E9-10690 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-08/pdf/E9-10690.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/08/E9-10689.html https://regulations.justia.com/regulations/fedreg/2009/05/08/E9-10689.html Fri, 08 May 2009 00:00:00 -0700 E9-10689 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-08/pdf/E9-10689.pdf Notice - Harvard Industries, Inc., HealthCor Holdings, Inc., and Helm Capital Group, Inc. Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/05/07/E9-10716.html https://regulations.justia.com/regulations/fedreg/2009/05/07/E9-10716.html Thu, 07 May 2009 00:00:00 -0700 E9-10716 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-07/pdf/E9-10716.pdf Rule - Interactive Data for Mutual Fund Risk/Return Summary; Correction https://regulations.justia.com/regulations/fedreg/2009/05/07/E9-10525.html https://regulations.justia.com/regulations/fedreg/2009/05/07/E9-10525.html Thu, 07 May 2009 00:00:00 -0700 E9-10525 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-05-07/pdf/E9-10525.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/07/E9-10524.html https://regulations.justia.com/regulations/fedreg/2009/05/07/E9-10524.html Thu, 07 May 2009 00:00:00 -0700 E9-10524 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-07/pdf/E9-10524.pdf Notice - Roundtable on Short Selling Price Test Restrictions and Short Sale Circuit Breakers https://regulations.justia.com/regulations/fedreg/2009/05/07/E9-10483.html https://regulations.justia.com/regulations/fedreg/2009/05/07/E9-10483.html Thu, 07 May 2009 00:00:00 -0700 E9-10483 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-07/pdf/E9-10483.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10464.html https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10464.html Wed, 06 May 2009 00:00:00 -0700 E9-10464 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10464.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10449.html https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10449.html Wed, 06 May 2009 00:00:00 -0700 E9-10449 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10449.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10448.html https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10448.html Wed, 06 May 2009 00:00:00 -0700 E9-10448 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10448.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10447.html https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10447.html Wed, 06 May 2009 00:00:00 -0700 E9-10447 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10447.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Payment for Order Flow https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10446.html https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10446.html Wed, 06 May 2009 00:00:00 -0700 E9-10446 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10446.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10445.html https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10445.html Wed, 06 May 2009 00:00:00 -0700 E9-10445 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10445.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/2009/05/06/E9-10428.html https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10428.html Wed, 06 May 2009 00:00:00 -0700 E9-10428 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10428.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10427.html https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10427.html Wed, 06 May 2009 00:00:00 -0700 E9-10427 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10427.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10401.html https://regulations.justia.com/regulations/fedreg/2009/05/06/E9-10401.html Wed, 06 May 2009 00:00:00 -0700 E9-10401 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-06/pdf/E9-10401.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10400.html https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10400.html Tue, 05 May 2009 00:00:00 -0700 E9-10400 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10400.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10288.html https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10288.html Tue, 05 May 2009 00:00:00 -0700 E9-10288 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10288.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending Rule 935NY-Order Exposure Requirements https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10287.html https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10287.html Tue, 05 May 2009 00:00:00 -0700 E9-10287 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10287.pdf Notice - Citibank, N.A.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10254.html https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10254.html Tue, 05 May 2009 00:00:00 -0700 E9-10254 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10254.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/2009/05/05/E9-10196.html https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10196.html Tue, 05 May 2009 00:00:00 -0700 E9-10196 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10196.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/2009/05/05/E9-10195.html https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10195.html Tue, 05 May 2009 00:00:00 -0700 E9-10195 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10195.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10171.html https://regulations.justia.com/regulations/fedreg/2009/05/05/E9-10171.html Tue, 05 May 2009 00:00:00 -0700 E9-10171 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-05/pdf/E9-10171.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10172.html https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10172.html Mon, 04 May 2009 00:00:00 -0700 E9-10172 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10172.pdf Rule - Delegation of Authority to the General Counsel https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10123.html https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10123.html Mon, 04 May 2009 00:00:00 -0700 E9-10123 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10123.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Permanently Establish the Short Term Option Series Pilot Program https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10120.html https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10120.html Mon, 04 May 2009 00:00:00 -0700 E9-10120 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10120.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10119.html https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10119.html Mon, 04 May 2009 00:00:00 -0700 E9-10119 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10119.pdf 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”) https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10118.html https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10118.html Mon, 04 May 2009 00:00:00 -0700 E9-10118 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10118.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10117.html https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10117.html Mon, 04 May 2009 00:00:00 -0700 E9-10117 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10117.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10116.html https://regulations.justia.com/regulations/fedreg/2009/05/04/E9-10116.html Mon, 04 May 2009 00:00:00 -0700 E9-10116 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-04/pdf/E9-10116.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/05/01/E9-10014.html https://regulations.justia.com/regulations/fedreg/2009/05/01/E9-10014.html Fri, 01 May 2009 00:00:00 -0700 E9-10014 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-01/pdf/E9-10014.pdf