Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/10?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T09:34:37-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26257.htmlNotice - Sunshine Act Meeting2009-10-30T00:00:00-07:002009-10-30T00:00:00-07:00E9-26257Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26257.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26256.htmlNotice - Sunshine Act Meeting2009-10-30T00:00:00-07:002009-10-30T00:00:00-07:00E9-26256Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26256.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26177.htmlNotice - Submission for OMB Review; Comment Request2009-10-30T00:00:00-07:002009-10-30T00:00:00-07:00E9-26177Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26177.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26176.htmlNotice - Submission for OMB Review; Comment Request2009-10-30T00:00:00-07:002009-10-30T00:00:00-07:00E9-26176Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26176.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26175.htmlNotice - Submission for OMB Review; Comment Request2009-10-30T00:00:00-07:002009-10-30T00:00:00-07:00E9-26175Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26175.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26174.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change relating to Its Market Loan Program To Allow Dividend Equivalent Payments To Be Principally Effected Through The Depository Trust Company's Facilities2009-10-30T00:00:00-07:002009-10-30T00:00:00-07:00E9-26174Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26174.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26173.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Listing Option Series That Are Restricted to Closing Transactions if Such Series Are Listed and Restricted to Closing Transactions on Another National Securities Exchange2009-10-30T00:00:00-07:002009-10-30T00:00:00-07:00E9-26173Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26173.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26172.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the TOPO Plus Orders Data Feed2009-10-30T00:00:00-07:002009-10-30T00:00:00-07:00E9-26172Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26172.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26171.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc., Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes to the Penny Pilot Program2009-10-30T00:00:00-07:002009-10-30T00:00:00-07:00E9-26171Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26171.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26150.htmlRule - Adoption of Updated EDGAR Filer Manual2009-10-30T00:00:00-07:002009-10-30T00:00:00-07:00E9-26150Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26150.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26158.htmlNotice - Planetgood Technologies, Inc (n/k/a All American Coffee & Beverage, Inc.), Platronics, Inc., Plus Solutions, Inc., Portacom Wireless, Inc., Prime Holdings & Investments, Inc., Pro-After, Inc. (f/k/a PurchasePro.Com, Inc.), Project Group, Inc., ProLong International Corp., PSS, Inc., and Purus, Inc.; Order of Suspension of Trading2009-10-29T00:00:00-07:002009-10-29T00:00:00-07:00E9-26158Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26158.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26061.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Penny Pilot Program2009-10-29T00:00:00-07:002009-10-29T00:00:00-07:00E9-26061Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26061.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26027.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Clear Options Based on Index-Linked Securities2009-10-29T00:00:00-07:002009-10-29T00:00:00-07:00E9-26027Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26027.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26026.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Its Initial Listing Fees for Operating Companies2009-10-29T00:00:00-07:002009-10-29T00:00:00-07:00E9-26026Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26026.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26025.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, to Extend the Pilot Program to Expose All-Or-None Orders for an Additional One Month2009-10-29T00:00:00-07:002009-10-29T00:00:00-07:00E9-26025Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26025.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26024.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program2009-10-29T00:00:00-07:002009-10-29T00:00:00-07:00E9-26024Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26024.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26023.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Retroactively Correct an Error in Rule 70182009-10-29T00:00:00-07:002009-10-29T00:00:00-07:00E9-26023Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26023.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26022.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center2009-10-29T00:00:00-07:002009-10-29T00:00:00-07:00E9-26022Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26022.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26021.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees for Crossing Orders2009-10-29T00:00:00-07:002009-10-29T00:00:00-07:00E9-26021Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26021.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25875.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Define Asset-Backed Securities, Mortgage-Backed Securities, and Other Similar Securities as TRACE-Eligible Securities and Require the Reporting of Transactions in Such Securities to TRACE2009-10-28T00:00:00-07:002009-10-28T00:00:00-07:00E9-25875Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25875.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25873.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA's Rules Governing Clearly Erroneous Executions2009-10-28T00:00:00-07:002009-10-28T00:00:00-07:00E9-25873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25873.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25872.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook2009-10-28T00:00:00-07:002009-10-28T00:00:00-07:00E9-25872Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25872.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25832.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Historical ISE Open/Close Trade Profile Fees2009-10-28T00:00:00-07:002009-10-28T00:00:00-07:00E9-25832Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25832.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25831.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Chicago Board Options Exchange Stock Exchange Fees Schedule Related to Stock Component of Stock-Option Cross Trade2009-10-28T00:00:00-07:002009-10-28T00:00:00-07:00E9-25831Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25831.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25830.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Interpretation and Policy .13 to Rule 5.32009-10-28T00:00:00-07:002009-10-28T00:00:00-07:00E9-25830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25830.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25829.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Obligations of Lead Market Makers2009-10-28T00:00:00-07:002009-10-28T00:00:00-07:00E9-25829Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25829.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25828.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, LLC To Amend ISE Rules Relating to the Minimum Size Requirement for Quotations2009-10-28T00:00:00-07:002009-10-28T00:00:00-07:00E9-25828Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25828.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25827.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Retroactively Waiving the Cancellation Fee2009-10-28T00:00:00-07:002009-10-28T00:00:00-07:00E9-25827Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25827.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25826.htmlNotice - Self-Regulatory Organizations; Order Approving 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 $2002009-10-28T00:00:00-07:002009-10-28T00:00:00-07:00E9-25826Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25826.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25874.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add BATS Exchange, Inc., as a Party Thereto2009-10-27T00:00:00-07:002009-10-27T00:00:00-07:00E9-25874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-27/pdf/E9-25874.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25813.htmlProposed Rule - Credit Ratings Disclosure2009-10-27T00:00:00-07:002009-10-27T00:00:00-07:00E9-25813Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-27/pdf/E9-25813.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25811.htmlProposed Rule - Concept Release on Possible Rescission of Rule 436(g) Under the Securities Act of 19332009-10-27T00:00:00-07:002009-10-27T00:00:00-07:00E9-25811Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-27/pdf/E9-25811.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/26/E9-25709.htmlNotice - Joint Industry Plan; Order Approving Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan2009-10-26T00:00:00-07:002009-10-26T00:00:00-07:00E9-25709Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-26/pdf/E9-25709.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/26/E9-25708.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; The NASDAQ Stock Market LLC; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Restated Certificate of Incorporation of The NASDAQ OMX Group, Inc.2009-10-26T00:00:00-07:002009-10-26T00:00:00-07:00E9-25708Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-26/pdf/E9-25708.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25639.htmlNotice - Sun Sports and Entertainment, Inc.; Order of Suspension of Trading2009-10-23T00:00:00-07:002009-10-23T00:00:00-07:00E9-25639Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25639.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25560.htmlNotice - Pacific Investment Management Company LLC and PIMCO ETF Trust; Notice of Application2009-10-23T00:00:00-07:002009-10-23T00:00:00-07:00E9-25560Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25560.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25496.htmlProposed Rule - Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities2009-10-23T00:00:00-07:002009-10-23T00:00:00-07:00E9-25496Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25496.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25487.htmlNotice - Proposed Collection; Comment Request2009-10-23T00:00:00-07:002009-10-23T00:00:00-07:00E9-25487Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25487.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25486.htmlNotice - Proposed Collection; Comment Request2009-10-23T00:00:00-07:002009-10-23T00:00:00-07:00E9-25486Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25486.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25485.htmlNotice - Proposed Collection; Comment Request2009-10-23T00:00:00-07:002009-10-23T00:00:00-07:00E9-25485Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25485.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25484.htmlNotice - Proposed Collection; Comment Request2009-10-23T00:00:00-07:002009-10-23T00:00:00-07:00E9-25484Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25484.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25483.htmlNotice - Proposed Collection; Comment Request2009-10-23T00:00:00-07:002009-10-23T00:00:00-07:00E9-25483Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25483.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25482.htmlNotice - Proposed Collection; Comment Request2009-10-23T00:00:00-07:002009-10-23T00:00:00-07:00E9-25482Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25482.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25431.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books)2009-10-22T00:00:00-07:002009-10-22T00:00:00-07:00E9-25431Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25431.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25430.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) Into the Consolidated Rulebook2009-10-22T00:00:00-07:002009-10-22T00:00:00-07:00E9-25430Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25430.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25429.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services2009-10-22T00:00:00-07:002009-10-22T00:00:00-07:00E9-25429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25429.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25428.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Dates of the Quarterly Expansion of the Penny Pilot Program for Options2009-10-22T00:00:00-07:002009-10-22T00:00:00-07:00E9-25428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25428.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25427.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook2009-10-22T00:00:00-07:002009-10-22T00:00:00-07:00E9-25427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25427.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25422.htmlNotice - Pioneer Diversified High Income Trust, et al.; Notice of Application2009-10-22T00:00:00-07:002009-10-22T00:00:00-07:00E9-25422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25422.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25339.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7015 Governing Access Services To Add an Additional Service and Related Fee, and To Make a Technical Change2009-10-22T00:00:00-07:002009-10-22T00:00:00-07:00E9-25339Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25339.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25338.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Chapter XII of the BOX Rules2009-10-22T00:00:00-07:002009-10-22T00:00:00-07:00E9-25338Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25338.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25232.htmlProposed Rule - Amendments to Rules Requiring Internet Availability of Proxy Materials2009-10-21T00:00:00-07:002009-10-21T00:00:00-07:00E9-25232Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25232.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25208.htmlNotice - Submission for OMB Review; Comment Request2009-10-21T00:00:00-07:002009-10-21T00:00:00-07:00E9-25208Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25208.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25207.htmlNotice - Submission for OMB Review; Comment Request2009-10-21T00:00:00-07:002009-10-21T00:00:00-07:00E9-25207Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25207.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25206.htmlNotice - Proposed Collection; Comment Request2009-10-21T00:00:00-07:002009-10-21T00:00:00-07:00E9-25206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25206.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25205.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of Proposed Rule Change Amending NYSE Amex Options Rule 9152009-10-21T00:00:00-07:002009-10-21T00:00:00-07:00E9-25205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25205.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25203.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Amending NYSE Arca Options Rule 5.3(j)2009-10-21T00:00:00-07:002009-10-21T00:00:00-07:00E9-25203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25203.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25202.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Amend the Grandfathered Rules of the Exchange2009-10-21T00:00:00-07:002009-10-21T00:00:00-07:00E9-25202Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25202.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/21/E9-25201.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee for ISE Market Maker Orders Sent to the Exchange by Electronic Access Members2009-10-21T00:00:00-07:002009-10-21T00:00:00-07:00E9-25201Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-21/pdf/E9-25201.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/20/E9-25286.htmlNotice - Altiva Financial Corp., Atlantic Gulf Communities Corp., CFI Mortgage, Inc., Commodore Holdings Ltd., Conversion Technologies International, Inc., Cyntech Technologies, Inc., Diversified Senior Services, Inc., Dyersburg Corp., Flour City International, Inc., Gerald Stevens, Inc., Leisure Time Casinos & Resorts, Inc., and Platinum Entertainment, Inc. (n/k/a Vidalia Gichner Holdings, Inc.),; Order of Suspension of Trading2009-10-20T00:00:00-07:002009-10-20T00:00:00-07:00E9-25286Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-20/pdf/E9-25286.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/20/E9-25137.htmlNotice - Neuberger Berman Management LLC, et al.; Notice of Application2009-10-20T00:00:00-07:002009-10-20T00:00:00-07:00E9-25137Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-20/pdf/E9-25137.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25115.htmlNotice - Proposed Collection; Comment Request2009-10-19T00:00:00-07:002009-10-19T00:00:00-07:00E9-25115Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25115.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25114.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; 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 on the Boston Options Exchange Facility2009-10-19T00:00:00-07:002009-10-19T00:00:00-07:00E9-25114Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25114.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25113.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 14 To Be Consistent With the New System Capability To Receive Orders for Execution on the Exchange Containing Settlement Instructions of “Cash,” “Next Day” and “Seller's Option” Directly to a Floor Broker's Hand-Held Device2009-10-19T00:00:00-07:002009-10-19T00:00:00-07:00E9-25113Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25113.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25112.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 14 To Be Consistent With the New System Capability To Receive Orders for Execution on the Exchange Containing Settlement Instructions of “Cash,” “Next Day” and “Seller's Option” Directly to a Floor Broker's Hand-Held Device2009-10-19T00:00:00-07:002009-10-19T00:00:00-07:00E9-25112Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25112.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25111.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123C(8)(a)(1) To Extend the Operation of the Extreme Order Imbalances Pilot2009-10-19T00:00:00-07:002009-10-19T00:00:00-07:00E9-25111Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25111.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25110.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123C(8)(a)(1) To Extend the Operation of the Extreme Order Imbalances Pilot2009-10-19T00:00:00-07:002009-10-19T00:00:00-07:00E9-25110Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25110.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25109.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Replacement Indexes for PowerShares DB Commodity Index Tracking Fund and PowerShares DB Agriculture Fund2009-10-19T00:00:00-07:002009-10-19T00:00:00-07:00E9-25109Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25109.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25003.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Market Maker Incentive Plan for Foreign Currency Options2009-10-19T00:00:00-07:002009-10-19T00:00:00-07:00E9-25003Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25003.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/19/E9-25002.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web Site2009-10-19T00:00:00-07:002009-10-19T00:00:00-07:00E9-25002Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-25002.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/19/E9-24990.htmlRule - Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers2009-10-19T00:00:00-07:002009-10-19T00:00:00-07:00E9-24990Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-19/pdf/E9-24990.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/16/E9-25048.htmlNotice - Sunshine Act Meeting; Notice2009-10-16T00:00:00-07:002009-10-16T00:00:00-07:00E9-25048Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-16/pdf/E9-25048.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/16/E9-25037.htmlNotice - Sunshine Act Meeting2009-10-16T00:00:00-07:002009-10-16T00:00:00-07:00E9-25037Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-16/pdf/E9-25037.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24790.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Payment for Order Flow Fees2009-10-15T00:00:00-07:002009-10-15T00:00:00-07:00E9-24790Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-15/pdf/E9-24790.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24738.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Transaction Fees and Rebates2009-10-15T00:00:00-07:002009-10-15T00:00:00-07:00E9-24738Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-15/pdf/E9-24738.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24713.htmlNotice - Draft 2010-2015 Strategic Plan for Securities and Exchange Commission2009-10-15T00:00:00-07:002009-10-15T00:00:00-07:00E9-24713Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-15/pdf/E9-24713.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24547.htmlProposed Rule - Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 19332009-10-15T00:00:00-07:002009-10-15T00:00:00-07:00E9-24547Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-15/pdf/E9-24547.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/15/E9-24546.htmlProposed Rule - Credit Ratings Disclosure2009-10-15T00:00:00-07:002009-10-15T00:00:00-07:00E9-24546Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-15/pdf/E9-24546.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24633.htmlNotice - Submission for OMB Review; Comment Request2009-10-14T00:00:00-07:002009-10-14T00:00:00-07:00E9-24633Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-14/pdf/E9-24633.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24632.htmlNotice - Submission for OMB Review; Comment Request2009-10-14T00:00:00-07:002009-10-14T00:00:00-07:00E9-24632Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-14/pdf/E9-24632.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24631.htmlNotice - Submission for OMB Review; Comment Request2009-10-14T00:00:00-07:002009-10-14T00:00:00-07:00E9-24631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-14/pdf/E9-24631.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24630.htmlNotice - Submission for OMB Review; Comment Request2009-10-14T00:00:00-07:002009-10-14T00:00:00-07:00E9-24630Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-14/pdf/E9-24630.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24616.htmlNotice - 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 Fees2009-10-14T00:00:00-07:002009-10-14T00:00:00-07:00E9-24616Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-14/pdf/E9-24616.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/14/E9-24615.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Potential Payment Amounts Available Under Rule 46262009-10-14T00:00:00-07:002009-10-14T00:00:00-07:00E9-24615Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-14/pdf/E9-24615.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/13/E9-24702.htmlNotice - Sunshine Act Meeting2009-10-13T00:00:00-07:002009-10-13T00:00:00-07:00E9-24702Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-13/pdf/E9-24702.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/13/E9-24537.htmlNotice - Morgan Stanley Investment Management Inc., et al.; Notice of Application2009-10-13T00:00:00-07:002009-10-13T00:00:00-07:00E9-24537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-13/pdf/E9-24537.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/13/E9-24515.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Potential Payment Amounts Available Under Nasdaq Rule 46262009-10-13T00:00:00-07:002009-10-13T00:00:00-07:00E9-24515Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-13/pdf/E9-24515.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/13/E9-24500.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an Intermarket Sweep Order Credit2009-10-13T00:00:00-07:002009-10-13T00:00:00-07:00E9-24500Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-13/pdf/E9-24500.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24365.htmlProposed Rule - References to Ratings of Nationally Recognized Statistical Rating Organizations2009-10-09T00:00:00-07:002009-10-09T00:00:00-07:00E9-24365Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24365.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24364.htmlRule - References to Ratings of Nationally Recognized Statistical Rating Organizations2009-10-09T00:00:00-07:002009-10-09T00:00:00-07:00E9-24364Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24364.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24358.htmlNotice - Submission for OMB Review; Comment Request2009-10-09T00:00:00-07:002009-10-09T00:00:00-07:00E9-24358Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24358.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24357.htmlNotice - Submission for OMB Review; Comment Request2009-10-09T00:00:00-07:002009-10-09T00:00:00-07:00E9-24357Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24357.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24356.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist and Registered Options Traders Allocation and Assignment Rules2009-10-09T00:00:00-07:002009-10-09T00:00:00-07:00E9-24356Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24356.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24355.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Prohibit Options Specialist Commission Charges2009-10-09T00:00:00-07:002009-10-09T00:00:00-07:00E9-24355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24355.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24354.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendments to Rule A-13, on Underwriting Assessments and Rule G-32, on Disclosures in Connection With Primary Offerings2009-10-09T00:00:00-07:002009-10-09T00:00:00-07:00E9-24354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24354.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24353.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Grail American Beacon International Equity ETF2009-10-09T00:00:00-07:002009-10-09T00:00:00-07:00E9-24353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24353.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24352.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Discontinuation of the Specialist Fee Credit Pilot Program2009-10-09T00:00:00-07:002009-10-09T00:00:00-07:00E9-24352Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24352.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24351.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Activity Assessment Fees2009-10-09T00:00:00-07:002009-10-09T00:00:00-07:00E9-24351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24351.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/09/E9-24350.htmlNotice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Fees for Certain Insurance and Retirement Processing Services2009-10-09T00:00:00-07:002009-10-09T00:00:00-07:00E9-24350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-09/pdf/E9-24350.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24269.htmlNotice - Proposed Collection; Comment Request2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24269Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24269.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24268.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PrecISE Fees2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24268Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24268.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24267.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend on CBSX the Taker Fees and Maker Rebates2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24267Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24267.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24266.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees for Certain Complex Orders2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24266Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24266.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24265.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References Within Certain FINRA Rules2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24265Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24265.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24264.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Amounts That Direct Edge ECN, in Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24264Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24264.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24263.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amending the Direct Edge ECN Fee Schedule2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24263Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24263.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24262.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Discontinue Rebates Paid to Floor Brokers for Orders Swept Into the Close2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24262Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24262.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24261.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24261Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24261.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24260.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Modify Its Requirements With Respect to Quarterly Earnings Releases2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24260Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24260.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24259.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt NASD Rules 2360 and 2361 Into the Consolidated Rulebook as FINRA Rules 2130 and 22702009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24259Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24259.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24250.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Clearly Erroneous Executions2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24250Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24250.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24249.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Rule 11.19 Governing Clearly Erroneous Executions2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24249Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24249.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24248.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the CBSX Obvious Error Rule2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24248Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24248.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24247.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.17, Entitled “Clearly Erroneous Executions”2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24247Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24247.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24246.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 128 Governing Clearly Erroneous Executions for NYSE Amex Equities2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24246Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24246.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24245.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Interim Rule 128 Governing Clearly Erroneous Executions for NYSE Equities2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24245Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24245.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24244.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Exchange Rule 11890 Governing Clearly Erroneous Executions Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 12009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24244Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24244.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24243.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend NASDAQ Rule 11890 Governing Clearly Erroneous Executions2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24243.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24242.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposal Relating to Exchange Rule Regarding Clearly Erroneous Transactions2009-10-08T00:00:00-07:002009-10-08T00:00:00-07:00E9-24242Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24242.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24257.htmlNotice - SpongeTech Delivery Systems, Inc.; Order of Suspension of Trading2009-10-07T00:00:00-07:002009-10-07T00:00:00-07:00E9-24257Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24257.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24133.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period to Receive Inbound Routes of Orders From Archipelago Securities LLC2009-10-07T00:00:00-07:002009-10-07T00:00:00-07:00E9-24133Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24133.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24085.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 103B to: (1) Codify the Exchange's Existing Practice That Renders Designated Market Marker Units Ineligible To Interview for Securities That Are Directly Related to the Performance or Credit of Any of the DMM's Affiliated Entities; (2) Define “Related Security” for Purposes of NYSE Rule 103B; (3) Provide That all Related Securities Listed Under Section 703.19 of the Exchange's Listed Company Manual Will Be Automatically Assigned to the Designated Market Maker Unit; (4) Define Repackaged Security for Purposes of NYSE Rule 103B, and Provide That Repackaged Securities are Allocated Through the Allocation Process Pursuant to NYSE Rule 103B2009-10-07T00:00:00-07:002009-10-07T00:00:00-07:00E9-24085Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24085.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24084.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or November 30, 20092009-10-07T00:00:00-07:002009-10-07T00:00:00-07:00E9-24084Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24084.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24083.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operation of Its New Market Model Pilot and Supplemental Liquidity Providers Pilot, Until the Earlier of Securities and Exchange Commission Approval to Make Such Pilots Permanent or November 30, 20092009-10-07T00:00:00-07:002009-10-07T00:00:00-07:00E9-24083Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24083.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24082.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Fees and Rebates in Various Trading Sessions2009-10-07T00:00:00-07:002009-10-07T00:00:00-07:00E9-24082Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24082.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24081.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Orders From Archipelago Securities LLC2009-10-07T00:00:00-07:002009-10-07T00:00:00-07:00E9-24081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24081.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24080.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period To Receive Inbound Routes of Orders from Archipelago Securities LLC2009-10-07T00:00:00-07:002009-10-07T00:00:00-07:00E9-24080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24080.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24079.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend the $1 Strike Program To Allow Low-Strike LEAPS2009-10-07T00:00:00-07:002009-10-07T00:00:00-07:00E9-24079Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24079.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/07/E9-24078.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Related to Preferred Market Makers2009-10-07T00:00:00-07:002009-10-07T00:00:00-07:00E9-24078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-07/pdf/E9-24078.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/06/E9-24005.htmlNotice - Evergreen Income Advantage Fund, et al.; Notice of Application2009-10-06T00:00:00-07:002009-10-06T00:00:00-07:00E9-24005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-24005.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23996.htmlNotice - Submission for OMB Review; Comment Request2009-10-06T00:00:00-07:002009-10-06T00:00:00-07:00E9-23996Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-23996.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23995.htmlNotice - Proposed Collection; Comment Request2009-10-06T00:00:00-07:002009-10-06T00:00:00-07:00E9-23995Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-23995.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23994.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rule 900.3NY2009-10-06T00:00:00-07:002009-10-06T00:00:00-07:00E9-23994Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-23994.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23993.htmlNotice - Submission for OMB Review; Comment Request2009-10-06T00:00:00-07:002009-10-06T00:00:00-07:00E9-23993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-23993.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23992.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change to Revise the Minimum Eligibility Criteria for Common Stock Loaned Through Stock Loan Programs and Deposited as Margin Collateral2009-10-06T00:00:00-07:002009-10-06T00:00:00-07:00E9-23992Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-23992.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/06/E9-23991.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving Proposed Rule Change Amending Rule 476A (Imposition of Fines for Minor Violation(s) of Rules)2009-10-06T00:00:00-07:002009-10-06T00:00:00-07:00E9-23991Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-06/pdf/E9-23991.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/05/E9-24026.htmlNotice - Sunshine Act Meeting2009-10-05T00:00:00-07:002009-10-05T00:00:00-07:00E9-24026Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-24026.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23891.htmlNotice - Charles Schwab Investment Management, Inc., et al.; Notice of Application2009-10-05T00:00:00-07:002009-10-05T00:00:00-07:00E9-23891Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-23891.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23854.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Permitting Affiliation With NYFIX Millennium L.L.C. and NYFIX Securities Corporation2009-10-05T00:00:00-07:002009-10-05T00:00:00-07:00E9-23854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-23854.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23853.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Permitting Affiliation With NYFIX Millennium L.L.C. and NYFIX Securities Corporation2009-10-05T00:00:00-07:002009-10-05T00:00:00-07:00E9-23853Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-23853.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23852.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials2009-10-05T00:00:00-07:002009-10-05T00:00:00-07:00E9-23852Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-23852.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23851.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Commentary .06 to Rule 903, Series of Options Open for Trading2009-10-05T00:00:00-07:002009-10-05T00:00:00-07:00E9-23851Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-23851.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/05/E9-23850.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Permitting Affiliation With NYFIX Millennium L.L.C. and NYFIX Securities Corporation2009-10-05T00:00:00-07:002009-10-05T00:00:00-07:00E9-23850Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-05/pdf/E9-23850.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/02/E9-23882.htmlNotice - In the Matter of Emergent Health Corp.; Order of Suspension of Trading2009-10-02T00:00:00-07:002009-10-02T00:00:00-07:00E9-23882Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-02/pdf/E9-23882.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/02/E9-23729.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Expanding TRACE To Include Agency Debt Securities and Primary Market Transactions2009-10-02T00:00:00-07:002009-10-02T00:00:00-07:00E9-23729Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-02/pdf/E9-23729.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23805.htmlNotice - In the Matter of Consumers Financial Corporation; Order of Suspension of Trading2009-10-01T00:00:00-07:002009-10-01T00:00:00-07:00E9-23805Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23805.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23730.htmlNotice - Ridgewood Capital Energy Growth Fund, LLC, et al.2009-10-01T00:00:00-07:002009-10-01T00:00:00-07:00E9-23730Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23730.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23701.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change Relating to Amendments to Rule G-11(i) (Settlement of Syndicate or Similar Account), Rule G-11(j) (Payment of Designations), and Rule G-12(i) (Settlement of Joint or Similar Account)2009-10-01T00:00:00-07:002009-10-01T00:00:00-07:00E9-23701Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23701.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23699.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend to November 30, 2010, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)2009-10-01T00:00:00-07:002009-10-01T00:00:00-07:00E9-23699Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23699.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23698.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Commentary .04 to Rule 6.4 Series of Options Open for Trading2009-10-01T00:00:00-07:002009-10-01T00:00:00-07:00E9-23698Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23698.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23669.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402009-10-01T00:00:00-07:002009-10-01T00:00:00-07:00E9-23669Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23669.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23626.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating To Listing Four Grail Advisors RP Exchange-Traded Funds2009-10-01T00:00:00-07:002009-10-01T00:00:00-07:00E9-23626Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23626.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23625.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending Rule 10.12 (Minor Rule Plan)2009-10-01T00:00:00-07:002009-10-01T00:00:00-07:00E9-23625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23625.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23624.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Related to Market-Maker and Specialist Orders2009-10-01T00:00:00-07:002009-10-01T00:00:00-07:00E9-23624Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23624.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23623.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Payment Order System for Premium Payment Orders2009-10-01T00:00:00-07:002009-10-01T00:00:00-07:00E9-23623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23623.pdfhttps://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23622.htmlNotice - Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps2009-10-01T00:00:00-07:002009-10-01T00:00:00-07:00E9-23622Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23622.pdf