Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/09?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2024-12-04T23:58:45-08:00 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/2009/09/30/E9-23492.html Notice - Proposed Extension of Existing Collection; Comment Request 2009-09-30T00:00:00-07:00 2009-09-30T00:00:00-07:00 E9-23492 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-30/pdf/E9-23492.pdf https://regulations.justia.com/regulations/fedreg/2009/09/29/E9-23496.html Notice - Submission for OMB Review; Comment Request 2009-09-29T00:00:00-07:00 2009-09-29T00:00:00-07:00 E9-23496 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-29/pdf/E9-23496.pdf https://regulations.justia.com/regulations/fedreg/2009/09/29/E9-23494.html Notice - Submission for OMB Review; Comment Request 2009-09-29T00:00:00-07:00 2009-09-29T00:00:00-07:00 E9-23494 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-29/pdf/E9-23494.pdf https://regulations.justia.com/regulations/fedreg/2009/09/29/E9-23491.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until October 4, 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 2009-09-29T00:00:00-07:00 2009-09-29T00:00:00-07:00 E9-23491 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-29/pdf/E9-23491.pdf https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23422.html Notice - In the Matter of DTVN Holdings, Inc., Employee Solutions, Inc., Falcon Natural Gas Corp., Internet Commerce & Communications, Inc., Osage Systems Group, Inc., Payless Cashways, Inc., PC Service Source, Inc., Play by Play Toys & Novelties, Inc., Powerbrief, Inc., Southern Energy Company, Inc., Strategia Corp. (n/k/a Catthai Corp.), and TTI Industries, Inc.; Order of Suspension of Trading 2009-09-28T00:00:00-07:00 2009-09-28T00:00:00-07:00 E9-23422 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23422.pdf https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23374.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment Nos. 1 and 3 and Order Granting Partial Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, Amending NYSE Arca Rule 6.72 and Expanding the Penny Pilot Program 2009-09-28T00:00:00-07:00 2009-09-28T00:00:00-07:00 E9-23374 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23374.pdf https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23358.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to NYSE Arca Equities Rule 7.10 Governing Clearly Erroneous Executions 2009-09-28T00:00:00-07:00 2009-09-28T00:00:00-07:00 E9-23358 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23358.pdf https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23308.html Notice - Submission for OMB Review; Comment Request 2009-09-28T00:00:00-07:00 2009-09-28T00:00:00-07:00 E9-23308 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23308.pdf https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23307.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rulebook 2009-09-28T00:00:00-07:00 2009-09-28T00:00:00-07:00 E9-23307 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23307.pdf https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23306.html Notice - Self-Regulatory Organizations; NYSE Amex, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Implementing a Fee for Complex Orders to Its Schedule of Fees and Charges for Exchange Services 2009-09-28T00:00:00-07:00 2009-09-28T00:00:00-07:00 E9-23306 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23306.pdf https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23305.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC, as Modified by Amendment No. 1, Amending Rule 36-NYSE Amex Equities To Conform With Proposed Amendments to Corresponding NYSE Rule 36 To Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas 2009-09-28T00:00:00-07:00 2009-09-28T00:00:00-07:00 E9-23305 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23305.pdf https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23304.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC, as Modified by Amendment No. 1, Amending NYSE Rule 36 To Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas 2009-09-28T00:00:00-07:00 2009-09-28T00:00:00-07:00 E9-23304 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23304.pdf https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23277.html Notice - Annuity Investors Life Insurance Company, et al., Notice of Application 2009-09-28T00:00:00-07:00 2009-09-28T00:00:00-07:00 E9-23277 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23277.pdf https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23373.html Notice - Sunshine Act Meeting 2009-09-25T00:00:00-07:00 2009-09-25T00:00:00-07:00 E9-23373 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23373.pdf https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23297.html Notice - Genova Biotherapeutics Inc.; Order of Suspension of Trading 2009-09-25T00:00:00-07:00 2009-09-25T00:00:00-07:00 E9-23297 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23297.pdf https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23295.html Notice - AEI Transportation Holdings, Inc.; The Alcar Chemicals Group, Inc.; China Adnet Enterprises Inc.; Innolife Pharma, Inc.; KSW Industries, Inc.; Level Vision Electronics, Ltd.; Life Exchange, Inc.; Lotta Coal, Inc.; Magellan Energy Ltd.; Marinas International, Inc.; Microlink Solutions, Inc.; UDS Group, Inc.; United Environmental Energy Corp.; Uptrend Corp.; VShield Software Corp.; World Hockey Association Corp.; WW Energy, Inc.; Order of Suspension of Trading 2009-09-25T00:00:00-07:00 2009-09-25T00:00:00-07:00 E9-23295 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23295.pdf https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23163.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consisting of an Interpretive Notice Regarding MSRB Rule G-15(a), on Customer Confirmations 2009-09-25T00:00:00-07:00 2009-09-25T00:00:00-07:00 E9-23163 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23163.pdf https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23148.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook 2009-09-25T00:00:00-07:00 2009-09-25T00:00:00-07:00 E9-23148 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23148.pdf https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23147.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Eliminate Chapter V, Section 13 (Unusual Market Conditions) of the BOX Trading Rules and To Modify Related Rules 2009-09-25T00:00:00-07:00 2009-09-25T00:00:00-07:00 E9-23147 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23147.pdf https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23146.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. 2009-09-25T00:00:00-07:00 2009-09-25T00:00:00-07:00 E9-23146 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23146.pdf https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23113.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading At or Below $3.00 2009-09-25T00:00:00-07:00 2009-09-25T00:00:00-07:00 E9-23113 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23113.pdf https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23111.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00 2009-09-25T00:00:00-07:00 2009-09-25T00:00:00-07:00 E9-23111 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23111.pdf https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23098.html Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00 2009-09-25T00:00:00-07:00 2009-09-25T00:00:00-07:00 E9-23098 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23098.pdf https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23097.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Maximum Number of Quoters (“MNQ”) Permitted To Be Assigned in Equity Options 2009-09-25T00:00:00-07:00 2009-09-25T00:00:00-07:00 E9-23097 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23097.pdf https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23096.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Exchange's By-Laws, Regulatory Oversight Committee and Referee Program 2009-09-25T00:00:00-07:00 2009-09-25T00:00:00-07:00 E9-23096 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23096.pdf https://regulations.justia.com/regulations/fedreg/2009/09/23/Z9-22392.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change As Modified by Amendment No. 1 To Amend Certain Corporate Governance Requirements 2009-09-23T00:00:00-07:00 2009-09-23T00:00:00-07:00 Z9-22392 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/Z9-22392.pdf https://regulations.justia.com/regulations/fedreg/2009/09/23/Z9-21994.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 2009-09-23T00:00:00-07:00 2009-09-23T00:00:00-07:00 Z9-21994 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/Z9-21994.pdf https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-23017.html Notice - Sunshine Act Meeting 2009-09-23T00:00:00-07:00 2009-09-23T00:00:00-07:00 E9-23017 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-23017.pdf https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-23016.html Notice - Sunshine Act Meeting. 2009-09-23T00:00:00-07:00 2009-09-23T00:00:00-07:00 E9-23016 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-23016.pdf https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22911.html Proposed Rule - Elimination of Flash Order Exception From Rule 602 of Regulation NMS 2009-09-23T00:00:00-07:00 2009-09-23T00:00:00-07:00 E9-22911 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22911.pdf https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22900.html Rule - Disclosure of Certain Money Market Fund Portfolio Holdings 2009-09-23T00:00:00-07:00 2009-09-23T00:00:00-07:00 E9-22900 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22900.pdf https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22879.html Notice - Submission for OMB Review; Comment Request 2009-09-23T00:00:00-07:00 2009-09-23T00:00:00-07:00 E9-22879 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22879.pdf https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22878.html Notice - Submission for OMB Review; Comment Request 2009-09-23T00:00:00-07:00 2009-09-23T00:00:00-07:00 E9-22878 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22878.pdf https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22877.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FLEX Option Expirations 2009-09-23T00:00:00-07:00 2009-09-23T00:00:00-07:00 E9-22877 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22877.pdf https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22876.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Position Limit Exemptions 2009-09-23T00:00:00-07:00 2009-09-23T00:00:00-07:00 E9-22876 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22876.pdf https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22830.html Notice - Agency Meeting 2009-09-23T00:00:00-07:00 2009-09-23T00:00:00-07:00 E9-22830 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22830.pdf https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22734.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until September 22, 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 2009-09-22T00:00:00-07:00 2009-09-22T00:00:00-07:00 E9-22734 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-22/pdf/E9-22734.pdf https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22733.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 2009-09-22T00:00:00-07:00 2009-09-22T00:00:00-07:00 E9-22733 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-22/pdf/E9-22733.pdf https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22732.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Amending NYSE Rule 1000 to Allow Exchange Systems to Access CCS Interest To Partially Fill an Incoming Limit Order 2009-09-22T00:00:00-07:00 2009-09-22T00:00:00-07:00 E9-22732 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-22/pdf/E9-22732.pdf https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22731.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change Amending NYSE Amex Equities Rule 1000 To Allow Exchange Systems To Access CCS Interest To Partially Fill an Incoming Limit Order 2009-09-22T00:00:00-07:00 2009-09-22T00:00:00-07:00 E9-22731 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-22/pdf/E9-22731.pdf https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22730.html Notice - Self-Regulatory Organizations; The Depository Trust Company, Fixed Income Clearing Corporation, and National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control 2009-09-22T00:00:00-07:00 2009-09-22T00:00:00-07:00 E9-22730 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-22/pdf/E9-22730.pdf https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22686.html Notice - Grail Advisors LLC and Grail Advisors ETF Trust; Notice of Application 2009-09-22T00:00:00-07:00 2009-09-22T00:00:00-07:00 E9-22686 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-22/pdf/E9-22686.pdf https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22685.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change To Extend a Holiday for Certain Registration and Processing Fees for Associated Persons 2009-09-21T00:00:00-07:00 2009-09-21T00:00:00-07:00 E9-22685 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22685.pdf https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22684.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Dissemination of Certain Index Data 2009-09-21T00:00:00-07:00 2009-09-21T00:00:00-07:00 E9-22684 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22684.pdf https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22683.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Related to the Hybrid Matching Algorithms 2009-09-21T00:00:00-07:00 2009-09-21T00:00:00-07:00 E9-22683 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22683.pdf https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22682.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend IM-2110-4 To Reflect Changes to a Corresponding FINRA Rule 2009-09-21T00:00:00-07:00 2009-09-21T00:00:00-07:00 E9-22682 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22682.pdf https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22681.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend IM-2110-4 To Reflect Changes to a Corresponding FINRA Rule 2009-09-21T00:00:00-07:00 2009-09-21T00:00:00-07:00 E9-22681 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22681.pdf https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22515.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Its Schedule of Fees and Charges for Exchange Services 2009-09-21T00:00:00-07:00 2009-09-21T00:00:00-07:00 E9-22515 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22515.pdf https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22514.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, 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 2009-09-21T00:00:00-07:00 2009-09-21T00:00:00-07:00 E9-22514 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22514.pdf https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22513.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook and to Delete NASD Rule 2230, NASD IM-2110-6 and Incorporated NYSE Rule 409(f) 2009-09-21T00:00:00-07:00 2009-09-21T00:00:00-07:00 E9-22513 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22513.pdf https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22511.html Notice - Investor Advisory Committee 2009-09-21T00:00:00-07:00 2009-09-21T00:00:00-07:00 E9-22511 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22511.pdf https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22392.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change As Modified by Amendment No. 1 To Amend Certain Corporate Governance Requirements 2009-09-17T00:00:00-07:00 2009-09-17T00:00:00-07:00 E9-22392 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22392.pdf https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22391.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Historical ISE Open/Close Trade Profile Fees 2009-09-17T00:00:00-07:00 2009-09-17T00:00:00-07:00 E9-22391 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22391.pdf https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22390.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until September 15, 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 2009-09-17T00:00:00-07:00 2009-09-17T00:00:00-07:00 E9-22390 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22390.pdf https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22389.html Rule - Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps 2009-09-17T00:00:00-07:00 2009-09-17T00:00:00-07:00 E9-22389 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22389.pdf https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22371.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 5230 (Payments Involving Publications That Influence the Market Price of a Security) in the Consolidated FINRA Rulebook 2009-09-17T00:00:00-07:00 2009-09-17T00:00:00-07:00 E9-22371 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22371.pdf https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22370.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Amex LLC in Connection With the Proposal of NYSE Euronext To Require That at Least Three-Fourths of Its Directors Satisfy Independence Requirements 2009-09-17T00:00:00-07:00 2009-09-17T00:00:00-07:00 E9-22370 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22370.pdf https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22369.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by NYSE Arca, Inc. in Connection With the Proposal of NYSE Euronext To Require That at Least Three-Fourths of Its Directors Satisfy Independence Requirements 2009-09-17T00:00:00-07:00 2009-09-17T00:00:00-07:00 E9-22369 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22369.pdf https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22368.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Its Initial Listing Fees for Operating Companies 2009-09-17T00:00:00-07:00 2009-09-17T00:00:00-07:00 E9-22368 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22368.pdf https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22367.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to FLEX Equity Option Opening Transactions 2009-09-17T00:00:00-07:00 2009-09-17T00:00:00-07:00 E9-22367 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22367.pdf https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22366.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Retroactively Correct an Error in Rule 7018 2009-09-17T00:00:00-07:00 2009-09-17T00:00:00-07:00 E9-22366 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22366.pdf https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22347.html Notice - EDGX Exchange, Inc., and EDGA Exchange, Inc.; Notice of Filing of Applications, as Amended, for Registration as National Securities Exchanges Under Section 6 of the Securities Exchange Act of 1934 2009-09-17T00:00:00-07:00 2009-09-17T00:00:00-07:00 E9-22347 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22347.pdf https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22346.html Notice - Order Granting Application by EDGX Exchange, Inc. and EDGA Exchange, Inc. for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act From Certain Requirements of Rules 6a-1 and 6a-2 Under the Exchange Act 2009-09-17T00:00:00-07:00 2009-09-17T00:00:00-07:00 E9-22346 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22346.pdf https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22431.html Notice - Sunshine Act Meeting 2009-09-16T00:00:00-07:00 2009-09-16T00:00:00-07:00 E9-22431 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22431.pdf https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22264.html Notice - Securities Lending and Short Sale Roundtable 2009-09-16T00:00:00-07:00 2009-09-16T00:00:00-07:00 E9-22264 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22264.pdf https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22247.html Notice - Submission for OMB Review; Comment Request 2009-09-16T00:00:00-07:00 2009-09-16T00:00:00-07:00 E9-22247 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22247.pdf https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22246.html Notice - 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 2009-09-16T00:00:00-07:00 2009-09-16T00:00:00-07:00 E9-22246 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22246.pdf https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22245.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Exposure of Reserve Orders 2009-09-16T00:00:00-07:00 2009-09-16T00:00:00-07:00 E9-22245 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22245.pdf https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22244.html Notice - 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 2009-09-16T00:00:00-07:00 2009-09-16T00:00:00-07:00 E9-22244 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22244.pdf https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22243.html Notice - 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 2009-09-16T00:00:00-07:00 2009-09-16T00:00:00-07:00 E9-22243 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22243.pdf https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22240.html Notice - 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 2009-09-16T00:00:00-07:00 2009-09-16T00:00:00-07:00 E9-22240 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22240.pdf https://regulations.justia.com/regulations/fedreg/2009/09/15/E9-22194.html Notice - Sunshine Act Meeting 2009-09-15T00:00:00-07:00 2009-09-15T00:00:00-07:00 E9-22194 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-15/pdf/E9-22194.pdf https://regulations.justia.com/regulations/fedreg/2009/09/15/E9-22109.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory, Inc.; Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto Amending Rule 2320 Regarding Best Execution and Interpositioning 2009-09-15T00:00:00-07:00 2009-09-15T00:00:00-07:00 E9-22109 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-15/pdf/E9-22109.pdf https://regulations.justia.com/regulations/fedreg/2009/09/15/E9-22107.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Audit Trail Information 2009-09-15T00:00:00-07:00 2009-09-15T00:00:00-07:00 E9-22107 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-15/pdf/E9-22107.pdf https://regulations.justia.com/regulations/fedreg/2009/09/14/E9-22105.html Notice - Sunshine Act Meetings 2009-09-14T00:00:00-07:00 2009-09-14T00:00:00-07:00 E9-22105 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-14/pdf/E9-22105.pdf https://regulations.justia.com/regulations/fedreg/2009/09/14/E9-21994.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 2009-09-14T00:00:00-07:00 2009-09-14T00:00:00-07:00 E9-21994 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-14/pdf/E9-21994.pdf https://regulations.justia.com/regulations/fedreg/2009/09/14/E9-21993.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the FLEX Minimum Size Pilot Program 2009-09-14T00:00:00-07:00 2009-09-14T00:00:00-07:00 E9-21993 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-14/pdf/E9-21993.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21923.html Notice - Alpine Global Dynamic Dividend Fund, et al.; Notice of Application 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21923 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21923.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21909.html Notice - 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 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21909 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21909.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21908.html Notice - 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 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21908 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21908.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21889.html Notice - American Capital, Ltd.; Notice of Application 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21889 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21889.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21888.html Notice - Columbia Funds Series Trust, et al.; Notice of Application 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21888 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21888.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21887.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 915 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21887 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21887.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21886.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Options Rule 5.3(j) 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21886 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21886.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21885.html Notice - 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 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21885 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21885.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21884.html Notice - 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 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21884 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21884.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21883.html Notice - 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 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21883 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21883.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21882.html Notice - 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 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21882 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21882.pdf https://regulations.justia.com/regulations/fedreg/2009/09/10/E9-21924.html Notice - In the Matter of Super Nova Resources, Inc.; Order of Suspension of Trading 2009-09-10T00:00:00-07:00 2009-09-10T00:00:00-07:00 E9-21924 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-10/pdf/E9-21924.pdf https://regulations.justia.com/regulations/fedreg/2009/09/10/E9-21711.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Amending Certain Provisions of Exchange Rule 1600 To Align the Rule With the Technology and Functionality of the NYBX Facility in Relation to an NYBX Order's Ability To Interact With Non-Displayed Contra Side Liquidity in the NYSE Display Book® and To Clarify the Processing of NYBX Orders That Have An Optional, User-Defined Minimum Triggering Volume 2009-09-10T00:00:00-07:00 2009-09-10T00:00:00-07:00 E9-21711 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-10/pdf/E9-21711.pdf https://regulations.justia.com/regulations/fedreg/2009/09/09/E9-21646.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC to Modify the Cure Provisions Under Its Dollar Stock Price Continued Listing Standard 2009-09-09T00:00:00-07:00 2009-09-09T00:00:00-07:00 E9-21646 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-09/pdf/E9-21646.pdf https://regulations.justia.com/regulations/fedreg/2009/09/09/E9-21645.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adding Language to Several NYSE Rules To Clarify That Transactions That Occur Solely Within NYSE MatchPointSM 2009-09-09T00:00:00-07:00 2009-09-09T00:00:00-07:00 E9-21645 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-09/pdf/E9-21645.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/Z9-20788.html 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 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 Z9-20788 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/Z9-20788.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21716.html Notice - Sunshine Act Meeting 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21716 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21716.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21667.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Error in Rule 7018 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21667 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21667.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21644.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Procedures Followed When a Listed Company Falls Below Certain Listing Requirements 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21644 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21644.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21643.html 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 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21643 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21643.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21642.html 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 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21642 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21642.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21641.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Eliminating NYSE Arca Equities Rule 7.26, Adding New NYSE Arca Equities Rule 6.7 and Amending NYSE Arca Equities Rule 6.18 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21641 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21641.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21640.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Risk Management Gateway (“RMG”) Service 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21640 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21640.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21639.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Additional Trading Sessions 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21639 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21639.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21638.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Clear Options Based on Index-Linked Securities 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21638 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21638.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21637.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Changes to Rule 312 in Connection With the Purchase by International Securities Exchange Holdings, Inc. of Equity Interests in Optifreeze, LLC 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21637 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21637.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21636.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until September 8, 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 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21636 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21636.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21635.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21635 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21635.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21619.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Eliminate One of the Indemnity Surety Programs in the Profile Modification System 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21619 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21619.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21618.html Notice - Submission for OMB Review; Comment Request 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21618 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21618.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21611.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a Retroactive Waiver of the Cancellation Fee 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21611 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21611.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21587.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 Group, LLC 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21587 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21587.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21586.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 103B and 104 To Increase the Amount of Time That a Designated Market Maker Unit Must Maintain a Bid and an Offer at the National Best Bid and National Best Offer for an Aggregate Average Period of Time Monthly 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21586 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21586.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21585.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Grandfathered Rules of the Exchange 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21585 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21585.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21584.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Nasdaq Listing Rules To Make Certain Conforming and Technical Changes 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21584 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21584.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21583.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Permit All CBSX Market-Makers To Operate From the CBSX Floor Post 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21583 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21583.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21582.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit FLEX Options on Securities Eligible for Non-FLEX Options Trading and on Corporate Debt Securities 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21582 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21582.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21494.html Notice - AdvisorOne Funds and CLS Investments, LLC; Notice of Application 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21494 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21494.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21457.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Standard and Poor's Depository Receipts/SPDRs (“SPY”) Equity Options 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21457 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21457.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21455.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend BATS Fee Schedule to Impose Fees for Ports Used for Order Entry and Receipt of Market Data 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21455 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21455.pdf https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21444.html Notice - Privacy Act of 1974: Establishment of a System of Records 2009-09-08T00:00:00-07:00 2009-09-08T00:00:00-07:00 E9-21444 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21444.pdf https://regulations.justia.com/regulations/fedreg/2009/09/03/E9-21223.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change Relating to Qualified Contingent Cross Orders 2009-09-03T00:00:00-07:00 2009-09-03T00:00:00-07:00 E9-21223 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-03/pdf/E9-21223.pdf https://regulations.justia.com/regulations/fedreg/2009/09/03/E9-21222.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to the Option Floor Broker Subsidy and Other Clarifying Changes to the Fee Schedule 2009-09-03T00:00:00-07:00 2009-09-03T00:00:00-07:00 E9-21222 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-03/pdf/E9-21222.pdf https://regulations.justia.com/regulations/fedreg/2009/09/03/E9-21221.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2009-09-03T00:00:00-07:00 2009-09-03T00:00:00-07:00 E9-21221 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-03/pdf/E9-21221.pdf https://regulations.justia.com/regulations/fedreg/2009/09/03/E9-21214.html Notice - Joint Industry Plan; Order Approving Amendments To Withdraw From the Intermarket Options Linkage Plan Filed by 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. 2009-09-03T00:00:00-07:00 2009-09-03T00:00:00-07:00 E9-21214 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-03/pdf/E9-21214.pdf https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21165.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Flash and Cancel Orders 2009-09-02T00:00:00-07:00 2009-09-02T00:00:00-07:00 E9-21165 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21165.pdf https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21162.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Flash Orders 2009-09-02T00:00:00-07:00 2009-09-02T00:00:00-07:00 E9-21162 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21162.pdf https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21141.html Notice - DNP Select Income Fund Inc., et al.; Notice of Application 2009-09-02T00:00:00-07:00 2009-09-02T00:00:00-07:00 E9-21141 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21141.pdf https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21140.html Notice - Jackson National Life Insurance Company, et al. 2009-09-02T00:00:00-07:00 2009-09-02T00:00:00-07:00 E9-21140 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21140.pdf https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21139.html Notice - Rafferty Asset Management, LLC, et al.; Notice of Application 2009-09-02T00:00:00-07:00 2009-09-02T00:00:00-07:00 E9-21139 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21139.pdf https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21138.html Notice - Highland Capital Management, L.P., et al.; 2009-09-02T00:00:00-07:00 2009-09-02T00:00:00-07:00 E9-21138 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21138.pdf https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21137.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Length of Time That Exchange Systems Transmit Odd-Lot Order-by-Order Information to the DMM Unit Algorithm Prior to the Opening Transaction From August 31, 2009 to October 31, 2009 2009-09-02T00:00:00-07:00 2009-09-02T00:00:00-07:00 E9-21137 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21137.pdf https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21136.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Length of Time That Exchange Systems Transmit Odd-Lot Order-by-Order Information to the DMM Unit Algorithm Prior to the Opening Transaction From August 31, 2009 to October 31, 2009 2009-09-02T00:00:00-07:00 2009-09-02T00:00:00-07:00 E9-21136 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21136.pdf https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21135.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Hybrid Quote Locks 2009-09-02T00:00:00-07:00 2009-09-02T00:00:00-07:00 E9-21135 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21135.pdf https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-21166.html Notice - Sunshine Act Meeting 2009-09-01T00:00:00-07:00 2009-09-01T00:00:00-07:00 E9-21166 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-01/pdf/E9-21166.pdf https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-21142.html Notice - Brooke Corporation; Order of Suspension of Trading 2009-09-01T00:00:00-07:00 2009-09-01T00:00:00-07:00 E9-21142 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-01/pdf/E9-21142.pdf https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-21004.html Notice - Proposed Collection; Comment Request 2009-09-01T00:00:00-07:00 2009-09-01T00:00:00-07:00 E9-21004 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-01/pdf/E9-21004.pdf https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-20988.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 11.13, Entitled “Order Execution.” 2009-09-01T00:00:00-07:00 2009-09-01T00:00:00-07:00 E9-20988 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-01/pdf/E9-20988.pdf https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-20983.html Notice - Arrow Investment Advisers, LLC, and Arrow Funds Trust; Notice of Application 2009-09-01T00:00:00-07:00 2009-09-01T00:00:00-07:00 E9-20983 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-01/pdf/E9-20983.pdf