Securities and Exchange Commission September 16, 2009 – Federal Register Recent Federal Regulation Documents

Results 1 - 8 of 8
Sunshine Act Meeting
Document Number: E9-22431
Type: Notice
Date: 2009-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22431.html
Securities Lending and Short Sale Roundtable
Document Number: E9-22264
Type: Notice
Date: 2009-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission will host a one and a half day roundtable to solicit the views of investors, issuers, financial services firms, self-regulatory organizations and the academic community regarding securities lending and short sales. The roundtable will include a comprehensive overview of securities lending and also analyze possible short sale pre-borrowing requirements and additional short sale disclosures.
https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22264.html
Submission for OMB Review; Comment Request
Document Number: E9-22247
Type: Notice
Date: 2009-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22247.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for Investment Banking Representative Examination
Document Number: E9-22246
Type: Notice
Date: 2009-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22246.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Exposure of Reserve Orders
Document Number: E9-22245
Type: Notice
Date: 2009-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22245.html
Consolidated Tape Association; Order Approving the Eleventh Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan To Waive the Automatic Annual Increase in the Enterprise Cap for 2008
Document Number: E9-22244
Type: Notice
Date: 2009-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22244.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding Listing Certain Options at $1 Strike Price Intervals Below $200 and Listing Certain Options at $2.50 Strike Price Intervals Below $200
Document Number: E9-22243
Type: Notice
Date: 2009-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22243.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook
Document Number: E9-22240
Type: Notice
Date: 2009-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22240.html
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