<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/10?registers=between&min-day=1&max-day=31 Thu, 23 May 2024 04:20:16 -0700 Thu, 23 May 2024 04:20:16 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/10?registers=between&min-day=1&max-day=31 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26257.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26257.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26257 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26257.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26256.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26256.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26256 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26256.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26177.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26177.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26177 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26177.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26176.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26176.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26176 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26176.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26175.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26175.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26175 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26175.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26174.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26174.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26174 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26174.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26173.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26173.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26173 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26173.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26172.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26172.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26172 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26172.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26171.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26171.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26171 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26171.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26150.html https://regulations.justia.com/regulations/fedreg/2009/10/30/E9-26150.html Fri, 30 Oct 2009 00:00:00 -0700 E9-26150 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-30/pdf/E9-26150.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26158.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26158.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26158 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26158.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26061.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26061.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26061 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26061.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Clear Options Based on Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26027.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26027.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26027 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26027.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Its Initial Listing Fees for Operating Companies https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26026.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26026.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26026 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26026.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26025.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26025.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26025 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26025.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26024.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26024.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26024 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26024.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Retroactively Correct an Error in Rule 7018 https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26023.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26023.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26023 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26023.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26022.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26022.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26022 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26022.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26021.html https://regulations.justia.com/regulations/fedreg/2009/10/29/E9-26021.html Thu, 29 Oct 2009 00:00:00 -0700 E9-26021 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-29/pdf/E9-26021.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25875.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25875.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25875 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25875.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25873.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25873.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25873 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25873.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25872.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25872.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25872 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25872.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Historical ISE Open/Close Trade Profile Fees https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25832.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25832.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25832 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25832.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25831.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25831.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25831 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25831.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25830.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25830.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25830 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25830.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Obligations of Lead Market Makers https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25829.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25829.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25829 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25829.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25828.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25828.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25828 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25828.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25827.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25827.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25827 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25827.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25826.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25826.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25826 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25826.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25874.html https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25874.html Tue, 27 Oct 2009 00:00:00 -0700 E9-25874 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-27/pdf/E9-25874.pdf Proposed Rule - Credit Ratings Disclosure https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25813.html https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25813.html Tue, 27 Oct 2009 00:00:00 -0700 E9-25813 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-27/pdf/E9-25813.pdf Proposed Rule - Concept Release on Possible Rescission of Rule 436(g) Under the Securities Act of 1933 https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25811.html https://regulations.justia.com/regulations/fedreg/2009/10/27/E9-25811.html Tue, 27 Oct 2009 00:00:00 -0700 E9-25811 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-27/pdf/E9-25811.pdf Notice - Joint Industry Plan; Order Approving Joint Amendment No. 1 to the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/10/26/E9-25709.html https://regulations.justia.com/regulations/fedreg/2009/10/26/E9-25709.html Mon, 26 Oct 2009 00:00:00 -0700 E9-25709 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-26/pdf/E9-25709.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/10/26/E9-25708.html https://regulations.justia.com/regulations/fedreg/2009/10/26/E9-25708.html Mon, 26 Oct 2009 00:00:00 -0700 E9-25708 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-26/pdf/E9-25708.pdf Notice - Sun Sports and Entertainment, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25639.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25639.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25639 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25639.pdf Notice - Pacific Investment Management Company LLC and PIMCO ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25560.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25560.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25560 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25560.pdf Proposed Rule - Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25496.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25496.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25496 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25496.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25487.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25487.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25487 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25487.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25486.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25486.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25486 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25486.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25485.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25485.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25485 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25485.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25484.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25484.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25484 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25484.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25483.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25483.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25483 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25483.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25482.html https://regulations.justia.com/regulations/fedreg/2009/10/23/E9-25482.html Fri, 23 Oct 2009 00:00:00 -0700 E9-25482 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-23/pdf/E9-25482.pdf 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) https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25431.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25431.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25431 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25431.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25430.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25430.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25430 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25430.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25429.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25429.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25429 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25429.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25428.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25428.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25428 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25428.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25427.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25427.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25427 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25427.pdf Notice - Pioneer Diversified High Income Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25422.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25422.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25422 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25422.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25339.html https://regulations.justia.com/regulations/fedreg/2009/10/22/E9-25339.html Thu, 22 Oct 2009 00:00:00 -0700 E9-25339 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-22/pdf/E9-25339.pdf