Securities and Exchange Commission September 11, 2009 – Federal Register Recent Federal Regulation Documents

Results 1 - 11 of 11
Alpine Global Dynamic Dividend Fund, et al.; Notice of Application
Document Number: E9-21923
Type: Notice
Date: 2009-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21923.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit CBOE To List Series That Are Restricted to Closing Transactions if Such Series Are Listed and Restricted To Closing Transactions on Another Exchange
Document Number: E9-21909
Type: Notice
Date: 2009-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21909.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing of Five Fixed Income Funds of the PIMCO ETF Trust
Document Number: E9-21908
Type: Notice
Date: 2009-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21908.html
American Capital, Ltd.; Notice of Application
Document Number: E9-21889
Type: Notice
Date: 2009-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21889.html
Columbia Funds Series Trust, et al.; Notice of Application
Document Number: E9-21888
Type: Notice
Date: 2009-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit registered open-end investment companies relying on rule 12d1-2 under the Act to invest in certain financial instruments.
https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21888.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 915
Document Number: E9-21887
Type: Notice
Date: 2009-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21887.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Options Rule 5.3(j)
Document Number: E9-21886
Type: Notice
Date: 2009-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21886.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Section 1(c) of Schedule A to the FINRA By-Laws To Amend the Personnel Assessment and Gross Income Assessment
Document Number: E9-21885
Type: Notice
Date: 2009-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21885.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Modify Rebates Payable to Designated Market Makers
Document Number: E9-21884
Type: Notice
Date: 2009-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21884.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) Into the Consolidated Rulebook
Document Number: E9-21883
Type: Notice
Date: 2009-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21883.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change To Add the Quote@CHX and Reprice@CHX Order Types to the Brokerplex System
Document Number: E9-21882
Type: Notice
Date: 2009-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21882.html
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