Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/10?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-23T03:57:41-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26257.html Notice - Sunshine Act Meeting 2009-10-30T00:00:00-07:00 2009-10-30T00:00:00-07:00 E9-26257 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26257.pdf https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26256.html Notice - Sunshine Act Meeting 2009-10-30T00:00:00-07:00 2009-10-30T00:00:00-07:00 E9-26256 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26256.pdf https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26177.html Notice - Submission for OMB Review; Comment Request 2009-10-30T00:00:00-07:00 2009-10-30T00:00:00-07:00 E9-26177 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26177.pdf https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26176.html Notice - Submission for OMB Review; Comment Request 2009-10-30T00:00:00-07:00 2009-10-30T00:00:00-07:00 E9-26176 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26176.pdf https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26175.html Notice - Submission for OMB Review; Comment Request 2009-10-30T00:00:00-07:00 2009-10-30T00:00:00-07:00 E9-26175 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26175.pdf https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26174.html Notice - 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 Facilities 2009-10-30T00:00:00-07:00 2009-10-30T00:00:00-07:00 E9-26174 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26174.pdf https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26173.html Notice - 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 Exchange 2009-10-30T00:00:00-07:00 2009-10-30T00:00:00-07:00 E9-26173 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26173.pdf https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26172.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the TOPO Plus Orders Data Feed 2009-10-30T00:00:00-07:00 2009-10-30T00:00:00-07:00 E9-26172 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26172.pdf https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26171.html Notice - 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 Program 2009-10-30T00:00:00-07:00 2009-10-30T00:00:00-07:00 E9-26171 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26171.pdf https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26150.html Rule - Adoption of Updated EDGAR Filer Manual 2009-10-30T00:00:00-07:00 2009-10-30T00:00:00-07:00 E9-26150 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26150.pdf https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26158.html Notice - 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 Trading 2009-10-29T00:00:00-07:00 2009-10-29T00:00:00-07:00 E9-26158 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26158.pdf https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26061.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Penny Pilot Program 2009-10-29T00:00:00-07:00 2009-10-29T00:00:00-07:00 E9-26061 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26061.pdf https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26027.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Clear Options Based on Index-Linked Securities 2009-10-29T00:00:00-07:00 2009-10-29T00:00:00-07:00 E9-26027 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26027.pdf https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26026.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Its Initial Listing Fees for Operating Companies 2009-10-29T00:00:00-07:00 2009-10-29T00:00:00-07:00 E9-26026 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26026.pdf https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26025.html Notice - 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 Month 2009-10-29T00:00:00-07:00 2009-10-29T00:00:00-07:00 E9-26025 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26025.pdf https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26024.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program 2009-10-29T00:00:00-07:00 2009-10-29T00:00:00-07:00 E9-26024 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26024.pdf https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26023.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Retroactively Correct an Error in Rule 7018 2009-10-29T00:00:00-07:00 2009-10-29T00:00:00-07:00 E9-26023 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26023.pdf https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26022.html Notice - 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 Center 2009-10-29T00:00:00-07:00 2009-10-29T00:00:00-07:00 E9-26022 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26022.pdf https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26021.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees for Crossing Orders 2009-10-29T00:00:00-07:00 2009-10-29T00:00:00-07:00 E9-26021 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26021.pdf https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25875.html Notice - 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 TRACE 2009-10-28T00:00:00-07:00 2009-10-28T00:00:00-07:00 E9-25875 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25875.pdf https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25873.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA's Rules Governing Clearly Erroneous Executions 2009-10-28T00:00:00-07:00 2009-10-28T00:00:00-07:00 E9-25873 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25873.pdf https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25872.html Notice - 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 Rulebook 2009-10-28T00:00:00-07:00 2009-10-28T00:00:00-07:00 E9-25872 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25872.pdf https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25832.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Historical ISE Open/Close Trade Profile Fees 2009-10-28T00:00:00-07:00 2009-10-28T00:00:00-07:00 E9-25832 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25832.pdf https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25831.html Notice - 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 Trade 2009-10-28T00:00:00-07:00 2009-10-28T00:00:00-07:00 E9-25831 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25831.pdf https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25830.html Notice - 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 5.3 2009-10-28T00:00:00-07:00 2009-10-28T00:00:00-07:00 E9-25830 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25830.pdf https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25829.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Obligations of Lead Market Makers 2009-10-28T00:00:00-07:00 2009-10-28T00:00:00-07:00 E9-25829 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25829.pdf https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25828.html Notice - 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 Quotations 2009-10-28T00:00:00-07:00 2009-10-28T00:00:00-07:00 E9-25828 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25828.pdf https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25827.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Retroactively Waiving the Cancellation Fee 2009-10-28T00:00:00-07:00 2009-10-28T00:00:00-07:00 E9-25827 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25827.pdf https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25826.html Notice - 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 $200 2009-10-28T00:00:00-07:00 2009-10-28T00:00:00-07:00 E9-25826 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25826.pdf https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25874.html Notice - 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 Thereto 2009-10-27T00:00:00-07:00 2009-10-27T00:00:00-07:00 E9-25874 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-27/pdf/E9-25874.pdf https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25813.html Proposed Rule - Credit Ratings Disclosure 2009-10-27T00:00:00-07:00 2009-10-27T00:00:00-07:00 E9-25813 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-27/pdf/E9-25813.pdf https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25811.html Proposed Rule - Concept Release on Possible Rescission of Rule 436(g) Under the Securities Act of 1933 2009-10-27T00:00:00-07:00 2009-10-27T00:00:00-07:00 E9-25811 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-27/pdf/E9-25811.pdf https://regulations.justia.com/regulations/fedreg/2009/10/26/E9-25709.html Notice - Joint Industry Plan; Order Approving Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan 2009-10-26T00:00:00-07:00 2009-10-26T00:00:00-07:00 E9-25709 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-26/pdf/E9-25709.pdf https://regulations.justia.com/regulations/fedreg/2009/10/26/E9-25708.html Notice - 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. 2009-10-26T00:00:00-07:00 2009-10-26T00:00:00-07:00 E9-25708 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-26/pdf/E9-25708.pdf https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25639.html Notice - Sun Sports and Entertainment, Inc.; Order of Suspension of Trading 2009-10-23T00:00:00-07:00 2009-10-23T00:00:00-07:00 E9-25639 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25639.pdf https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25560.html Notice - Pacific Investment Management Company LLC and PIMCO ETF Trust; Notice of Application 2009-10-23T00:00:00-07:00 2009-10-23T00:00:00-07:00 E9-25560 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25560.pdf https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25496.html Proposed Rule - Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities 2009-10-23T00:00:00-07:00 2009-10-23T00:00:00-07:00 E9-25496 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25496.pdf https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25487.html Notice - Proposed Collection; Comment Request 2009-10-23T00:00:00-07:00 2009-10-23T00:00:00-07:00 E9-25487 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25487.pdf https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25486.html Notice - Proposed Collection; Comment Request 2009-10-23T00:00:00-07:00 2009-10-23T00:00:00-07:00 E9-25486 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25486.pdf https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25485.html Notice - Proposed Collection; Comment Request 2009-10-23T00:00:00-07:00 2009-10-23T00:00:00-07:00 E9-25485 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25485.pdf https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25484.html Notice - Proposed Collection; Comment Request 2009-10-23T00:00:00-07:00 2009-10-23T00:00:00-07:00 E9-25484 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25484.pdf https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25483.html Notice - Proposed Collection; Comment Request 2009-10-23T00:00:00-07:00 2009-10-23T00:00:00-07:00 E9-25483 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25483.pdf https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25482.html Notice - Proposed Collection; Comment Request 2009-10-23T00:00:00-07:00 2009-10-23T00:00:00-07:00 E9-25482 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25482.pdf https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25431.html Notice - 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) 2009-10-22T00:00:00-07:00 2009-10-22T00:00:00-07:00 E9-25431 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25431.pdf https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25430.html Notice - 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 Rulebook 2009-10-22T00:00:00-07:00 2009-10-22T00:00:00-07:00 E9-25430 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25430.pdf https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25429.html Notice - 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 Services 2009-10-22T00:00:00-07:00 2009-10-22T00:00:00-07:00 E9-25429 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25429.pdf https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25428.html Notice - 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 Options 2009-10-22T00:00:00-07:00 2009-10-22T00:00:00-07:00 E9-25428 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25428.pdf https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25427.html Notice - 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 Rulebook 2009-10-22T00:00:00-07:00 2009-10-22T00:00:00-07:00 E9-25427 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25427.pdf https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25422.html Notice - Pioneer Diversified High Income Trust, et al.; Notice of Application 2009-10-22T00:00:00-07:00 2009-10-22T00:00:00-07:00 E9-25422 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25422.pdf https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25339.html Notice - 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 Change 2009-10-22T00:00:00-07:00 2009-10-22T00:00:00-07:00 E9-25339 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25339.pdf