Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/07?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-03T10:39:18-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18279.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Clearance and Settlement of Treasury Futures Contracts2009-07-31T00:00:00-07:002009-07-31T00:00:00-07:00E9-18279Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18279.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18275.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving Proposed Rule Change To Charge a $500 Monthly Fee to Recipients of the NYSE Amex Order Imbalance Information Datafeed2009-07-31T00:00:00-07:002009-07-31T00:00:00-07:00E9-18275Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18275.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18274.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality2009-07-31T00:00:00-07:002009-07-31T00:00:00-07:00E9-18274Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18274.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18273.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Cash-Settled Foreign Currency Index Options2009-07-31T00:00:00-07:002009-07-31T00:00:00-07:00E9-18273Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18273.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18272.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Schedule of Fees and Charges for Exchange Services2009-07-31T00:00:00-07:002009-07-31T00:00:00-07:00E9-18272Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18272.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18271.htmlNotice - Self-Regulatory Organizations; NYSE Amex, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Implementing the Schedule of Fees and Charges for Exchange Services2009-07-31T00:00:00-07:002009-07-31T00:00:00-07:00E9-18271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18271.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18270.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change as Amended, Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours2009-07-31T00:00:00-07:002009-07-31T00:00:00-07:00E9-18270Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18270.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18228.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.9, Entitled “Orders and Modifiers”2009-07-31T00:00:00-07:002009-07-31T00:00:00-07:00E9-18228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18228.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18185.htmlRule - Amendments to Regulation SHO2009-07-31T00:00:00-07:002009-07-31T00:00:00-07:00E9-18185Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18185.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18172.htmlNotice - Proposed Collection; Comment Request2009-07-30T00:00:00-07:002009-07-30T00:00:00-07:00E9-18172Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18172.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18171.htmlNotice - Proposed Extension of Existing Collection; Comment Request2009-07-30T00:00:00-07:002009-07-30T00:00:00-07:00E9-18171Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18171.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18170.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality2009-07-30T00:00:00-07:002009-07-30T00:00:00-07:00E9-18170Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18170.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18169.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by International Securities Exchange, LLC Relating to Changes to Rule 312 in Connection With the Purchase of Equity Interests by International Securities Exchange Holdings, Inc. in Optifreeze, LLC2009-07-30T00:00:00-07:002009-07-30T00:00:00-07:00E9-18169Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18169.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18168.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to the Complex Order Book2009-07-30T00:00:00-07:002009-07-30T00:00:00-07:00E9-18168Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18168.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18167.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Chicago Board Options Exchange Stock Exchange Fees Schedule To Establish Facility Fees2009-07-30T00:00:00-07:002009-07-30T00:00:00-07:00E9-18167Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18167.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18166.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding the CBSX Floor Post2009-07-30T00:00:00-07:002009-07-30T00:00:00-07:00E9-18166Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18166.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18165.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market Through July 31, 20092009-07-30T00:00:00-07:002009-07-30T00:00:00-07:00E9-18165Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18165.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18164.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASDAQ Rule 4751 To Provide System Functionality That Will Cancel Any Portion of Most Types of Unpriced Orders2009-07-30T00:00:00-07:002009-07-30T00:00:00-07:00E9-18164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18164.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18163.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval 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 Rulebook2009-07-30T00:00:00-07:002009-07-30T00:00:00-07:00E9-18163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18163.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17992.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Regarding Statutory Disqualification Procedures2009-07-29T00:00:00-07:002009-07-29T00:00:00-07:00E9-17992Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17992.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17991.htmlNotice - Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of Eurex Clearing AG Related to Central Clearing of Credit Default Swaps, and Request for Comments2009-07-29T00:00:00-07:002009-07-29T00:00:00-07:00E9-17991Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17991.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17990.htmlNotice - Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of Ice Clear Europe Limited Related to Central Clearing of Credit Default Swaps, and Request for Comments2009-07-29T00:00:00-07:002009-07-29T00:00:00-07:00E9-17990Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17990.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17989.htmlNotice - Sunshine Act Meeting2009-07-29T00:00:00-07:002009-07-29T00:00:00-07:00E9-17989Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17989.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17943.htmlNotice - Submission for OMB Review; Comment Request2009-07-29T00:00:00-07:002009-07-29T00:00:00-07:00E9-17943Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17943.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/Z9-16545.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Accelerated Approval to a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-Side Liquidity to Trigger the Execution of a d-Quote2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00Z9-16545Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/Z9-16545.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/Z9-16179.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Penny Pilot Program2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00Z9-16179Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/Z9-16179.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-18070.htmlNotice - Sunshine Act Meeting2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-18070Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-18070.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17935.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Haircuts Applied to Eligible Clearing Fund Securities2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17935Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17935.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17892.htmlNotice - Compagnie de Financement Foncier; Notice of Application2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17892Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17892.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17889.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc. and NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Amending the By-Laws of The NASDAQ OMX Group, Inc., Their Parent Company2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17889Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17889.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17884.htmlNotice - Pax World Funds Trust II, et al.; Notice of Application2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17884Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17884.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17883.htmlNotice - Joint Industry Plan; Notice of Filing of Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17883Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17883.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17882.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change Relating to Exchange Rules for the Options Order Protection and Locked/Crossed Market Plan2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17882Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17882.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17881.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17881Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17881.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17880.htmlNotice - Joint Industry Plan; Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc.; Notice of Filing of Amendments to the Intermarket Options Linkage Plan To Withdraw From the Plan2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17880Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17880.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17879.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Rescinding NYSE Rule 110 Which Establishes the Role of Competitive Traders and Exchange Rule 107A Which Establishes the Role of the Registered Competitive Market Makers2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17879.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17865.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Fee Schedule to Impose Fees for Ports Used for Order Entry and Receipt of Market Data2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17865Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17865.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17861.htmlNotice - Sunshine Act Meeting2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17861Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17861.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17860.htmlNotice - Sunshine Act Meeting2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17860Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17860.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17859.htmlNotice - Proposed Extension of Existing Collection; Comment Request2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17859Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17859.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17858.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend Rules 6440 and 6540 To Require Members To Create a Contemporaneous Record of Certain Customer and Order Information2009-07-28T00:00:00-07:002009-07-28T00:00:00-07:00E9-17858Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17858.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17820.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Guidance on Disclosure and Other Sales Practice Obligations to Individual and Other Retail Investors in Municipal Securities2009-07-27T00:00:00-07:002009-07-27T00:00:00-07:00E9-17820Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17820.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17819.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying Fees for Members Using the NASDAQ Options Market2009-07-27T00:00:00-07:002009-07-27T00:00:00-07:00E9-17819Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17819.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17768.htmlNotice - Proposed Extension of Existing Collection; Comment Request2009-07-27T00:00:00-07:002009-07-27T00:00:00-07:00E9-17768Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17768.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17767.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Modify Routing of Orders From NASDAQ Options Market to an Affiliate Exchange2009-07-27T00:00:00-07:002009-07-27T00:00:00-07:00E9-17767Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17767.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17766.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Rejection of Undisplayed Odd-Lot Orders From the Exchange's Matching System2009-07-27T00:00:00-07:002009-07-27T00:00:00-07:00E9-17766Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17766.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17765.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Procedures To Prevent Information Advantages Resulting From the Affiliation Between BOX and NOS2009-07-27T00:00:00-07:002009-07-27T00:00:00-07:00E9-17765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17765.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17764.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rules 1010 (Electronic Filing Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook2009-07-27T00:00:00-07:002009-07-27T00:00:00-07:00E9-17764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17764.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17763.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twelfth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan2009-07-27T00:00:00-07:002009-07-27T00:00:00-07:00E9-17763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17763.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17769.htmlNotice - Proposed Collection; Comment Request2009-07-24T00:00:00-07:002009-07-24T00:00:00-07:00E9-17769Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17769.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17638.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Two Pilot Programs Related to the Exchange's Automated Improvement Mechanism2009-07-24T00:00:00-07:002009-07-24T00:00:00-07:00E9-17638Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17638.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17637.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program That Allows for No Minimum Size Order Requirement for the Price Improvement Period Process on the Boston Options Exchange Facility2009-07-24T00:00:00-07:002009-07-24T00:00:00-07:00E9-17637Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17637.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17636.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Processing of Orders on the NASDAQ Options Market2009-07-24T00:00:00-07:002009-07-24T00:00:00-07:00E9-17636Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17636.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17635.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2009-07-24T00:00:00-07:002009-07-24T00:00:00-07:00E9-17635Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17635.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17634.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Price Improvement Mechanism Pilot Program2009-07-24T00:00:00-07:002009-07-24T00:00:00-07:00E9-17634Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17634.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17633.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2262 (Disclosure of Control Relationship With Issuer), 2269 (Disclosure of Participation or Interest in Primary or Secondary Distribution) and 5260 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) in the Consolidated FINRA Rulebook2009-07-24T00:00:00-07:002009-07-24T00:00:00-07:00E9-17633Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17633.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17632.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing the Schedule of Fees and Charges for Exchange Services2009-07-24T00:00:00-07:002009-07-24T00:00:00-07:00E9-17632Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17632.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17631.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(mm)2009-07-24T00:00:00-07:002009-07-24T00:00:00-07:00E9-17631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17631.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17630.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 2 To Redefine the Term “Member Organization”2009-07-24T00:00:00-07:002009-07-24T00:00:00-07:00E9-17630Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17630.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17629.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 2 To Redefine the Term “Member Organization”2009-07-24T00:00:00-07:002009-07-24T00:00:00-07:00E9-17629Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17629.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17628.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Immediately Add New FAZ and FAS Option Series Within Five Days of Expiration2009-07-24T00:00:00-07:002009-07-24T00:00:00-07:00E9-17628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17628.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17466.htmlProposed Rule - Proposed Amendment to Municipal Securities Disclosure2009-07-24T00:00:00-07:002009-07-24T00:00:00-07:00E9-17466Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17466.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/23/E9-17532.htmlNotice - Proposed Collection; Comment Request2009-07-23T00:00:00-07:002009-07-23T00:00:00-07:00E9-17532Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-23/pdf/E9-17532.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/23/E9-17531.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center2009-07-23T00:00:00-07:002009-07-23T00:00:00-07:00E9-17531Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-23/pdf/E9-17531.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/23/E9-17530.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center2009-07-23T00:00:00-07:002009-07-23T00:00:00-07:00E9-17530Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-23/pdf/E9-17530.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/23/E9-17517.htmlNotice - RDM Sports Group, Inc., et al.; Order of Suspension of Trading2009-07-23T00:00:00-07:002009-07-23T00:00:00-07:00E9-17517Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-23/pdf/E9-17517.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17488.htmlNotice - Sunshine Act Meetings2009-07-22T00:00:00-07:002009-07-22T00:00:00-07:00E9-17488Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17488.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17371.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Until August 1, 2009 the Operation of Interim NYSE Rule 128, Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions2009-07-22T00:00:00-07:002009-07-22T00:00:00-07:00E9-17371Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17371.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17355.htmlNotice - The Alger Funds, et al.; Notice of Application2009-07-22T00:00:00-07:002009-07-22T00:00:00-07:00E9-17355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17355.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17354.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Additional Voluntary Submissions by Issuers to the MSRB's Electronic Municipal Market Access System (EMMA®)2009-07-22T00:00:00-07:002009-07-22T00:00:00-07:00E9-17354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17354.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17353.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Rule G-32, on Disclosures in Connection With Primary Offerings, Form G-32, and the Primary Market Disclosure and Primary Market Subscription Services of the MSRB's Electronic Municipal Market Access System (EMMA®)2009-07-22T00:00:00-07:002009-07-22T00:00:00-07:00E9-17353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17353.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17352.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2009-07-22T00:00:00-07:002009-07-22T00:00:00-07:00E9-17352Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17352.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17351.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Expose All-or-None Orders on a Three-Month Pilot Basis2009-07-22T00:00:00-07:002009-07-22T00:00:00-07:00E9-17351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17351.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17350.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Regarding Authority Over C2 Options Exchange, Incorporated2009-07-22T00:00:00-07:002009-07-22T00:00:00-07:00E9-17350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17350.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17349.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt Its Temporary and Permanent Cease and Desist Authority on a Permanent Basis2009-07-22T00:00:00-07:002009-07-22T00:00:00-07:00E9-17349Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17349.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17348.htmlNotice - Privacy Act of 1974: Systems of Records2009-07-22T00:00:00-07:002009-07-22T00:00:00-07:00E9-17348Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17348.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17234.htmlNotice - Sunshine Act Meeting2009-07-20T00:00:00-07:002009-07-20T00:00:00-07:00E9-17234Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17234.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17140.htmlNotice - Reaves Utility Income Fund, et al.; Notice of Application2009-07-20T00:00:00-07:002009-07-20T00:00:00-07:00E9-17140Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17140.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17139.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Lower Its Market Capitalization Continued Listing Standard2009-07-20T00:00:00-07:002009-07-20T00:00:00-07:00E9-17139Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17139.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17138.htmlNotice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of Proposed Rule Change To Eliminate One of the Indemnity Surety Programs in the Profile Modification System2009-07-20T00:00:00-07:002009-07-20T00:00:00-07:00E9-17138Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17138.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17137.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Schedules2009-07-20T00:00:00-07:002009-07-20T00:00:00-07:00E9-17137Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17137.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17136.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change To Propose New Rules To Govern Electronic Complex Order Trading2009-07-20T00:00:00-07:002009-07-20T00:00:00-07:00E9-17136Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17136.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17135.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Adopting Rule 968NY-Cabinet Trades2009-07-20T00:00:00-07:002009-07-20T00:00:00-07:00E9-17135Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17135.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17134.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market-Maker Guidelines2009-07-20T00:00:00-07:002009-07-20T00:00:00-07:00E9-17134Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17134.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17016.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules 60, 70 and 1000 To Reflect Modifications to the Manner in Which the Exchange Will Quote and Trade With Respect to Liquidity Replenishment Points2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17016Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17016.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17015.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 60, 70 and 1000 To Reflect Modifications to the Manner in Which the Exchange Will Quote and Trade With Respect to Liquidity Replenishment Points2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17015Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17015.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17014.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 72 To Eliminate Parity Allocations for DMM Interest Added Intra Day During a Slow Quote or When Verbally Trading With Floor Brokers at the Point of Sale2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17014Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17014.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17013.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 72 To Eliminate Parity Allocations for DMM Interest Added Intra Day During a Slow Quote or When Verbally Trading With Floor Brokers at the Point of Sale2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17013Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17013.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17012.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Extend the Short Term Option Series Pilot Program2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17012Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17012.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17011.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Extend the One Week Option Series Pilot Program2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17011Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17011.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17010.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Article 20, Rule 1 Relating to the Declaration of Trading Halts on the Exchange2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17010Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17010.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17008.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Its Option Trading Rules in Order To Adopt the Quarterly Option Series Pilot Program on a Permanent Basis2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17008Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17008.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17007.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Option Trading Rules in Order To Adopt the Quarterly Option Series Pilot Program on a Permanent Basis2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17007Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17007.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17006.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program for Short Term Options Series2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17006.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17005.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Amend Its Limited Liability Agreement and By-Laws2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17005.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17004.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permanently Establish the Quarterly Options Series Pilot Program2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17004Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17004.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17003.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change and Amendment No. 1 Thereto To Extend the Delta Hedging Exemption From Equity Options Position Limits to Customers2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17003Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17003.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17002.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent the Quarterly Options Series Pilot Program on the Boston Options Exchange Facility2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-17002Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17002.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/17/E9-16764.htmlProposed Rule - Proxy Disclosure and Solicitation Enhancements2009-07-17T00:00:00-07:002009-07-17T00:00:00-07:00E9-16764Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-16764.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/16/E9-17091.htmlNotice - Sunshine Act Meeting2009-07-16T00:00:00-07:002009-07-16T00:00:00-07:00E9-17091Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-17091.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/16/E9-17001.htmlNotice - Sunshine Act Meetings2009-07-16T00:00:00-07:002009-07-16T00:00:00-07:00E9-17001Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-17001.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/16/E9-17000.htmlNotice - Sunshine Act Meetings2009-07-16T00:00:00-07:002009-07-16T00:00:00-07:00E9-17000Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-17000.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16860.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding the Voluntary De-Registration Rule2009-07-16T00:00:00-07:002009-07-16T00:00:00-07:00E9-16860Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16860.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16859.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Extend Its Suspension of its Dollar Stock Price Continued Listing Standard to July 31, 20092009-07-16T00:00:00-07:002009-07-16T00:00:00-07:00E9-16859Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16859.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16858.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its CBOE Stock Exchange (“CBSX”) Fees Schedule To Establish Regulatory and Inactivity Fees2009-07-16T00:00:00-07:002009-07-16T00:00:00-07:00E9-16858Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16858.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16857.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC in Connection With the Proposal of NYSE Euronext To Require That at Least Three-Fourths of Its Directors Satisfy Independence Requirements2009-07-16T00:00:00-07:002009-07-16T00:00:00-07:00E9-16857Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16857.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16856.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Port Fees2009-07-16T00:00:00-07:002009-07-16T00:00:00-07:00E9-16856Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16856.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16855.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM2009-07-16T00:00:00-07:002009-07-16T00:00:00-07:00E9-16855Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16855.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16854.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Foreign Currency Options Closing Settlement Values2009-07-16T00:00:00-07:002009-07-16T00:00:00-07:00E9-16854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16854.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16808.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. That Extends the Suspension of NYSE Arca's Stock Price Continued Listing Standard to July 31, 20092009-07-16T00:00:00-07:002009-07-16T00:00:00-07:00E9-16808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16808.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/15/E9-16714.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 2 Thereto Relating to Complex Orders2009-07-15T00:00:00-07:002009-07-15T00:00:00-07:00E9-16714Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-15/pdf/E9-16714.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/15/E9-16713.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BATS Rule 11.9, Entitled “Orders and Modifiers”2009-07-15T00:00:00-07:002009-07-15T00:00:00-07:00E9-16713Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-15/pdf/E9-16713.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/15/E9-16712.htmlNotice - Proposed Collection; Comment Request2009-07-15T00:00:00-07:002009-07-15T00:00:00-07:00E9-16712Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-15/pdf/E9-16712.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/15/E9-16711.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 7.31(x) and 7.31(kk)2009-07-15T00:00:00-07:002009-07-15T00:00:00-07:00E9-16711Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-15/pdf/E9-16711.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16582.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Reallocation of Credits Paid to Institutional Brokers2009-07-14T00:00:00-07:002009-07-14T00:00:00-07:00E9-16582Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16582.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16581.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits2009-07-14T00:00:00-07:002009-07-14T00:00:00-07:00E9-16581Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16581.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16580.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Extend the Temporary Cap on Certain Fees for Members2009-07-14T00:00:00-07:002009-07-14T00:00:00-07:00E9-16580Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16580.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16577.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Customer Cross Orders2009-07-14T00:00:00-07:002009-07-14T00:00:00-07:00E9-16577Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16577.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16576.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Its New Sponsored Access Risk Management Tool Service2009-07-14T00:00:00-07:002009-07-14T00:00:00-07:00E9-16576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16576.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16553.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide an Optional Anti-Internalization Functionality2009-07-14T00:00:00-07:002009-07-14T00:00:00-07:00E9-16553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16553.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16548.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Scope of the Exchange's Prior Approval to Receive Inbound Routes from Archipelago Securities LLC (“ArcaSec”), an Affiliated Member2009-07-14T00:00:00-07:002009-07-14T00:00:00-07:00E9-16548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16548.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16545.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Accelerated Approval to a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-Side Liquidity To Trigger the Execution of a d-Quote2009-07-14T00:00:00-07:002009-07-14T00:00:00-07:00E9-16545Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16545.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16544.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Accelerated Approval to a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-Side Liquidity To Trigger the Execution of a d-Quote2009-07-14T00:00:00-07:002009-07-14T00:00:00-07:00E9-16544Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16544.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16596.htmlNotice - Sunshine Act Meeting2009-07-13T00:00:00-07:002009-07-13T00:00:00-07:00E9-16596Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16596.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16587.htmlNotice - Sunshine Act Meeting2009-07-13T00:00:00-07:002009-07-13T00:00:00-07:00E9-16587Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16587.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16579.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Two New Order Types to NYSE Arca Equities Rule 7.312009-07-13T00:00:00-07:002009-07-13T00:00:00-07:00E9-16579Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16579.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16578.htmlNotice - 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 Fees2009-07-13T00:00:00-07:002009-07-13T00:00:00-07:00E9-16578Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16578.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16503.htmlNotice - Investor Advisory Committee; Meeting2009-07-13T00:00:00-07:002009-07-13T00:00:00-07:00E9-16503Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16503.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16479.htmlNotice - Proposed Collection; Comment Request2009-07-13T00:00:00-07:002009-07-13T00:00:00-07:00E9-16479Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16479.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16455.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change as Amended Relating to FAST and DRS Limited Participant Requirements for Transfer Agents2009-07-13T00:00:00-07:002009-07-13T00:00:00-07:00E9-16455Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16455.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16452.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Permanent Approval of the Exchange's Quarterly Option Series Pilot Program2009-07-13T00:00:00-07:002009-07-13T00:00:00-07:00E9-16452Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16452.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16451.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Relating to Permanent Approval of the Exchange's Quarterly Option Series Pilot Program2009-07-13T00:00:00-07:002009-07-13T00:00:00-07:00E9-16451Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16451.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16450.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of NASDAQ OMX BX, Inc.2009-07-13T00:00:00-07:002009-07-13T00:00:00-07:00E9-16450Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16450.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16449.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the Chicago Stock Exchange, Inc. Adding the Post Only and Post Only ISO Order Types2009-07-13T00:00:00-07:002009-07-13T00:00:00-07:00E9-16449Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16449.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16448.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility2009-07-13T00:00:00-07:002009-07-13T00:00:00-07:00E9-16448Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16448.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16387.htmlNotice - Submission for OMB Review; Comment Request2009-07-13T00:00:00-07:002009-07-13T00:00:00-07:00E9-16387Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16387.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/10/Z9-16036.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Fee Schedule of the Boston Options Exchange Facility2009-07-10T00:00:00-07:002009-07-10T00:00:00-07:00Z9-16036Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/Z9-16036.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16358.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Chicago Board Options Exchange Stock Exchange Fees Schedule To Establish an Additional Transaction Fee Related to Stock Option Trades2009-07-10T00:00:00-07:002009-07-10T00:00:00-07:00E9-16358Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16358.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16355.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Addendum O2009-07-10T00:00:00-07:002009-07-10T00:00:00-07:00E9-16355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16355.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16332.htmlNotice - GE Funds, et al.,; Notice of Application2009-07-10T00:00:00-07:002009-07-10T00:00:00-07:00E9-16332Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16332.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16318.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 4, To Amend NYSE Rule 452 and Corresponding Listed Company Manual Section 402.08 To Eliminate Broker Discretionary Voting for the Election of Directors, Except for Companies Registered Under the Investment Company Act of 1940, and To Codify Two Previously Published Interpretations That Do Not Permit Broker Discretionary Voting for Material Amendments to Investment Advisory Contracts With an Investment Company2009-07-10T00:00:00-07:002009-07-10T00:00:00-07:00E9-16318Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16318.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16316.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amending the Direct Edge ECN Fee Schedule2009-07-10T00:00:00-07:002009-07-10T00:00:00-07:00E9-16316Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16316.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16315.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to NASDAQ Options Market Options Participant Membership Requirements, Order Entry Times and Confirmation Statements2009-07-10T00:00:00-07:002009-07-10T00:00:00-07:00E9-16315Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16315.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16314.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rules To Allow Customers To Transmit Orders on the Exchange With Settlement Instructions of “Cash,” “Next Day” and “Seller's Option” Directly to a Floor Broker for Manual Execution2009-07-10T00:00:00-07:002009-07-10T00:00:00-07:00E9-16314Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16314.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16313.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Exchange Rules To Allow Customers To Transmit Orders on the Exchange With Settlement Instructions of “Cash,” “Next Day,” and “Seller's Option” Directly to a Floor Broker for Manual Execution2009-07-10T00:00:00-07:002009-07-10T00:00:00-07:00E9-16313Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16313.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16189.htmlNotice - 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 Members2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16189.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16188.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending the Linkage Fees Portion of the Schedule of Fees and Charges for Exchange Services2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16188Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16188.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16187.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 960NY-Trading Differentials2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16187.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16186.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.72 Trading Differentials2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16186Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16186.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16185.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16185Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16185.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16184.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Penny Pilot Program2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16184Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16184.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16183.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Fee Schedule To Remove Three Classes From the Liquidity Make or Take Pricing Structure2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16183Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16183.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16182.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16182Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16182.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16181.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program on the Boston Options Exchange Facility2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16181Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16181.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16180.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Penny Pilot Program2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16180Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16180.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16179.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Penny Pilot Program2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16179Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16179.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16178.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Relating to Fees Applicable to “P” and “P/A” Orders2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16178Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16178.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16177.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Related to a Specialist Fee Credit for Linkage Orders2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16177Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16177.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16176.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PrecISE Fees2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16176Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16176.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16175.htmlNotice - 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 Services2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16175Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16175.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16174.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.9, Entitled “Orders and Modifiers,” and BATS Rule 11.12, Entitled “Priority of Orders”2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16174Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16174.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16173.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.9-Exercise Limits2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16173Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16173.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16172.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee2009-07-09T00:00:00-07:002009-07-09T00:00:00-07:00E9-16172Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16172.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-16040.htmlNotice - In the Matter of GenX Corporation; Order of Suspension of Trading2009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-16040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-16040.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-16037.htmlProposed Rule - Shareholder Approval of Executive Compensation of TARP Recipients2009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-16037Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-16037.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-16002.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Program for NASDAQ Last Sale Data Feeds2009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-16002Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-16002.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-16000.htmlNotice - Federated Core Trust III, et al.; Notice of Application2009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-16000Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-16000.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15999.htmlNotice - WisdomTree Asset Management, Inc. and WisdomTree Trust; Notice of Application2009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-15999Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15999.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15998.htmlNotice - Securities Exchange Act of 1934; In the Matter of The NASDAQ Stock Market LLC2009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-15998Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15998.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15997.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Fees for the Top of PHLX Options (“TOPO”) Data Feed2009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-15997Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15997.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15996.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Outside Business Activities of Registered Persons2009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-15996Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15996.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15995.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Dent Tactical ETF2009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-15995Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15995.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15994.htmlNotice - 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 July 24, 20092009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-15994Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15994.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15993.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Arca Equities Rule 7.312009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-15993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15993.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15992.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Regarding a New Options Market Linkage Structure2009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-15992Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15992.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15991.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan2009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-15991Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15991.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15906.htmlProposed Rule - Money Market Fund Reform2009-07-08T00:00:00-07:002009-07-08T00:00:00-07:00E9-15906Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15906.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/07/E9-16042.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services2009-07-07T00:00:00-07:002009-07-07T00:00:00-07:00E9-16042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-16042.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/07/E9-16041.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Linkage Fee Pilot Program2009-07-07T00:00:00-07:002009-07-07T00:00:00-07:00E9-16041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-16041.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/07/E9-16036.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Fee Schedule of the Boston Options Exchange Facility2009-07-07T00:00:00-07:002009-07-07T00:00:00-07:00E9-16036Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-16036.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/07/E9-16035.htmlNotice - Sunshine Act Meeting2009-07-07T00:00:00-07:002009-07-07T00:00:00-07:00E9-16035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-16035.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15904.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Nasdaq Listing Rules To Make Certain Technical Changes and Typographical Corrections2009-07-07T00:00:00-07:002009-07-07T00:00:00-07:00E9-15904Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15904.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15903.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2009-07-07T00:00:00-07:002009-07-07T00:00:00-07:00E9-15903Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15903.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15902.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency2009-07-07T00:00:00-07:002009-07-07T00:00:00-07:00E9-15902Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15902.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15901.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Relating to Rebating Member Dues for Certain Members2009-07-07T00:00:00-07:002009-07-07T00:00:00-07:00E9-15901Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15901.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15900.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Fees and Charges for Exchange Services2009-07-07T00:00:00-07:002009-07-07T00:00:00-07:00E9-15900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15900.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15899.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the By-Laws of The NASDAQ OMX Group, Inc.2009-07-07T00:00:00-07:002009-07-07T00:00:00-07:00E9-15899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15899.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15890.htmlNotice - Order Under Section 36 of the Securities Exchange Act of 1934 Granting an Exemption From Exchange Act Section 6(h)(1) for Certain Persons Effecting Transactions in Foreign Security Futures and Under Exchange Act Section 15(a)(2) and Section 36 Granting Exemptions From Exchange Act Section 15(a)(1) and Certain Other Requirements2009-07-07T00:00:00-07:002009-07-07T00:00:00-07:00E9-15890Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15890.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15791.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Extend Through September 30, 2009, Its Waiver of Registered Representative Fees for New York Stock Exchange Member Organizations2009-07-06T00:00:00-07:002009-07-06T00:00:00-07:00E9-15791Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15791.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15777.htmlNotice - Submission for OMB Review; Comment Request2009-07-06T00:00:00-07:002009-07-06T00:00:00-07:00E9-15777Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15777.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15775.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Amend Its Minor Rule Violation Plan2009-07-06T00:00:00-07:002009-07-06T00:00:00-07:00E9-15775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15775.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15741.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2380 To Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions2009-07-06T00:00:00-07:002009-07-06T00:00:00-07:00E9-15741Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15741.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15740.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide an Optional Anti-Internalization Functionality2009-07-06T00:00:00-07:002009-07-06T00:00:00-07:00E9-15740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15740.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15739.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Linkage Fees2009-07-06T00:00:00-07:002009-07-06T00:00:00-07:00E9-15739Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15739.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15738.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program for Linkage Fees on the Boston Options Exchange Facility2009-07-06T00:00:00-07:002009-07-06T00:00:00-07:00E9-15738Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15738.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15722.htmlNotice - Submission for OMB Review; Comment Request2009-07-06T00:00:00-07:002009-07-06T00:00:00-07:00E9-15722Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15722.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15721.htmlNotice - Proposed Collection; Comment Request2009-07-06T00:00:00-07:002009-07-06T00:00:00-07:00E9-15721Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15721.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/02/E9-15614.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402009-07-02T00:00:00-07:002009-07-02T00:00:00-07:00E9-15614Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-02/pdf/E9-15614.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/02/E9-15613.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Decommissioning the Requirement for Member Organizations To Report Program Trading Activity on the Daily Program Trading Report2009-07-02T00:00:00-07:002009-07-02T00:00:00-07:00E9-15613Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-02/pdf/E9-15613.pdfhttps://regulations.justia.com/regulations/fedreg/2009/07/02/E9-15612.htmlNotice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Voluntary Participants Fund Deposit2009-07-02T00:00:00-07:002009-07-02T00:00:00-07:00E9-15612Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-07-02/pdf/E9-15612.pdf