<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/06?registers=between&min-day=1&max-day=30 Sun, 28 Apr 2024 06:40:20 -0700 Sun, 28 Apr 2024 06:40:20 -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/2009/06?registers=between&min-day=1&max-day=30 Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/30/E9-15399.html https://regulations.justia.com/regulations/fedreg/2009/06/30/E9-15399.html Tue, 30 Jun 2009 00:00:00 -0700 E9-15399 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-30/pdf/E9-15399.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Flash and Cancel Order https://regulations.justia.com/regulations/fedreg/2009/06/30/E9-15351.html https://regulations.justia.com/regulations/fedreg/2009/06/30/E9-15351.html Tue, 30 Jun 2009 00:00:00 -0700 E9-15351 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-30/pdf/E9-15351.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Permanently Establish the Quarterly Option Series Program https://regulations.justia.com/regulations/fedreg/2009/06/30/E9-15350.html https://regulations.justia.com/regulations/fedreg/2009/06/30/E9-15350.html Tue, 30 Jun 2009 00:00:00 -0700 E9-15350 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-30/pdf/E9-15350.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving 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/2009/06/29/E9-15268.html https://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15268.html Mon, 29 Jun 2009 00:00:00 -0700 E9-15268 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-29/pdf/E9-15268.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15267.html https://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15267.html Mon, 29 Jun 2009 00:00:00 -0700 E9-15267 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-29/pdf/E9-15267.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Ancillary Fee Changes https://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15226.html https://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15226.html Mon, 29 Jun 2009 00:00:00 -0700 E9-15226 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-29/pdf/E9-15226.pdf Notice - Embarcadero Funds, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15225.html https://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15225.html Mon, 29 Jun 2009 00:00:00 -0700 E9-15225 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-29/pdf/E9-15225.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to $1 Strikes for Reduced Value Nasdaq 100 Options (MNX) https://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15224.html https://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15224.html Mon, 29 Jun 2009 00:00:00 -0700 E9-15224 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-29/pdf/E9-15224.pdf Notice - Consolidated Tape Association; Notice of Filing of the Eleventh Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan To Waive the Automatic Annual Increase in the Enterprise Cap for 2008 https://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15223.html https://regulations.justia.com/regulations/fedreg/2009/06/29/E9-15223.html Mon, 29 Jun 2009 00:00:00 -0700 E9-15223 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-29/pdf/E9-15223.pdf Notice - In the Matter of Paivis Corp., Peabodys Coffee, Inc., Penge Corp., Petrol Industries, Inc. (n/k/a Caddo International, Inc.), Phantom Entertainment, Inc., Phoenix Medical Technology, Inc., Phoenix Metals USA II, Inc. (a/k/a TM Media Group, Inc.), Phymed, Inc., Pico Products, Inc., and Piemonte Foods, Inc.; File No. 500-1; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15253.html https://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15253.html Fri, 26 Jun 2009 00:00:00 -0700 E9-15253 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-26/pdf/E9-15253.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15252.html https://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15252.html Fri, 26 Jun 2009 00:00:00 -0700 E9-15252 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-26/pdf/E9-15252.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Floor Broker Agency Interest Containing Pegging and/or Discretionary Instructions, Eligible for Execution in the Closing Transaction, in the NYSE Order Imbalance Information Datafeed Disseminated Prior to the Closing Transaction https://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15155.html https://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15155.html Fri, 26 Jun 2009 00:00:00 -0700 E9-15155 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-26/pdf/E9-15155.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Floor Broker Agency Interest Containing Pegging and/or Discretionary Instructions, Eligible for Execution in the Closing Transaction, in the NYSE Amex Order Imbalance Information Datafeed Disseminated Prior to the Closing Transaction https://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15154.html https://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15154.html Fri, 26 Jun 2009 00:00:00 -0700 E9-15154 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-26/pdf/E9-15154.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Definition of “Narrow-Based Index” https://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15153.html https://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15153.html Fri, 26 Jun 2009 00:00:00 -0700 E9-15153 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-26/pdf/E9-15153.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Qualified Contingent Cross Orders https://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15025.html https://regulations.justia.com/regulations/fedreg/2009/06/26/E9-15025.html Fri, 26 Jun 2009 00:00:00 -0700 E9-15025 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-26/pdf/E9-15025.pdf Rule - Technical Amendment; Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-15014.html https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-15014.html Thu, 25 Jun 2009 00:00:00 -0700 E9-15014 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-15014.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of Shares of the iShares® MSCI All Peru Capped Index Fund https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14972.html https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14972.html Thu, 25 Jun 2009 00:00:00 -0700 E9-14972 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14972.pdf Notice - Order Granting Application for Extension of a Temporary Conditional Exemption Pursuant to Section 36(a) of the Exchange Act by the International Securities Exchange, LLC Relating to the Ownership Interest of International Securities Exchange Holdings, Inc. in an Electronic Communications Network https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14967.html https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14967.html Thu, 25 Jun 2009 00:00:00 -0700 E9-14967 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14967.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to WAIT Modifiers, PNP Plus Orders, and Attributable Orders https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14961.html https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14961.html Thu, 25 Jun 2009 00:00:00 -0700 E9-14961 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14961.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14959.html https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14959.html Thu, 25 Jun 2009 00:00:00 -0700 E9-14959 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14959.pdf Notice - Self-Regulatory Organizations; One Chicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Widening the Bid/Ask Spread for Quoting Market-Makers https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14958.html https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14958.html Thu, 25 Jun 2009 00:00:00 -0700 E9-14958 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14958.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 124 To Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good ‘Til Cancelled Order During the Implementation of Exchange System Enhancements https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14957.html https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14957.html Thu, 25 Jun 2009 00:00:00 -0700 E9-14957 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14957.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 124 To Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good 'Til Cancelled Order During the Implementation of Exchange System Enhancements https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14956.html https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14956.html Thu, 25 Jun 2009 00:00:00 -0700 E9-14956 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14956.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of ProShares UltraShort MSCI Mexico Investable Market Fund https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14899.html https://regulations.justia.com/regulations/fedreg/2009/06/25/E9-14899.html Thu, 25 Jun 2009 00:00:00 -0700 E9-14899 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-25/pdf/E9-14899.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14802.html https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14802.html Wed, 24 Jun 2009 00:00:00 -0700 E9-14802 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14802.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Until July 15, 2009 the Operation of Interim NYSE Rule 128, Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14801.html https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14801.html Wed, 24 Jun 2009 00:00:00 -0700 E9-14801 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14801.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Related to the Complex Order Book https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14800.html https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14800.html Wed, 24 Jun 2009 00:00:00 -0700 E9-14800 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14800.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Regarding Appointments of CBSX DPMs https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14799.html https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14799.html Wed, 24 Jun 2009 00:00:00 -0700 E9-14799 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14799.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Margin Requirements https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14798.html https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14798.html Wed, 24 Jun 2009 00:00:00 -0700 E9-14798 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14798.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Margin Requirements https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14797.html https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14797.html Wed, 24 Jun 2009 00:00:00 -0700 E9-14797 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14797.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change to Charge a $500 Monthly Fee to Recipients of the NYSE Amex Order Imbalance Information Datafeed https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14796.html https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14796.html Wed, 24 Jun 2009 00:00:00 -0700 E9-14796 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14796.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14726.html https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14726.html Wed, 24 Jun 2009 00:00:00 -0700 E9-14726 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14726.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Available Without Charge the NYSE Amex OpenBookTM https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14725.html https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14725.html Wed, 24 Jun 2009 00:00:00 -0700 E9-14725 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14725.pdf Notice - Self-Regulatory Organizations; NYSE Amex, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees and Charges for Exchange Services by Adding a Ratio Threshold Fee https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14723.html https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14723.html Wed, 24 Jun 2009 00:00:00 -0700 E9-14723 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14723.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/06/23/E9-14656.html https://regulations.justia.com/regulations/fedreg/2009/06/23/E9-14656.html Tue, 23 Jun 2009 00:00:00 -0700 E9-14656 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-23/pdf/E9-14656.pdf Notice - In the Matter of Petro America Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14673.html https://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14673.html Mon, 22 Jun 2009 00:00:00 -0700 E9-14673 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-22/pdf/E9-14673.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14657.html https://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14657.html Mon, 22 Jun 2009 00:00:00 -0700 E9-14657 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-22/pdf/E9-14657.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval 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/2009/06/22/E9-14593.html https://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14593.html Mon, 22 Jun 2009 00:00:00 -0700 E9-14593 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-22/pdf/E9-14593.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14531.html https://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14531.html Mon, 22 Jun 2009 00:00:00 -0700 E9-14531 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-22/pdf/E9-14531.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding Statutory Disqualification Procedures https://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14530.html https://regulations.justia.com/regulations/fedreg/2009/06/22/E9-14530.html Mon, 22 Jun 2009 00:00:00 -0700 E9-14530 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-22/pdf/E9-14530.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14538.html https://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14538.html Fri, 19 Jun 2009 00:00:00 -0700 E9-14538 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-19/pdf/E9-14538.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Modernize and Simplify NASD Rule 2720 https://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14367.html https://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14367.html Fri, 19 Jun 2009 00:00:00 -0700 E9-14367 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-19/pdf/E9-14367.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing Fees https://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14353.html https://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14353.html Fri, 19 Jun 2009 00:00:00 -0700 E9-14353 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-19/pdf/E9-14353.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, by NYSE Arca, Inc. Implementing Schedule of Fees and Charges for Exchange Services by adding a Ratio Threshold Fee https://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14352.html https://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14352.html Fri, 19 Jun 2009 00:00:00 -0700 E9-14352 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-19/pdf/E9-14352.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, by NYSE Arca, Inc. Implementing Schedule of Fees and Charges for Exchange Services https://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14351.html https://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14351.html Fri, 19 Jun 2009 00:00:00 -0700 E9-14351 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-19/pdf/E9-14351.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 7.36 Governing Order Ranking and Display https://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14350.html https://regulations.justia.com/regulations/fedreg/2009/06/19/E9-14350.html Fri, 19 Jun 2009 00:00:00 -0700 E9-14350 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-19/pdf/E9-14350.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Annual and Special Reporting by Registered Public Accounting Firms https://regulations.justia.com/regulations/fedreg/2009/06/18/E9-14294.html https://regulations.justia.com/regulations/fedreg/2009/06/18/E9-14294.html Thu, 18 Jun 2009 00:00:00 -0700 E9-14294 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-18/pdf/E9-14294.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Succeeding to the Registration Status of a Predecessor Firm https://regulations.justia.com/regulations/fedreg/2009/06/18/E9-14293.html https://regulations.justia.com/regulations/fedreg/2009/06/18/E9-14293.html Thu, 18 Jun 2009 00:00:00 -0700 E9-14293 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-18/pdf/E9-14293.pdf Notice - Nationwide Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2009/06/18/E9-14288.html https://regulations.justia.com/regulations/fedreg/2009/06/18/E9-14288.html Thu, 18 Jun 2009 00:00:00 -0700 E9-14288 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-18/pdf/E9-14288.pdf Proposed Rule - Facilitating Shareholder Director Nominations https://regulations.justia.com/regulations/fedreg/2009/06/18/E9-14090.html https://regulations.justia.com/regulations/fedreg/2009/06/18/E9-14090.html Thu, 18 Jun 2009 00:00:00 -0700 E9-14090 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-06-18/pdf/E9-14090.pdf Notice - Hunt Gold Corporation, F/K/A Prime Time Group, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14300.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14300.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14300 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14300.pdf Notice - X Exchange-Traded Funds, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14192.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14192.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14192 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14192.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Web Inquiry Notification System https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14191.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14191.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14191 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14191.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14190.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14190.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14190 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14190.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14176.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14176.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14176 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14176.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14175.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14175.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14175 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14175.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14174.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14174.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14174 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14174.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 Reflect Changes to the Rules of the Commission https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14173.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14173.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14173 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14173.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14172.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14172.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14172 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14172.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee for Use of a Hand Held Device Configured To Provide Only Opening and Closing Order Imbalance Data https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14171.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14171.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14171 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14171.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14170.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14170.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14170 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14170.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Approval of Proposed Rule Change Relating to Quoting Requirements for Streaming Quote Traders, Remote Streaming Quote Traders and Specialists https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14169.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14169.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14169 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14169.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14150.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14150.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14150 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14150.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14149.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14149.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14149 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14149.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 2320 in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14148.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14148.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14148 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14148.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 6440 To Require Members To Create a Contemporaneous Record of Certain Customer and Order Information https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14147.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14147.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14147 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14147.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the Rejection of Undisplayed Odd-Lot Orders From the Exchange's Matching System https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14146.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14146.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14146 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14146.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Amex, Inc. Implementing Schedule of Fees and Charges for Exchange Services https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14145.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14145.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14145 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14145.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Cross-Margining Agreement Between OCC and CME https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14143.html https://regulations.justia.com/regulations/fedreg/2009/06/17/E9-14143.html Wed, 17 Jun 2009 00:00:00 -0700 E9-14143 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-17/pdf/E9-14143.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14075.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14075.html Mon, 15 Jun 2009 00:00:00 -0700 E9-14075 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14075.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14007.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14007.html Mon, 15 Jun 2009 00:00:00 -0700 E9-14007 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14007.pdf Notice - Banc of America Securities LLC, et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14006.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14006.html Mon, 15 Jun 2009 00:00:00 -0700 E9-14006 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14006.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 S&P 500® Index https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14005.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14005.html Mon, 15 Jun 2009 00:00:00 -0700 E9-14005 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14005.pdf Notice - Deutsche Bank Securities Inc., et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13981.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13981.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13981 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13981.pdf Notice - RBC Capital Markets Corporation, et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13980.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13980.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13980 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13980.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13975.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13975.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13975 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13975.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13974.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13974.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13974 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13974.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13973.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13973.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13973 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13973.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13972.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13972.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13972 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13972.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13971.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13971.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13971 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13971.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13970.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13970.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13970 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13970.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13969.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13969.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13969 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13969.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13968.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13968.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13968 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13968.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13967.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13967.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13967 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13967.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13966.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13966.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13966 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13966.pdf Notice - Investor Advisory Committee; Notice of Federal Advisory Committee Establishment; Correction https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13934.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13934.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13934 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13934.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13814.html https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13814.html Fri, 12 Jun 2009 00:00:00 -0700 E9-13814 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13814.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13813.html https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13813.html Fri, 12 Jun 2009 00:00:00 -0700 E9-13813 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13813.pdf Notice - PowerShares Exchange-Traded Fund Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13812.html https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13812.html Fri, 12 Jun 2009 00:00:00 -0700 E9-13812 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13812.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13811.html https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13811.html Fri, 12 Jun 2009 00:00:00 -0700 E9-13811 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13811.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Termination of the CDINet System https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13810.html https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13810.html Fri, 12 Jun 2009 00:00:00 -0700 E9-13810 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13810.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13809.html https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13809.html Fri, 12 Jun 2009 00:00:00 -0700 E9-13809 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13809.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish an Alternate Choice in DTC's Profile Modification System Indemnity Insurance Program https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13808.html https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13808.html Fri, 12 Jun 2009 00:00:00 -0700 E9-13808 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13808.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC and NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Comparison of Executed Transactions https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13807.html https://regulations.justia.com/regulations/fedreg/2009/06/12/E9-13807.html Fri, 12 Jun 2009 00:00:00 -0700 E9-13807 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-12/pdf/E9-13807.pdf Notice - Nuveen Tax-Advantaged Total Return Strategy Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/06/11/E9-13723.html https://regulations.justia.com/regulations/fedreg/2009/06/11/E9-13723.html Thu, 11 Jun 2009 00:00:00 -0700 E9-13723 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-11/pdf/E9-13723.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/2009/06/11/E9-13722.html https://regulations.justia.com/regulations/fedreg/2009/06/11/E9-13722.html Thu, 11 Jun 2009 00:00:00 -0700 E9-13722 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-11/pdf/E9-13722.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange 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 https://regulations.justia.com/regulations/fedreg/2009/06/11/E9-13721.html https://regulations.justia.com/regulations/fedreg/2009/06/11/E9-13721.html Thu, 11 Jun 2009 00:00:00 -0700 E9-13721 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-11/pdf/E9-13721.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/06/11/E9-13683.html https://regulations.justia.com/regulations/fedreg/2009/06/11/E9-13683.html Thu, 11 Jun 2009 00:00:00 -0700 E9-13683 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-11/pdf/E9-13683.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Modifying the CBOE Stock Exchange Rule Regarding Processing of Round-Lot Orders https://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13569.html https://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13569.html Wed, 10 Jun 2009 00:00:00 -0700 E9-13569 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-10/pdf/E9-13569.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD IM-2110-2 (Trading Ahead of Customer Limit Order) To Clarify the Scope of the Minimum Price Improvement Obligations https://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13568.html https://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13568.html Wed, 10 Jun 2009 00:00:00 -0700 E9-13568 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-10/pdf/E9-13568.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/2009/06/10/E9-13553.html https://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13553.html Wed, 10 Jun 2009 00:00:00 -0700 E9-13553 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-10/pdf/E9-13553.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend BATS Rule 11.13, Entitled “Order Execution” https://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13552.html https://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13552.html Wed, 10 Jun 2009 00:00:00 -0700 E9-13552 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-10/pdf/E9-13552.pdf Rule - Staff Accounting Bulletin No. 112 https://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13511.html https://regulations.justia.com/regulations/fedreg/2009/06/10/E9-13511.html Wed, 10 Jun 2009 00:00:00 -0700 E9-13511 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-06-10/pdf/E9-13511.pdf Notice - In the Matter of Sunrise Solar Corporation; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13551.html https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13551.html Tue, 09 Jun 2009 00:00:00 -0700 E9-13551 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13551.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13547.html https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13547.html Tue, 09 Jun 2009 00:00:00 -0700 E9-13547 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13547.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend FINRA's Authority Under the Cease and Desist Pilot Program https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13503.html https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13503.html Tue, 09 Jun 2009 00:00:00 -0700 E9-13503 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13503.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Reduce the Length of the Optional Pre-Routing Display Period for Its DOT, SCAN and STGY Routing Strategies https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13424.html https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13424.html Tue, 09 Jun 2009 00:00:00 -0700 E9-13424 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13424.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, Thereto To Establish a New Voluntary Flash and Cancel Order https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13423.html https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13423.html Tue, 09 Jun 2009 00:00:00 -0700 E9-13423 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13423.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Relating to the Voluntary Submission of Continuing Disclosure Documents to Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA®) https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13404.html https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13404.html Tue, 09 Jun 2009 00:00:00 -0700 E9-13404 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13404.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC Relating to Amending the Direct Edge ECN Fee Schedule To Expand the Applicability of the Super Tier Rebate to All Securities Priced at or Above $1.00 and To Increase the Take Fee https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13403.html https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13403.html Tue, 09 Jun 2009 00:00:00 -0700 E9-13403 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13403.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change 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/2009/06/09/E9-13402.html https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13402.html Tue, 09 Jun 2009 00:00:00 -0700 E9-13402 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13402.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt a Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13397.html https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13397.html Tue, 09 Jun 2009 00:00:00 -0700 E9-13397 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13397.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Regarding Market Maker Obligations https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13396.html https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13396.html Tue, 09 Jun 2009 00:00:00 -0700 E9-13396 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13396.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13395.html https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13395.html Tue, 09 Jun 2009 00:00:00 -0700 E9-13395 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13395.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13394.html https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13394.html Tue, 09 Jun 2009 00:00:00 -0700 E9-13394 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13394.pdf Notice - Investor Advisory Committee https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13349.html https://regulations.justia.com/regulations/fedreg/2009/06/09/E9-13349.html Tue, 09 Jun 2009 00:00:00 -0700 E9-13349 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-09/pdf/E9-13349.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13260.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13260.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13260 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13260.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13259.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13259.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13259 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13259.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13258.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13258.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13258 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13258.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13257.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13257.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13257 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13257.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13256.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13256.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13256 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13256.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13255.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13255.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13255 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13255.pdf Notice - Proposed Extension of Existing Request; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13254.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13254.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13254 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13254.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13253.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13253.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13253 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13253.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Cross-References in FINRA Rules https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13252.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13252.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13252 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13252.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Listing and Trading New Currencies https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13210.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13210.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13210 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13210.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trades for Less Than $1 https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13209.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13209.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13209 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13209.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Criteria for Becoming a Member of the Nominating Committee https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13208.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13208.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13208 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13208.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Amending CBOE Rules Relating to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13207.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13207.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13207 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13207.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13205.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13205.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13205 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13205.pdf Notice - WisdomTree Investments, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13204.html https://regulations.justia.com/regulations/fedreg/2009/06/08/E9-13204.html Mon, 08 Jun 2009 00:00:00 -0700 E9-13204 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-08/pdf/E9-13204.pdf Notice - In the Matter of Patriot Energy Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-13144.html https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-13144.html Thu, 04 Jun 2009 00:00:00 -0700 E9-13144 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-13144.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving the Proposed Rule Change Implementing NYSE Arca Realtime Reference Prices Service on a Permanent Basis https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-13039.html https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-13039.html Thu, 04 Jun 2009 00:00:00 -0700 E9-13039 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-13039.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving the Proposed Rule Change Implementing NYSE Realtime Reference Prices Service on a Permanent Basis https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-13001.html https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-13001.html Thu, 04 Jun 2009 00:00:00 -0700 E9-13001 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-13001.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123E To Be More Consistent With the Exchange's Current Designated Market Maker System https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-13000.html https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-13000.html Thu, 04 Jun 2009 00:00:00 -0700 E9-13000 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-13000.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12999.html https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12999.html Thu, 04 Jun 2009 00:00:00 -0700 E9-12999 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-12999.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 Continued Listing Standards on a Pilot Program Basis https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12998.html https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12998.html Thu, 04 Jun 2009 00:00:00 -0700 E9-12998 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-12998.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change as Amended, Relating to the Adoption of FINRA Rule 2080 (Obtaining an Order of Expungement of Customer Dispute Information From the Central Registration Depository (CRD System)), FINRA Rule 2310 (Direct Participation Programs), FINRA Rule 4551 (Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures) and FINRA Rule 2266 (SIPC Information) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12997.html https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12997.html Thu, 04 Jun 2009 00:00:00 -0700 E9-12997 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-12997.pdf Notice - Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12996.html https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12996.html Thu, 04 Jun 2009 00:00:00 -0700 E9-12996 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-12996.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/2009/06/04/E9-12983.html https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12983.html Thu, 04 Jun 2009 00:00:00 -0700 E9-12983 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-12983.pdf Rule - Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12956.html https://regulations.justia.com/regulations/fedreg/2009/06/04/E9-12956.html Thu, 04 Jun 2009 00:00:00 -0700 E9-12956 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-06-04/pdf/E9-12956.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to the Exchange's Enhanced Electronic Trading Platform for Options, Phlx XL II https://regulations.justia.com/regulations/fedreg/2009/06/03/E9-12918.html https://regulations.justia.com/regulations/fedreg/2009/06/03/E9-12918.html Wed, 03 Jun 2009 00:00:00 -0700 E9-12918 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-03/pdf/E9-12918.pdf Notice - The Managers Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/06/03/E9-12917.html https://regulations.justia.com/regulations/fedreg/2009/06/03/E9-12917.html Wed, 03 Jun 2009 00:00:00 -0700 E9-12917 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-03/pdf/E9-12917.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/06/03/E9-12914.html https://regulations.justia.com/regulations/fedreg/2009/06/03/E9-12914.html Wed, 03 Jun 2009 00:00:00 -0700 E9-12914 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-03/pdf/E9-12914.pdf Notice - Public Company Accounting Oversight Board; Order Approving Proposed Amendment to Board Rules Relating to Inspections https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12744.html https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12744.html Tue, 02 Jun 2009 00:00:00 -0700 E9-12744 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12744.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12719.html https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12719.html Tue, 02 Jun 2009 00:00:00 -0700 E9-12719 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12719.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing Exchange's Directed Order Process on the Boston Options Exchange https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12718.html https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12718.html Tue, 02 Jun 2009 00:00:00 -0700 E9-12718 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12718.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change Related to Its Obvious Error Rules https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12717.html https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12717.html Tue, 02 Jun 2009 00:00:00 -0700 E9-12717 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12717.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees Charged for the Floor Member Continuing Education Program for Qualified Floor Members Pursuant to NYSE Rule 103A https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12716.html https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12716.html Tue, 02 Jun 2009 00:00:00 -0700 E9-12716 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12716.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules Related to Doing a Public Business in Options https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12715.html https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12715.html Tue, 02 Jun 2009 00:00:00 -0700 E9-12715 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12715.pdf Notice - Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Changing Certain NYSE Amex Equities Rules To Conform Them With Changes to Corresponding Rules Filed by the New York Stock Exchange LLC https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12714.html https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12714.html Tue, 02 Jun 2009 00:00:00 -0700 E9-12714 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12714.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule Issued Pursuant to Exchange Rule 16.1(c) in Order to Include Securities Priced at Less Than One Dollar in the Calculation of Volume Thresholds Used To Determine Rebates Payable for Displayed Order Liquidity Adding Tape A and C Securities Executed at One Dollar or Above https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12713.html https://regulations.justia.com/regulations/fedreg/2009/06/02/E9-12713.html Tue, 02 Jun 2009 00:00:00 -0700 E9-12713 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-02/pdf/E9-12713.pdf