<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/09?registers=between&min-day=1&max-day=30 Sat, 04 May 2024 03:52:28 -0700 Sat, 04 May 2024 03:52:28 -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/2009/09?registers=between&min-day=1&max-day=30 Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/09/30/E9-23492.html https://regulations.justia.com/regulations/fedreg/2009/09/30/E9-23492.html Wed, 30 Sep 2009 00:00:00 -0700 E9-23492 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-30/pdf/E9-23492.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/09/29/E9-23496.html https://regulations.justia.com/regulations/fedreg/2009/09/29/E9-23496.html Tue, 29 Sep 2009 00:00:00 -0700 E9-23496 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-29/pdf/E9-23496.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/09/29/E9-23494.html https://regulations.justia.com/regulations/fedreg/2009/09/29/E9-23494.html Tue, 29 Sep 2009 00:00:00 -0700 E9-23494 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-29/pdf/E9-23494.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/29/E9-23491.html https://regulations.justia.com/regulations/fedreg/2009/09/29/E9-23491.html Tue, 29 Sep 2009 00:00:00 -0700 E9-23491 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-29/pdf/E9-23491.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23422.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23422.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23422 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23422.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23374.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23374.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23374 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23374.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23358.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23358.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23358 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23358.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23308.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23308.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23308 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23308.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23307.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23307.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23307 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23307.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23306.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23306.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23306 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23306.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23305.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23305.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23305 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23305.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23304.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23304.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23304 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23304.pdf Notice - Annuity Investors Life Insurance Company, et al., Notice of Application https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23277.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23277.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23277 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23277.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23373.html https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23373.html Fri, 25 Sep 2009 00:00:00 -0700 E9-23373 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23373.pdf Notice - Genova Biotherapeutics Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23297.html https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23297.html Fri, 25 Sep 2009 00:00:00 -0700 E9-23297 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23297.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23295.html https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23295.html Fri, 25 Sep 2009 00:00:00 -0700 E9-23295 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23295.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23163.html https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23163.html Fri, 25 Sep 2009 00:00:00 -0700 E9-23163 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23163.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23148.html https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23148.html Fri, 25 Sep 2009 00:00:00 -0700 E9-23148 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23148.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23147.html https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23147.html Fri, 25 Sep 2009 00:00:00 -0700 E9-23147 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23147.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23146.html https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23146.html Fri, 25 Sep 2009 00:00:00 -0700 E9-23146 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23146.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23113.html https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23113.html Fri, 25 Sep 2009 00:00:00 -0700 E9-23113 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23113.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23111.html https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23111.html Fri, 25 Sep 2009 00:00:00 -0700 E9-23111 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23111.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23098.html https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23098.html Fri, 25 Sep 2009 00:00:00 -0700 E9-23098 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23098.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23097.html https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23097.html Fri, 25 Sep 2009 00:00:00 -0700 E9-23097 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23097.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23096.html https://regulations.justia.com/regulations/fedreg/2009/09/25/E9-23096.html Fri, 25 Sep 2009 00:00:00 -0700 E9-23096 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-25/pdf/E9-23096.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/23/Z9-22392.html https://regulations.justia.com/regulations/fedreg/2009/09/23/Z9-22392.html Wed, 23 Sep 2009 00:00:00 -0700 Z9-22392 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/Z9-22392.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/23/Z9-21994.html https://regulations.justia.com/regulations/fedreg/2009/09/23/Z9-21994.html Wed, 23 Sep 2009 00:00:00 -0700 Z9-21994 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/Z9-21994.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-23017.html https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-23017.html Wed, 23 Sep 2009 00:00:00 -0700 E9-23017 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-23017.pdf Notice - Sunshine Act Meeting. https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-23016.html https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-23016.html Wed, 23 Sep 2009 00:00:00 -0700 E9-23016 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-23016.pdf Proposed Rule - Elimination of Flash Order Exception From Rule 602 of Regulation NMS https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22911.html https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22911.html Wed, 23 Sep 2009 00:00:00 -0700 E9-22911 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22911.pdf Rule - Disclosure of Certain Money Market Fund Portfolio Holdings https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22900.html https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22900.html Wed, 23 Sep 2009 00:00:00 -0700 E9-22900 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22900.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22879.html https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22879.html Wed, 23 Sep 2009 00:00:00 -0700 E9-22879 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22879.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22878.html https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22878.html Wed, 23 Sep 2009 00:00:00 -0700 E9-22878 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22878.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FLEX Option Expirations https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22877.html https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22877.html Wed, 23 Sep 2009 00:00:00 -0700 E9-22877 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22877.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Position Limit Exemptions https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22876.html https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22876.html Wed, 23 Sep 2009 00:00:00 -0700 E9-22876 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22876.pdf Notice - Agency Meeting https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22830.html https://regulations.justia.com/regulations/fedreg/2009/09/23/E9-22830.html Wed, 23 Sep 2009 00:00:00 -0700 E9-22830 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-23/pdf/E9-22830.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22734.html https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22734.html Tue, 22 Sep 2009 00:00:00 -0700 E9-22734 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-22/pdf/E9-22734.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22733.html https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22733.html Tue, 22 Sep 2009 00:00:00 -0700 E9-22733 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-22/pdf/E9-22733.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22732.html https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22732.html Tue, 22 Sep 2009 00:00:00 -0700 E9-22732 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-22/pdf/E9-22732.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22731.html https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22731.html Tue, 22 Sep 2009 00:00:00 -0700 E9-22731 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-22/pdf/E9-22731.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22730.html https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22730.html Tue, 22 Sep 2009 00:00:00 -0700 E9-22730 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-22/pdf/E9-22730.pdf Notice - Grail Advisors LLC and Grail Advisors ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22686.html https://regulations.justia.com/regulations/fedreg/2009/09/22/E9-22686.html Tue, 22 Sep 2009 00:00:00 -0700 E9-22686 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-22/pdf/E9-22686.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22685.html https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22685.html Mon, 21 Sep 2009 00:00:00 -0700 E9-22685 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22685.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22684.html https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22684.html Mon, 21 Sep 2009 00:00:00 -0700 E9-22684 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22684.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Related to the Hybrid Matching Algorithms https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22683.html https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22683.html Mon, 21 Sep 2009 00:00:00 -0700 E9-22683 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22683.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22682.html https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22682.html Mon, 21 Sep 2009 00:00:00 -0700 E9-22682 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22682.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22681.html https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22681.html Mon, 21 Sep 2009 00:00:00 -0700 E9-22681 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22681.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22515.html https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22515.html Mon, 21 Sep 2009 00:00:00 -0700 E9-22515 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22515.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22514.html https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22514.html Mon, 21 Sep 2009 00:00:00 -0700 E9-22514 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22514.pdf 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) https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22513.html https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22513.html Mon, 21 Sep 2009 00:00:00 -0700 E9-22513 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22513.pdf Notice - Investor Advisory Committee https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22511.html https://regulations.justia.com/regulations/fedreg/2009/09/21/E9-22511.html Mon, 21 Sep 2009 00:00:00 -0700 E9-22511 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-21/pdf/E9-22511.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22392.html https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22392.html Thu, 17 Sep 2009 00:00:00 -0700 E9-22392 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22392.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Historical ISE Open/Close Trade Profile Fees https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22391.html https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22391.html Thu, 17 Sep 2009 00:00:00 -0700 E9-22391 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22391.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22390.html https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22390.html Thu, 17 Sep 2009 00:00:00 -0700 E9-22390 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22390.pdf Rule - Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22389.html https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22389.html Thu, 17 Sep 2009 00:00:00 -0700 E9-22389 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22389.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22371.html https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22371.html Thu, 17 Sep 2009 00:00:00 -0700 E9-22371 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22371.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22370.html https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22370.html Thu, 17 Sep 2009 00:00:00 -0700 E9-22370 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22370.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22369.html https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22369.html Thu, 17 Sep 2009 00:00:00 -0700 E9-22369 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22369.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Its Initial Listing Fees for Operating Companies https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22368.html https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22368.html Thu, 17 Sep 2009 00:00:00 -0700 E9-22368 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22368.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22367.html https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22367.html Thu, 17 Sep 2009 00:00:00 -0700 E9-22367 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22367.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Retroactively Correct an Error in Rule 7018 https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22366.html https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22366.html Thu, 17 Sep 2009 00:00:00 -0700 E9-22366 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22366.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22347.html https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22347.html Thu, 17 Sep 2009 00:00:00 -0700 E9-22347 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22347.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22346.html https://regulations.justia.com/regulations/fedreg/2009/09/17/E9-22346.html Thu, 17 Sep 2009 00:00:00 -0700 E9-22346 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-17/pdf/E9-22346.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22431.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22431.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22431 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22431.pdf Notice - Securities Lending and Short Sale Roundtable https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22264.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22264.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22264 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22264.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22247.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22247.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22247 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22247.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22246.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22246.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22246 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22246.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Exposure of Reserve Orders https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22245.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22245.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22245 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22245.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22244.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22244.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22244 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22244.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22243.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22243.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22243 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22243.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22240.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22240.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22240 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22240.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/09/15/E9-22194.html https://regulations.justia.com/regulations/fedreg/2009/09/15/E9-22194.html Tue, 15 Sep 2009 00:00:00 -0700 E9-22194 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-15/pdf/E9-22194.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/15/E9-22109.html https://regulations.justia.com/regulations/fedreg/2009/09/15/E9-22109.html Tue, 15 Sep 2009 00:00:00 -0700 E9-22109 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-15/pdf/E9-22109.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Audit Trail Information https://regulations.justia.com/regulations/fedreg/2009/09/15/E9-22107.html https://regulations.justia.com/regulations/fedreg/2009/09/15/E9-22107.html Tue, 15 Sep 2009 00:00:00 -0700 E9-22107 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-15/pdf/E9-22107.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2009/09/14/E9-22105.html https://regulations.justia.com/regulations/fedreg/2009/09/14/E9-22105.html Mon, 14 Sep 2009 00:00:00 -0700 E9-22105 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-14/pdf/E9-22105.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/14/E9-21994.html https://regulations.justia.com/regulations/fedreg/2009/09/14/E9-21994.html Mon, 14 Sep 2009 00:00:00 -0700 E9-21994 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-14/pdf/E9-21994.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/14/E9-21993.html https://regulations.justia.com/regulations/fedreg/2009/09/14/E9-21993.html Mon, 14 Sep 2009 00:00:00 -0700 E9-21993 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-14/pdf/E9-21993.pdf Notice - Alpine Global Dynamic Dividend Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21923.html https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21923.html Fri, 11 Sep 2009 00:00:00 -0700 E9-21923 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21923.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21909.html https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21909.html Fri, 11 Sep 2009 00:00:00 -0700 E9-21909 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21909.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21908.html https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21908.html Fri, 11 Sep 2009 00:00:00 -0700 E9-21908 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21908.pdf Notice - American Capital, Ltd.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21889.html https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21889.html Fri, 11 Sep 2009 00:00:00 -0700 E9-21889 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21889.pdf Notice - Columbia Funds Series Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21888.html https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21888.html Fri, 11 Sep 2009 00:00:00 -0700 E9-21888 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21888.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 915 https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21887.html https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21887.html Fri, 11 Sep 2009 00:00:00 -0700 E9-21887 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21887.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Options Rule 5.3(j) https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21886.html https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21886.html Fri, 11 Sep 2009 00:00:00 -0700 E9-21886 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21886.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21885.html https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21885.html Fri, 11 Sep 2009 00:00:00 -0700 E9-21885 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21885.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21884.html https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21884.html Fri, 11 Sep 2009 00:00:00 -0700 E9-21884 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21884.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21883.html https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21883.html Fri, 11 Sep 2009 00:00:00 -0700 E9-21883 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21883.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21882.html https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21882.html Fri, 11 Sep 2009 00:00:00 -0700 E9-21882 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21882.pdf Notice - In the Matter of Super Nova Resources, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/09/10/E9-21924.html https://regulations.justia.com/regulations/fedreg/2009/09/10/E9-21924.html Thu, 10 Sep 2009 00:00:00 -0700 E9-21924 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-10/pdf/E9-21924.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/10/E9-21711.html https://regulations.justia.com/regulations/fedreg/2009/09/10/E9-21711.html Thu, 10 Sep 2009 00:00:00 -0700 E9-21711 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-10/pdf/E9-21711.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/09/E9-21646.html https://regulations.justia.com/regulations/fedreg/2009/09/09/E9-21646.html Wed, 09 Sep 2009 00:00:00 -0700 E9-21646 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-09/pdf/E9-21646.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/09/E9-21645.html https://regulations.justia.com/regulations/fedreg/2009/09/09/E9-21645.html Wed, 09 Sep 2009 00:00:00 -0700 E9-21645 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-09/pdf/E9-21645.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/2009/09/08/Z9-20788.html https://regulations.justia.com/regulations/fedreg/2009/09/08/Z9-20788.html Tue, 08 Sep 2009 00:00:00 -0700 Z9-20788 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/Z9-20788.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21716.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21716.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21716 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21716.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21667.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21667.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21667 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21667.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21644.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21644.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21644 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21644.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/2009/09/08/E9-21643.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21643.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21643 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21643.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/2009/09/08/E9-21642.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21642.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21642 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21642.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21641.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21641.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21641 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21641.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21640.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21640.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21640 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21640.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Additional Trading Sessions https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21639.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21639.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21639 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21639.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Clear Options Based on Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21638.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21638.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21638 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21638.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21637.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21637.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21637 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21637.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21636.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21636.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21636 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21636.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21635.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21635.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21635 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21635.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21619.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21619.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21619 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21619.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21618.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21618.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21618 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21618.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21611.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21611.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21611 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21611.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21587.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21587.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21587 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21587.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21586.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21586.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21586 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21586.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Grandfathered Rules of the Exchange https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21585.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21585.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21585 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21585.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21584.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21584.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21584 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21584.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21583.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21583.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21583 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21583.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21582.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21582.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21582 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21582.pdf Notice - AdvisorOne Funds and CLS Investments, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21494.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21494.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21494 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21494.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21457.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21457.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21457 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21457.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21455.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21455.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21455 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21455.pdf Notice - Privacy Act of 1974: Establishment of a System of Records https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21444.html https://regulations.justia.com/regulations/fedreg/2009/09/08/E9-21444.html Tue, 08 Sep 2009 00:00:00 -0700 E9-21444 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-08/pdf/E9-21444.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change Relating to Qualified Contingent Cross Orders https://regulations.justia.com/regulations/fedreg/2009/09/03/E9-21223.html https://regulations.justia.com/regulations/fedreg/2009/09/03/E9-21223.html Thu, 03 Sep 2009 00:00:00 -0700 E9-21223 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-03/pdf/E9-21223.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/03/E9-21222.html https://regulations.justia.com/regulations/fedreg/2009/09/03/E9-21222.html Thu, 03 Sep 2009 00:00:00 -0700 E9-21222 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-03/pdf/E9-21222.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2009/09/03/E9-21221.html https://regulations.justia.com/regulations/fedreg/2009/09/03/E9-21221.html Thu, 03 Sep 2009 00:00:00 -0700 E9-21221 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-03/pdf/E9-21221.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/09/03/E9-21214.html https://regulations.justia.com/regulations/fedreg/2009/09/03/E9-21214.html Thu, 03 Sep 2009 00:00:00 -0700 E9-21214 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-03/pdf/E9-21214.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Flash and Cancel Orders https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21165.html https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21165.html Wed, 02 Sep 2009 00:00:00 -0700 E9-21165 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21165.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Flash Orders https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21162.html https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21162.html Wed, 02 Sep 2009 00:00:00 -0700 E9-21162 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21162.pdf Notice - DNP Select Income Fund Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21141.html https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21141.html Wed, 02 Sep 2009 00:00:00 -0700 E9-21141 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21141.pdf Notice - Jackson National Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21140.html https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21140.html Wed, 02 Sep 2009 00:00:00 -0700 E9-21140 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21140.pdf Notice - Rafferty Asset Management, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21139.html https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21139.html Wed, 02 Sep 2009 00:00:00 -0700 E9-21139 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21139.pdf Notice - Highland Capital Management, L.P., et al.; https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21138.html https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21138.html Wed, 02 Sep 2009 00:00:00 -0700 E9-21138 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21138.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21137.html https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21137.html Wed, 02 Sep 2009 00:00:00 -0700 E9-21137 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21137.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21136.html https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21136.html Wed, 02 Sep 2009 00:00:00 -0700 E9-21136 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21136.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Hybrid Quote Locks https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21135.html https://regulations.justia.com/regulations/fedreg/2009/09/02/E9-21135.html Wed, 02 Sep 2009 00:00:00 -0700 E9-21135 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-02/pdf/E9-21135.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-21166.html https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-21166.html Tue, 01 Sep 2009 00:00:00 -0700 E9-21166 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-01/pdf/E9-21166.pdf Notice - Brooke Corporation; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-21142.html https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-21142.html Tue, 01 Sep 2009 00:00:00 -0700 E9-21142 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-01/pdf/E9-21142.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-21004.html https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-21004.html Tue, 01 Sep 2009 00:00:00 -0700 E9-21004 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-01/pdf/E9-21004.pdf 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.” https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-20988.html https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-20988.html Tue, 01 Sep 2009 00:00:00 -0700 E9-20988 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-01/pdf/E9-20988.pdf Notice - Arrow Investment Advisers, LLC, and Arrow Funds Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-20983.html https://regulations.justia.com/regulations/fedreg/2009/09/01/E9-20983.html Tue, 01 Sep 2009 00:00:00 -0700 E9-20983 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-01/pdf/E9-20983.pdf