Securities and Exchange Commission June 15, 2009 – Federal Register Recent Federal Regulation Documents

Results 1 - 17 of 17
Sunshine Act Meeting
Document Number: E9-14075
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14075.html
Proposed Collection; Comment Request
Document Number: E9-14007
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14007.html
Banc of America Securities LLC, et al.; Notice of Application and Temporary Order
Document Number: E9-14006
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to an injunction entered against Banc of America Securities LLC (``BAS'') and Banc of America Investment Services, Inc. (``BAI'') on June 9, 2009 by the United States District Court for the Southern District of New York (``Injunction'') until the Commission takes final action on an application for a permanent order. Applicants also have applied for a permanent order.
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14006.html
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 S&P 500® Index
Document Number: E9-14005
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14005.html
Deutsche Bank Securities Inc., et al.; Notice of Application and Temporary Order
Document Number: E9-13981
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13981.html
RBC Capital Markets Corporation, et al.; Notice of Application and Temporary Order
Document Number: E9-13980
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13980.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Repeal Incorporated NYSE Rule 134 (Differences and Omissions-Cleared Transactions) and NYSE Rule 440I (Records of Compensation Arrangements-Floor Brokerage) as Part of the Process To Develop the Consolidated FINRA Rulebook
Document Number: E9-13975
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13975.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Pricing for NASDAQ “Flash” Functionality for Routable Orders
Document Number: E9-13974
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13974.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule To (i) Increase From 50,000 to 5 Million the Liquidity Adding Average Daily Volume Thresholds in the Automatic Execution Mode of Order Interaction (“AutoEx”); (ii) Include Securities Less Than One Dollar in the Calculation of Liquidity Adding and Total Average Volume Thresholds in AutoEx; and (iii) Eliminate the Two Lower Tiers With Respect to the AutoEx Liquidity Adding Zero Display Order Rebate
Document Number: E9-13973
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13973.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services
Document Number: E9-13972
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13972.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2124 (Net Transactions With Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook
Document Number: E9-13971
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13971.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Generic Listing Rules for Currency Trust Shares
Document Number: E9-13970
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13970.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by 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
Document Number: E9-13969
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13969.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 110 to the Earlier of the Approval of SR-NYSE-2009-08 or June 30, 2009
Document Number: E9-13968
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13968.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend the Panel Composition Rules of the Code of Arbitration Procedure for Industry Disputes
Document Number: E9-13967
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13967.html
Self-Regulatory Organizations; NYSE Amex LLC, Notice of Filing of a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-side Liquidity To Trigger the Execution of a d-Quote
Document Number: E9-13966
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13966.html
Investor Advisory Committee; Notice of Federal Advisory Committee Establishment; Correction
Document Number: E9-13934
Type: Notice
Date: 2009-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13934.html
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