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=atom2024-05-23T03:57:41-07:00Justia 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.pdf