<![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 Thu, 23 May 2024 01:19:03 -0700 Thu, 23 May 2024 01:19:03 -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