<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/08?registers=between&min-day=1&max-day=31 Thu, 23 May 2024 07:38:02 -0700 Thu, 23 May 2024 07:38:02 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/08?registers=between&min-day=1&max-day=31 Notice - OOK, Inc., et al.; https://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20870.html https://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20870.html Mon, 31 Aug 2009 00:00:00 -0700 E9-20870 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-31/pdf/E9-20870.pdf Notice - Clough Global Allocation Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20868.html https://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20868.html Mon, 31 Aug 2009 00:00:00 -0700 E9-20868 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-31/pdf/E9-20868.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20867.html https://regulations.justia.com/regulations/fedreg/2009/08/31/E9-20867.html Mon, 31 Aug 2009 00:00:00 -0700 E9-20867 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-31/pdf/E9-20867.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until August 31, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions If They Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including Those Executions That Occur in the Event of a System Disruption or System Malfunction https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20821.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20821.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20821 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20821.pdf Notice - Self-Regulatory Organizations; NYSEAmex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Fee for Annual Regulatory Training https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20820.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20820.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20820 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20820.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20788.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20788.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20788 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20788.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing Four Grail Advisors RP Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20787.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20787.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20787 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20787.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20786.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20786.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20786 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20786.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Permissible Expiration Dates for Flexible Exchange Options https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20785.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20785.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20785 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20785.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Late Charges and Provide for Suspension or Termination for Failure To Pay Dues, Fees, or Assessments Owed https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20784.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20784.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20784 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20784.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20783.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20783.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20783 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20783.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20705.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20705.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20705 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20705.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2124 (Net Transactions With Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payment for Market Making) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20704.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20704.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20704 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20704.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20843.html https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20843.html Thu, 27 Aug 2009 00:00:00 -0700 E9-20843 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20843.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Definition of “Narrow-Based Index” https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20656.html https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20656.html Thu, 27 Aug 2009 00:00:00 -0700 E9-20656 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20656.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Extend the Delta Hedging Exemption From Equity Options Position Limits to Customers https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20655.html https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20655.html Thu, 27 Aug 2009 00:00:00 -0700 E9-20655 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20655.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Electronic Trading of Complex Orders https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20654.html https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20654.html Thu, 27 Aug 2009 00:00:00 -0700 E9-20654 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20654.pdf Notice - MML Series Investment Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20599.html https://regulations.justia.com/regulations/fedreg/2009/08/27/E9-20599.html Thu, 27 Aug 2009 00:00:00 -0700 E9-20599 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-27/pdf/E9-20599.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Modify Port Fees https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20594.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20594.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20594 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20594.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE AMEX LLC Amending the Permissible Expiration Dates for Flexible Exchange Options https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20545.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20545.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20545 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20545.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change in Connection With the Proposal of NYSE Euronext To Require That at Least Three-Fourths of Its Directors Satisfy Independence Requirements https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20544.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20544.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20544 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20544.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20543.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20543.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20543 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20543.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20542.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20542.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20542 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20542.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Approval of a Proposed Rule Change To Adopt Rules To Implement the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20541.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20541.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20541 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20541.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes and an Incentive Plan for Three Foreign Currency Options https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20540.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20540.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20540 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20540.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending Section 107(H) of the NYSE Amex Company Guide https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20539.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20539.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20539 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20539.pdf Notice - Joint Industry Plan; Order Approving Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20538.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20538.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20538 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20538.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20537.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20537.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20537 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20537.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20536.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20536.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20536 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20536.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20535.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20535.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20535 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20535.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendment to Rule A-14, on Annual Fee https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20534.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20534.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20534 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20534.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of a Proposed Rule Change Amending Rule 476A-Imposition of Fines for Minor Violations of Rules https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20533.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20533.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20533 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20533.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20532.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20532.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20532 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20532.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing Standards for Selected Equity-Linked Debt Securities https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20531.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20531.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20531 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20531.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Processing of Orders on the NASDAQ Options Market https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20530.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20530.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20530 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20530.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20529.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20529.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20529 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20529.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20528.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20528.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20528 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20528.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20527.html https://regulations.justia.com/regulations/fedreg/2009/08/26/E9-20527.html Wed, 26 Aug 2009 00:00:00 -0700 E9-20527 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-26/pdf/E9-20527.pdf Notice - Sunshine Act Meeting. https://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20506.html https://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20506.html Tue, 25 Aug 2009 00:00:00 -0700 E9-20506 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-25/pdf/E9-20506.pdf Rule - Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification https://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20381.html https://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20381.html Tue, 25 Aug 2009 00:00:00 -0700 E9-20381 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-08-25/pdf/E9-20381.pdf Notice - Joint Meetings on Harmonization of Regulation https://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20356.html https://regulations.justia.com/regulations/fedreg/2009/08/25/E9-20356.html Tue, 25 Aug 2009 00:00:00 -0700 E9-20356 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-25/pdf/E9-20356.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 10.12 (Minor Rule Plan) https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20241.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20241.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20241 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20241.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending NYSE Arca Options Rule 6.76A https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20240.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20240.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20240 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20240.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC Adopting Rule 406-NYSE Amex Equities as New Rule 3250-NYSE Amex Equities To Conform to a Proposed Rule Change Submitted in a Companion Filing by the New York Stock Exchange LLC https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20198.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20198.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20198 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20198.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of Proposed Rule Change To Modify the Rules of the Government Securities Division Regarding the Calculation of Clearing Fund Deposits Relating to Inter-Dealer Broker Positions https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20197.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20197.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20197 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20197.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by New York Stock Exchange LLC Adopting NYSE Rule 406 as New Rule 3250 To Correspond With a Rule Change Recently Filed by the Financial Industry Regulatory Authority, Inc. https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20196.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20196.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20196 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20196.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20195.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20195.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20195 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20195.pdf Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20194.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20194.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20194 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20194.pdf Notice - Self-Regulatory Organizations; the Boston Stock Exchange Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20193.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20193.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20193 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20193.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of the Boston Options Exchange Facility https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20192.html https://regulations.justia.com/regulations/fedreg/2009/08/24/E9-20192.html Mon, 24 Aug 2009 00:00:00 -0700 E9-20192 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-24/pdf/E9-20192.pdf