Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/07?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-03T10:39:18-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18279.html Notice - 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 Contracts 2009-07-31T00:00:00-07:00 2009-07-31T00:00:00-07:00 E9-18279 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18279.pdf https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18275.html Notice - 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 Datafeed 2009-07-31T00:00:00-07:00 2009-07-31T00:00:00-07:00 E9-18275 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18275.pdf https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18274.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality 2009-07-31T00:00:00-07:00 2009-07-31T00:00:00-07:00 E9-18274 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18274.pdf https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18273.html Notice - 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 Options 2009-07-31T00:00:00-07:00 2009-07-31T00:00:00-07:00 E9-18273 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18273.pdf https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18272.html Notice - 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 Services 2009-07-31T00:00:00-07:00 2009-07-31T00:00:00-07:00 E9-18272 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18272.pdf https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18271.html Notice - 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 Services 2009-07-31T00:00:00-07:00 2009-07-31T00:00:00-07:00 E9-18271 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18271.pdf https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18270.html Notice - 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 Hours 2009-07-31T00:00:00-07:00 2009-07-31T00:00:00-07:00 E9-18270 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18270.pdf https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18228.html Notice - 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” 2009-07-31T00:00:00-07:00 2009-07-31T00:00:00-07:00 E9-18228 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18228.pdf https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18185.html Rule - Amendments to Regulation SHO 2009-07-31T00:00:00-07:00 2009-07-31T00:00:00-07:00 E9-18185 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18185.pdf https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18172.html Notice - Proposed Collection; Comment Request 2009-07-30T00:00:00-07:00 2009-07-30T00:00:00-07:00 E9-18172 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18172.pdf https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18171.html Notice - Proposed Extension of Existing Collection; Comment Request 2009-07-30T00:00:00-07:00 2009-07-30T00:00:00-07:00 E9-18171 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18171.pdf https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18170.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality 2009-07-30T00:00:00-07:00 2009-07-30T00:00:00-07:00 E9-18170 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18170.pdf https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18169.html Notice - 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, LLC 2009-07-30T00:00:00-07:00 2009-07-30T00:00:00-07:00 E9-18169 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18169.pdf https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18168.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to the Complex Order Book 2009-07-30T00:00:00-07:00 2009-07-30T00:00:00-07:00 E9-18168 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18168.pdf https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18167.html Notice - 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 Fees 2009-07-30T00:00:00-07:00 2009-07-30T00:00:00-07:00 E9-18167 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18167.pdf https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18166.html Notice - 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 Post 2009-07-30T00:00:00-07:00 2009-07-30T00:00:00-07:00 E9-18166 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18166.pdf https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18165.html Notice - 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, 2009 2009-07-30T00:00:00-07:00 2009-07-30T00:00:00-07:00 E9-18165 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18165.pdf https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18164.html Notice - 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 Orders 2009-07-30T00:00:00-07:00 2009-07-30T00:00:00-07:00 E9-18164 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18164.pdf https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18163.html Notice - 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 Rulebook 2009-07-30T00:00:00-07:00 2009-07-30T00:00:00-07:00 E9-18163 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18163.pdf https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17992.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Regarding Statutory Disqualification Procedures 2009-07-29T00:00:00-07:00 2009-07-29T00:00:00-07:00 E9-17992 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17992.pdf https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17991.html Notice - 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 Comments 2009-07-29T00:00:00-07:00 2009-07-29T00:00:00-07:00 E9-17991 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17991.pdf https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17990.html Notice - 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 Comments 2009-07-29T00:00:00-07:00 2009-07-29T00:00:00-07:00 E9-17990 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17990.pdf https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17989.html Notice - Sunshine Act Meeting 2009-07-29T00:00:00-07:00 2009-07-29T00:00:00-07:00 E9-17989 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17989.pdf https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17943.html Notice - Submission for OMB Review; Comment Request 2009-07-29T00:00:00-07:00 2009-07-29T00:00:00-07:00 E9-17943 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17943.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/Z9-16545.html Notice - 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-Quote 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 Z9-16545 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/Z9-16545.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/Z9-16179.html Notice - 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 Program 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 Z9-16179 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/Z9-16179.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-18070.html Notice - Sunshine Act Meeting 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-18070 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-18070.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17935.html Notice - 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 Securities 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17935 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17935.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17892.html Notice - Compagnie de Financement Foncier; Notice of Application 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17892 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17892.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17889.html Notice - 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 Company 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17889 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17889.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17884.html Notice - Pax World Funds Trust II, et al.; Notice of Application 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17884 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17884.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17883.html Notice - 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 Options 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17883 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17883.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17882.html Notice - 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 Plan 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17882 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17882.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17881.html Notice - 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 Rules 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17881 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17881.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17880.html Notice - 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 Plan 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17880 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17880.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17879.html Notice - 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 Makers 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17879 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17879.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17865.html Notice - 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 Data 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17865 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17865.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17861.html Notice - Sunshine Act Meeting 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17861 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17861.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17860.html Notice - Sunshine Act Meeting 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17860 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17860.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17859.html Notice - Proposed Extension of Existing Collection; Comment Request 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17859 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17859.pdf https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17858.html Notice - 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 Information 2009-07-28T00:00:00-07:00 2009-07-28T00:00:00-07:00 E9-17858 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17858.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17820.html Notice - 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 Securities 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17820 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17820.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17819.html Notice - 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 Market 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17819 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17819.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17768.html Notice - Proposed Extension of Existing Collection; Comment Request 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17768 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17768.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17767.html Notice - 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 Exchange 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17767 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17767.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17766.html Notice - 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 System 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17766 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17766.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17765.html Notice - 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 NOS 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17765 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17765.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17764.html Notice - 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 Rulebook 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17764 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17764.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17763.html Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twelfth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17763 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17763.pdf https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17769.html Notice - Proposed Collection; Comment Request 2009-07-24T00:00:00-07:00 2009-07-24T00:00:00-07:00 E9-17769 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17769.pdf https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17638.html Notice - 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 Mechanism 2009-07-24T00:00:00-07:00 2009-07-24T00:00:00-07:00 E9-17638 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17638.pdf https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17637.html Notice - 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 Facility 2009-07-24T00:00:00-07:00 2009-07-24T00:00:00-07:00 E9-17637 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17637.pdf https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17636.html Notice - 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 Market 2009-07-24T00:00:00-07:00 2009-07-24T00:00:00-07:00 E9-17636 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17636.pdf https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17635.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2009-07-24T00:00:00-07:00 2009-07-24T00:00:00-07:00 E9-17635 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17635.pdf https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17634.html Notice - 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 Program 2009-07-24T00:00:00-07:00 2009-07-24T00:00:00-07:00 E9-17634 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17634.pdf https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17633.html Notice - 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 Rulebook 2009-07-24T00:00:00-07:00 2009-07-24T00:00:00-07:00 E9-17633 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17633.pdf https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17632.html Notice - 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 Services 2009-07-24T00:00:00-07:00 2009-07-24T00:00:00-07:00 E9-17632 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17632.pdf https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17631.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(mm) 2009-07-24T00:00:00-07:00 2009-07-24T00:00:00-07:00 E9-17631 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17631.pdf https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17630.html Notice - 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” 2009-07-24T00:00:00-07:00 2009-07-24T00:00:00-07:00 E9-17630 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17630.pdf https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17629.html Notice - 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” 2009-07-24T00:00:00-07:00 2009-07-24T00:00:00-07:00 E9-17629 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17629.pdf https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17628.html Notice - 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 Expiration 2009-07-24T00:00:00-07:00 2009-07-24T00:00:00-07:00 E9-17628 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17628.pdf https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17466.html Proposed Rule - Proposed Amendment to Municipal Securities Disclosure 2009-07-24T00:00:00-07:00 2009-07-24T00:00:00-07:00 E9-17466 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17466.pdf https://regulations.justia.com/regulations/fedreg/2009/07/23/E9-17532.html Notice - Proposed Collection; Comment Request 2009-07-23T00:00:00-07:00 2009-07-23T00:00:00-07:00 E9-17532 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-23/pdf/E9-17532.pdf https://regulations.justia.com/regulations/fedreg/2009/07/23/E9-17531.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center 2009-07-23T00:00:00-07:00 2009-07-23T00:00:00-07:00 E9-17531 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-23/pdf/E9-17531.pdf https://regulations.justia.com/regulations/fedreg/2009/07/23/E9-17530.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center 2009-07-23T00:00:00-07:00 2009-07-23T00:00:00-07:00 E9-17530 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-23/pdf/E9-17530.pdf https://regulations.justia.com/regulations/fedreg/2009/07/23/E9-17517.html Notice - RDM Sports Group, Inc., et al.; Order of Suspension of Trading 2009-07-23T00:00:00-07:00 2009-07-23T00:00:00-07:00 E9-17517 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-23/pdf/E9-17517.pdf https://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17488.html Notice - Sunshine Act Meetings 2009-07-22T00:00:00-07:00 2009-07-22T00:00:00-07:00 E9-17488 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17488.pdf https://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17371.html Notice - 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 Executions 2009-07-22T00:00:00-07:00 2009-07-22T00:00:00-07:00 E9-17371 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17371.pdf https://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17355.html Notice - The Alger Funds, et al.; Notice of Application 2009-07-22T00:00:00-07:00 2009-07-22T00:00:00-07:00 E9-17355 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17355.pdf https://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17354.html Notice - 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®) 2009-07-22T00:00:00-07:00 2009-07-22T00:00:00-07:00 E9-17354 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17354.pdf https://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17353.html Notice - 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®) 2009-07-22T00:00:00-07:00 2009-07-22T00:00:00-07:00 E9-17353 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17353.pdf https://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17352.html 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. 2009-07-22T00:00:00-07:00 2009-07-22T00:00:00-07:00 E9-17352 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17352.pdf https://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17351.html Notice - 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 Basis 2009-07-22T00:00:00-07:00 2009-07-22T00:00:00-07:00 E9-17351 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17351.pdf https://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17350.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Regarding Authority Over C2 Options Exchange, Incorporated 2009-07-22T00:00:00-07:00 2009-07-22T00:00:00-07:00 E9-17350 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17350.pdf https://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17349.html Notice - 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 Basis 2009-07-22T00:00:00-07:00 2009-07-22T00:00:00-07:00 E9-17349 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17349.pdf https://regulations.justia.com/regulations/fedreg/2009/07/22/E9-17348.html Notice - Privacy Act of 1974: Systems of Records 2009-07-22T00:00:00-07:00 2009-07-22T00:00:00-07:00 E9-17348 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-22/pdf/E9-17348.pdf https://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17234.html Notice - Sunshine Act Meeting 2009-07-20T00:00:00-07:00 2009-07-20T00:00:00-07:00 E9-17234 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17234.pdf https://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17140.html Notice - Reaves Utility Income Fund, et al.; Notice of Application 2009-07-20T00:00:00-07:00 2009-07-20T00:00:00-07:00 E9-17140 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17140.pdf https://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17139.html Notice - 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 Standard 2009-07-20T00:00:00-07:00 2009-07-20T00:00:00-07:00 E9-17139 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17139.pdf https://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17138.html Notice - 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 System 2009-07-20T00:00:00-07:00 2009-07-20T00:00:00-07:00 E9-17138 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17138.pdf https://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17137.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Schedules 2009-07-20T00:00:00-07:00 2009-07-20T00:00:00-07:00 E9-17137 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17137.pdf https://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17136.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change To Propose New Rules To Govern Electronic Complex Order Trading 2009-07-20T00:00:00-07:00 2009-07-20T00:00:00-07:00 E9-17136 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17136.pdf https://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17135.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Adopting Rule 968NY-Cabinet Trades 2009-07-20T00:00:00-07:00 2009-07-20T00:00:00-07:00 E9-17135 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17135.pdf https://regulations.justia.com/regulations/fedreg/2009/07/20/E9-17134.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market-Maker Guidelines 2009-07-20T00:00:00-07:00 2009-07-20T00:00:00-07:00 E9-17134 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-20/pdf/E9-17134.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17016.html Notice - 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 Points 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17016 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17016.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17015.html Notice - 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 Points 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17015 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17015.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17014.html Notice - 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 Sale 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17014 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17014.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17013.html Notice - 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 Sale 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17013 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17013.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17012.html Notice - 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 Program 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17012 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17012.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17011.html Notice - 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 Program 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17011 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17011.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17010.html Notice - 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 Exchange 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17010 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17010.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17008.html Notice - 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 Basis 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17008 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17008.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17007.html Notice - 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 Basis 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17007 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17007.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17006.html Notice - 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 Series 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17006 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17006.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17005.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Amend Its Limited Liability Agreement and By-Laws 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17005 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17005.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17004.html Notice - 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 Program 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17004 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17004.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17003.html Notice - 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 Customers 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17003 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17003.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-17002.html Notice - 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 Facility 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-17002 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-17002.pdf https://regulations.justia.com/regulations/fedreg/2009/07/17/E9-16764.html Proposed Rule - Proxy Disclosure and Solicitation Enhancements 2009-07-17T00:00:00-07:00 2009-07-17T00:00:00-07:00 E9-16764 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-07-17/pdf/E9-16764.pdf https://regulations.justia.com/regulations/fedreg/2009/07/16/E9-17091.html Notice - Sunshine Act Meeting 2009-07-16T00:00:00-07:00 2009-07-16T00:00:00-07:00 E9-17091 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-17091.pdf https://regulations.justia.com/regulations/fedreg/2009/07/16/E9-17001.html Notice - Sunshine Act Meetings 2009-07-16T00:00:00-07:00 2009-07-16T00:00:00-07:00 E9-17001 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-17001.pdf https://regulations.justia.com/regulations/fedreg/2009/07/16/E9-17000.html Notice - Sunshine Act Meetings 2009-07-16T00:00:00-07:00 2009-07-16T00:00:00-07:00 E9-17000 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-17000.pdf https://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16860.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding the Voluntary De-Registration Rule 2009-07-16T00:00:00-07:00 2009-07-16T00:00:00-07:00 E9-16860 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16860.pdf https://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16859.html Notice - 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, 2009 2009-07-16T00:00:00-07:00 2009-07-16T00:00:00-07:00 E9-16859 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16859.pdf https://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16858.html Notice - 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 Fees 2009-07-16T00:00:00-07:00 2009-07-16T00:00:00-07:00 E9-16858 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16858.pdf https://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16857.html Notice - 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 Requirements 2009-07-16T00:00:00-07:00 2009-07-16T00:00:00-07:00 E9-16857 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16857.pdf https://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16856.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Port Fees 2009-07-16T00:00:00-07:00 2009-07-16T00:00:00-07:00 E9-16856 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16856.pdf https://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16855.html Notice - 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 MatchPointSM 2009-07-16T00:00:00-07:00 2009-07-16T00:00:00-07:00 E9-16855 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16855.pdf https://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16854.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Foreign Currency Options Closing Settlement Values 2009-07-16T00:00:00-07:00 2009-07-16T00:00:00-07:00 E9-16854 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16854.pdf https://regulations.justia.com/regulations/fedreg/2009/07/16/E9-16808.html Notice - 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, 2009 2009-07-16T00:00:00-07:00 2009-07-16T00:00:00-07:00 E9-16808 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-16/pdf/E9-16808.pdf https://regulations.justia.com/regulations/fedreg/2009/07/15/E9-16714.html Notice - 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 Orders 2009-07-15T00:00:00-07:00 2009-07-15T00:00:00-07:00 E9-16714 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-15/pdf/E9-16714.pdf https://regulations.justia.com/regulations/fedreg/2009/07/15/E9-16713.html Notice - 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” 2009-07-15T00:00:00-07:00 2009-07-15T00:00:00-07:00 E9-16713 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-15/pdf/E9-16713.pdf https://regulations.justia.com/regulations/fedreg/2009/07/15/E9-16712.html Notice - Proposed Collection; Comment Request 2009-07-15T00:00:00-07:00 2009-07-15T00:00:00-07:00 E9-16712 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-15/pdf/E9-16712.pdf https://regulations.justia.com/regulations/fedreg/2009/07/15/E9-16711.html Notice - 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) 2009-07-15T00:00:00-07:00 2009-07-15T00:00:00-07:00 E9-16711 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-15/pdf/E9-16711.pdf https://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16582.html Notice - 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 Brokers 2009-07-14T00:00:00-07:00 2009-07-14T00:00:00-07:00 E9-16582 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16582.pdf https://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16581.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits 2009-07-14T00:00:00-07:00 2009-07-14T00:00:00-07:00 E9-16581 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16581.pdf https://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16580.html Notice - 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 Members 2009-07-14T00:00:00-07:00 2009-07-14T00:00:00-07:00 E9-16580 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16580.pdf https://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16577.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Customer Cross Orders 2009-07-14T00:00:00-07:00 2009-07-14T00:00:00-07:00 E9-16577 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16577.pdf https://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16576.html Notice - 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 Service 2009-07-14T00:00:00-07:00 2009-07-14T00:00:00-07:00 E9-16576 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16576.pdf https://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16553.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide an Optional Anti-Internalization Functionality 2009-07-14T00:00:00-07:00 2009-07-14T00:00:00-07:00 E9-16553 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16553.pdf https://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16548.html Notice - 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 Member 2009-07-14T00:00:00-07:00 2009-07-14T00:00:00-07:00 E9-16548 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16548.pdf https://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16545.html Notice - 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-Quote 2009-07-14T00:00:00-07:00 2009-07-14T00:00:00-07:00 E9-16545 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16545.pdf https://regulations.justia.com/regulations/fedreg/2009/07/14/E9-16544.html Notice - 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-Quote 2009-07-14T00:00:00-07:00 2009-07-14T00:00:00-07:00 E9-16544 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-14/pdf/E9-16544.pdf https://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16596.html Notice - Sunshine Act Meeting 2009-07-13T00:00:00-07:00 2009-07-13T00:00:00-07:00 E9-16596 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16596.pdf https://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16587.html Notice - Sunshine Act Meeting 2009-07-13T00:00:00-07:00 2009-07-13T00:00:00-07:00 E9-16587 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16587.pdf https://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16579.html Notice - 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 7.31 2009-07-13T00:00:00-07:00 2009-07-13T00:00:00-07:00 E9-16579 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16579.pdf https://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16578.html 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 2009-07-13T00:00:00-07:00 2009-07-13T00:00:00-07:00 E9-16578 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16578.pdf https://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16503.html Notice - Investor Advisory Committee; Meeting 2009-07-13T00:00:00-07:00 2009-07-13T00:00:00-07:00 E9-16503 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16503.pdf https://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16479.html Notice - Proposed Collection; Comment Request 2009-07-13T00:00:00-07:00 2009-07-13T00:00:00-07:00 E9-16479 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16479.pdf https://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16455.html Notice - 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 Agents 2009-07-13T00:00:00-07:00 2009-07-13T00:00:00-07:00 E9-16455 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16455.pdf https://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16452.html Notice - 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 Program 2009-07-13T00:00:00-07:00 2009-07-13T00:00:00-07:00 E9-16452 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16452.pdf https://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16451.html Notice - 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 Program 2009-07-13T00:00:00-07:00 2009-07-13T00:00:00-07:00 E9-16451 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16451.pdf https://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16450.html Notice - 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. 2009-07-13T00:00:00-07:00 2009-07-13T00:00:00-07:00 E9-16450 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16450.pdf https://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16449.html Notice - 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 Types 2009-07-13T00:00:00-07:00 2009-07-13T00:00:00-07:00 E9-16449 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16449.pdf https://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16448.html Notice - 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 Facility 2009-07-13T00:00:00-07:00 2009-07-13T00:00:00-07:00 E9-16448 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16448.pdf https://regulations.justia.com/regulations/fedreg/2009/07/13/E9-16387.html Notice - Submission for OMB Review; Comment Request 2009-07-13T00:00:00-07:00 2009-07-13T00:00:00-07:00 E9-16387 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-13/pdf/E9-16387.pdf https://regulations.justia.com/regulations/fedreg/2009/07/10/Z9-16036.html Notice - 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 Facility 2009-07-10T00:00:00-07:00 2009-07-10T00:00:00-07:00 Z9-16036 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/Z9-16036.pdf https://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16358.html Notice - 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 Trades 2009-07-10T00:00:00-07:00 2009-07-10T00:00:00-07:00 E9-16358 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16358.pdf https://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16355.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Addendum O 2009-07-10T00:00:00-07:00 2009-07-10T00:00:00-07:00 E9-16355 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16355.pdf https://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16332.html Notice - GE Funds, et al.,; Notice of Application 2009-07-10T00:00:00-07:00 2009-07-10T00:00:00-07:00 E9-16332 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16332.pdf https://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16318.html Notice - 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 Company 2009-07-10T00:00:00-07:00 2009-07-10T00:00:00-07:00 E9-16318 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16318.pdf https://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16316.html Notice - 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 Schedule 2009-07-10T00:00:00-07:00 2009-07-10T00:00:00-07:00 E9-16316 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16316.pdf https://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16315.html Notice - 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 Statements 2009-07-10T00:00:00-07:00 2009-07-10T00:00:00-07:00 E9-16315 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16315.pdf https://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16314.html Notice - 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 Execution 2009-07-10T00:00:00-07:00 2009-07-10T00:00:00-07:00 E9-16314 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16314.pdf https://regulations.justia.com/regulations/fedreg/2009/07/10/E9-16313.html Notice - 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 Execution 2009-07-10T00:00:00-07:00 2009-07-10T00:00:00-07:00 E9-16313 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-10/pdf/E9-16313.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16189.html 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 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16189 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16189.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16188.html Notice - 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 Services 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16188 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16188.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16187.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 960NY-Trading Differentials 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16187 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16187.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16186.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.72 Trading Differentials 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16186 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16186.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16185.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16185 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16185.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16184.html Notice - 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 Program 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16184 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16184.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16183.html Notice - 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 Structure 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16183 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16183.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16182.html 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. 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16182 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16182.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16181.html Notice - 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 Facility 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16181 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16181.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16180.html Notice - 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 Program 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16180 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16180.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16179.html Notice - 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 Program 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16179 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16179.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16178.html Notice - 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” Orders 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16178 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16178.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16177.html Notice - 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 Orders 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16177 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16177.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16176.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PrecISE Fees 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16176 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16176.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16175.html 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 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16175 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16175.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16174.html Notice - 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” 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16174 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16174.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16173.html Notice - 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 Limits 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16173 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16173.pdf https://regulations.justia.com/regulations/fedreg/2009/07/09/E9-16172.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cancellation Fee 2009-07-09T00:00:00-07:00 2009-07-09T00:00:00-07:00 E9-16172 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-09/pdf/E9-16172.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-16040.html Notice - In the Matter of GenX Corporation; Order of Suspension of Trading 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-16040 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-16040.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-16037.html Proposed Rule - Shareholder Approval of Executive Compensation of TARP Recipients 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-16037 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-16037.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-16002.html Notice - 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 Feeds 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-16002 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-16002.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-16000.html Notice - Federated Core Trust III, et al.; Notice of Application 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-16000 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-16000.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15999.html Notice - WisdomTree Asset Management, Inc. and WisdomTree Trust; Notice of Application 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-15999 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15999.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15998.html Notice - Securities Exchange Act of 1934; In the Matter of The NASDAQ Stock Market LLC 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-15998 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15998.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15997.html Notice - 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 Feed 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-15997 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15997.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15996.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Outside Business Activities of Registered Persons 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-15996 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15996.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15995.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Dent Tactical ETF 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-15995 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15995.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15994.html 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 July 24, 2009 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-15994 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15994.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15993.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-15993 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15993.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15992.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Regarding a New Options Market Linkage Structure 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-15992 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15992.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15991.html Notice - 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 Plan 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-15991 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15991.pdf https://regulations.justia.com/regulations/fedreg/2009/07/08/E9-15906.html Proposed Rule - Money Market Fund Reform 2009-07-08T00:00:00-07:00 2009-07-08T00:00:00-07:00 E9-15906 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-07-08/pdf/E9-15906.pdf https://regulations.justia.com/regulations/fedreg/2009/07/07/E9-16042.html Notice - 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 Services 2009-07-07T00:00:00-07:00 2009-07-07T00:00:00-07:00 E9-16042 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-16042.pdf https://regulations.justia.com/regulations/fedreg/2009/07/07/E9-16041.html Notice - 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 Program 2009-07-07T00:00:00-07:00 2009-07-07T00:00:00-07:00 E9-16041 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-16041.pdf https://regulations.justia.com/regulations/fedreg/2009/07/07/E9-16036.html Notice - 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 Facility 2009-07-07T00:00:00-07:00 2009-07-07T00:00:00-07:00 E9-16036 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-16036.pdf https://regulations.justia.com/regulations/fedreg/2009/07/07/E9-16035.html Notice - Sunshine Act Meeting 2009-07-07T00:00:00-07:00 2009-07-07T00:00:00-07:00 E9-16035 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-16035.pdf https://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15904.html 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 Make Certain Technical Changes and Typographical Corrections 2009-07-07T00:00:00-07:00 2009-07-07T00:00:00-07:00 E9-15904 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15904.pdf https://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15903.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2009-07-07T00:00:00-07:00 2009-07-07T00:00:00-07:00 E9-15903 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15903.pdf https://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15902.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency 2009-07-07T00:00:00-07:00 2009-07-07T00:00:00-07:00 E9-15902 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15902.pdf https://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15901.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Relating to Rebating Member Dues for Certain Members 2009-07-07T00:00:00-07:00 2009-07-07T00:00:00-07:00 E9-15901 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15901.pdf https://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15900.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Fees and Charges for Exchange Services 2009-07-07T00:00:00-07:00 2009-07-07T00:00:00-07:00 E9-15900 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15900.pdf https://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15899.html Notice - 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. 2009-07-07T00:00:00-07:00 2009-07-07T00:00:00-07:00 E9-15899 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15899.pdf https://regulations.justia.com/regulations/fedreg/2009/07/07/E9-15890.html Notice - 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 Requirements 2009-07-07T00:00:00-07:00 2009-07-07T00:00:00-07:00 E9-15890 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-07/pdf/E9-15890.pdf https://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15791.html Notice - 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 Organizations 2009-07-06T00:00:00-07:00 2009-07-06T00:00:00-07:00 E9-15791 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15791.pdf https://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15777.html Notice - Submission for OMB Review; Comment Request 2009-07-06T00:00:00-07:00 2009-07-06T00:00:00-07:00 E9-15777 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15777.pdf https://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15775.html Notice - 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 Plan 2009-07-06T00:00:00-07:00 2009-07-06T00:00:00-07:00 E9-15775 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15775.pdf https://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15741.html Notice - 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 Transactions 2009-07-06T00:00:00-07:00 2009-07-06T00:00:00-07:00 E9-15741 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15741.pdf https://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15740.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide an Optional Anti-Internalization Functionality 2009-07-06T00:00:00-07:00 2009-07-06T00:00:00-07:00 E9-15740 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15740.pdf https://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15739.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Linkage Fees 2009-07-06T00:00:00-07:00 2009-07-06T00:00:00-07:00 E9-15739 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15739.pdf https://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15738.html Notice - 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 Facility 2009-07-06T00:00:00-07:00 2009-07-06T00:00:00-07:00 E9-15738 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15738.pdf https://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15722.html Notice - Submission for OMB Review; Comment Request 2009-07-06T00:00:00-07:00 2009-07-06T00:00:00-07:00 E9-15722 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15722.pdf https://regulations.justia.com/regulations/fedreg/2009/07/06/E9-15721.html Notice - Proposed Collection; Comment Request 2009-07-06T00:00:00-07:00 2009-07-06T00:00:00-07:00 E9-15721 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-06/pdf/E9-15721.pdf https://regulations.justia.com/regulations/fedreg/2009/07/02/E9-15614.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2009-07-02T00:00:00-07:00 2009-07-02T00:00:00-07:00 E9-15614 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-02/pdf/E9-15614.pdf https://regulations.justia.com/regulations/fedreg/2009/07/02/E9-15613.html Notice - 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 Report 2009-07-02T00:00:00-07:00 2009-07-02T00:00:00-07:00 E9-15613 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-02/pdf/E9-15613.pdf https://regulations.justia.com/regulations/fedreg/2009/07/02/E9-15612.html Notice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Voluntary Participants Fund Deposit 2009-07-02T00:00:00-07:00 2009-07-02T00:00:00-07:00 E9-15612 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-02/pdf/E9-15612.pdf