Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-12T00:04:38-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28639.htmlNotice - In the Matter of Customer Sports, Inc., Leonidas Films, Inc. (n/k/a Consolidated Pictures Group, Inc.), Sportsprize Entertainment, Inc., U.S. Interactive, Inc., and USA Biomass Corp.; Order of Suspension of Trading2009-11-30T00:00:00-08:002009-11-30T00:00:00-08:00E9-28639Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28639.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28560.htmlNotice - Members Mutual Funds, et al.; Notice of Application2009-11-30T00:00:00-08:002009-11-30T00:00:00-08:00E9-28560Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28560.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28535.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rules 5.17 and 6.82009-11-30T00:00:00-08:002009-11-30T00:00:00-08:00E9-28535Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28535.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28519.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE AMEX LLC Amending Rules 904 and 904C2009-11-30T00:00:00-08:002009-11-30T00:00:00-08:00E9-28519Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28519.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28472.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Section 1(c) of Schedule A to the FINRA By-Laws To Amend the Personnel Assessment and Gross Income Assessment2009-11-30T00:00:00-08:002009-11-30T00:00:00-08:00E9-28472Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28472.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28471.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the $1.00 Strike Program To Allow Low-Strike LEAPS on the Boston Options Exchange Facility2009-11-30T00:00:00-08:002009-11-30T00:00:00-08:00E9-28471Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28471.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28470.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Increase the Ceiling on Its Equity Ownership Interest in BIDS Holdings L.P. to Less Than 10%2009-11-30T00:00:00-08:002009-11-30T00:00:00-08:00E9-28470Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28470.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28353.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402009-11-27T00:00:00-08:002009-11-27T00:00:00-08:00E9-28353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-27/pdf/E9-28353.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28352.htmlNotice - Pioneer Floating Rate Trust and Pioneer High Income Trust; Notice of Application2009-11-27T00:00:00-08:002009-11-27T00:00:00-08:00E9-28352Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-27/pdf/E9-28352.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28351.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the $1.00 Strike Program to Allow Low-Strike LEAPS2009-11-27T00:00:00-08:002009-11-27T00:00:00-08:00E9-28351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-27/pdf/E9-28351.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28350.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or March 30, 20102009-11-27T00:00:00-08:002009-11-27T00:00:00-08:00E9-28350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-27/pdf/E9-28350.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28349.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the $1.00 Strike Program To Allow Low-Strike LEAPS2009-11-27T00:00:00-08:002009-11-27T00:00:00-08:00E9-28349Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-27/pdf/E9-28349.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28348.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or March 30, 20102009-11-27T00:00:00-08:002009-11-27T00:00:00-08:00E9-28348Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-27/pdf/E9-28348.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28239.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Amendment to Board Rules Relating to Inspections2009-11-25T00:00:00-08:002009-11-25T00:00:00-08:00E9-28239Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28239.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28228.htmlNotice - Proposed Collection; Comment Request2009-11-25T00:00:00-08:002009-11-25T00:00:00-08:00E9-28228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28228.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28227.htmlNotice - Proposed Collection; Comment Request2009-11-25T00:00:00-08:002009-11-25T00:00:00-08:00E9-28227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28227.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28226.htmlNotice - Proposed Collection; Comment Request2009-11-25T00:00:00-08:002009-11-25T00:00:00-08:00E9-28226Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28226.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28225.htmlNotice - Proposed Collection; Comment Request2009-11-25T00:00:00-08:002009-11-25T00:00:00-08:00E9-28225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28225.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28224.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the FINRA Rule 9550 Series (Expedited Proceedings)2009-11-25T00:00:00-08:002009-11-25T00:00:00-08:00E9-28224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28224.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28197.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 7.252009-11-25T00:00:00-08:002009-11-25T00:00:00-08:00E9-28197Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28197.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28196.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change by International Securities Exchange, LLC Relating to Changes to the U.S. Exchange Holdings, Inc. Corporate Documents and International Securities Exchange Trust Agreement in Connection With the Form 1 Applications of EDGA Exchange, Inc. and EDGX Exchange, Inc.2009-11-24T00:00:00-08:002009-11-24T00:00:00-08:00E9-28196Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28196.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28164.htmlNotice - Joint Order Modifying the Listing Standards Requirements Under Section 6(h) of the Securities Exchange Act of 1934 and the Criteria Under Section 2(a)(1) of the Commodity Exchange Act2009-11-24T00:00:00-08:002009-11-24T00:00:00-08:00E9-28164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28164.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28120.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of New Rule A-16, on Examination Fees2009-11-24T00:00:00-08:002009-11-24T00:00:00-08:00E9-28120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28120.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28119.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Amending Equities Rule 5.2(j)(3)2009-11-24T00:00:00-08:002009-11-24T00:00:00-08:00E9-28119Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28119.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28118.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Regarding Listing and Trading of RP Short Duration ETF2009-11-24T00:00:00-08:002009-11-24T00:00:00-08:00E9-28118Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28118.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28100.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Related to the Simple Auction Liaison (SAL)2009-11-24T00:00:00-08:002009-11-24T00:00:00-08:00E9-28100Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28100.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28099.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of the Boston Options Exchange Facility2009-11-24T00:00:00-08:002009-11-24T00:00:00-08:00E9-28099Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28099.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28098.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program To Expose All-Or-None Orders Until December 31, 20092009-11-24T00:00:00-08:002009-11-24T00:00:00-08:00E9-28098Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28098.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28096.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Foreign Currency Options2009-11-24T00:00:00-08:002009-11-24T00:00:00-08:00E9-28096Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28096.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28095.htmlNotice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Restated Certificate of Incorporation of the NASDAQ OMX Group, Inc.2009-11-24T00:00:00-08:002009-11-24T00:00:00-08:00E9-28095Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28095.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28094.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Restated Certificate of Incorporation of The NASDAQ OMX Group, Inc.2009-11-24T00:00:00-08:002009-11-24T00:00:00-08:00E9-28094Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28094.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28125.htmlNotice - Sunshine Act Meeting2009-11-23T00:00:00-08:002009-11-23T00:00:00-08:00E9-28125Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-28125.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28101.htmlNotice - Joint Order To Exclude Indexes Composed of Certain Index Options From the Definition of Narrow-Based Security Index Pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 19342009-11-23T00:00:00-08:002009-11-23T00:00:00-08:00E9-28101Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-28101.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28023.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Revise the Minimum Eligibility Criteria for Common Stock Loaned Through Stock Loan Programs and Deposited as Margin Collateral2009-11-23T00:00:00-08:002009-11-23T00:00:00-08:00E9-28023Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-28023.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28000.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment Nos. 1, 2, 3, and 4 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1, 2, 3, and 4, Relating to Historic TRACE Data2009-11-23T00:00:00-08:002009-11-23T00:00:00-08:00E9-28000Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-28000.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27999.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Closing Settlement Value for the Brazilian Real2009-11-23T00:00:00-08:002009-11-23T00:00:00-08:00E9-27999Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27999.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27998.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require That Companies Provide Nasdaq With at Least Ten Minutes Prior Notification When Releasing Material Information and Eliminate a Potential Inconsistency With Commission Guidance on the Use of Company Websites To Satisfy Public Disclosure Requirements2009-11-23T00:00:00-08:002009-11-23T00:00:00-08:00E9-27998Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27998.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27997.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to Availability of Information Pursuant to FINRA Rule 8312 (FINRA BrokerCheck Disclosure)2009-11-23T00:00:00-08:002009-11-23T00:00:00-08:00E9-27997Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27997.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27994.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Restructuring of Quotation Collection and Dissemination for OTC Equity Securities2009-11-23T00:00:00-08:002009-11-23T00:00:00-08:00E9-27994Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27994.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27993.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Options Market2009-11-23T00:00:00-08:002009-11-23T00:00:00-08:00E9-27993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27993.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27951.htmlProposed Rule - Regulation of Non-Public Trading Interest2009-11-23T00:00:00-08:002009-11-23T00:00:00-08:00E9-27951Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27951.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27892.htmlNotice - In the Matter of: Apponline.Com, Inc.; Condor Gold Corp.; EPL Technologies, Inc.; General Credit Corp.; Integra, Inc.; Integrated Health Services, Inc.; Log On America, Inc.; Matlack Systems, Inc.; Pixtech, Inc.; and Virtual Communities, Inc.; Order of Suspension of Trading2009-11-19T00:00:00-08:002009-11-19T00:00:00-08:00E9-27892Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27892.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27749.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposal To Codify Certain Provisions of the Options Listing Procedures Plan Into CBOE's Rules2009-11-19T00:00:00-08:002009-11-19T00:00:00-08:00E9-27749Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27749.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27748.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to $1 Strike Price Intervals Below $200 for Options on the KBW Bank Index (BKX)2009-11-19T00:00:00-08:002009-11-19T00:00:00-08:00E9-27748Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27748.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27747.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Rules Related to Nasdaq's PORTAL Market2009-11-19T00:00:00-08:002009-11-19T00:00:00-08:00E9-27747Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27747.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27746.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto To Extend the Pilot Program and Reduce Fees for NASDAQ Last Sale Data Feeds and To Make a Technical Correction to NASDAQ Rule 70392009-11-19T00:00:00-08:002009-11-19T00:00:00-08:00E9-27746Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27746.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27745.htmlNotice - Consolidated Tape Association; Notice of Filing of the Thirteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Seventh Charges Amendment to the Restated Consolidated Quotation Plan2009-11-19T00:00:00-08:002009-11-19T00:00:00-08:00E9-27745Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27745.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27738.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Postponing the Effective Date of Rules and Forms Related to Annual and Special Reporting by Registered Firms and Succession to the Registration Status of a Predecessor Firm2009-11-19T00:00:00-08:002009-11-19T00:00:00-08:00E9-27738Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27738.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27609.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 36-NYSE Amex Equities To Conform With Proposed Amendments to Corresponding NYSE Rule 36 To Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas2009-11-18T00:00:00-08:002009-11-18T00:00:00-08:00E9-27609Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-18/pdf/E9-27609.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27608.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Rule 36 To Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas2009-11-18T00:00:00-08:002009-11-18T00:00:00-08:00E9-27608Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-18/pdf/E9-27608.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27607.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 Thereto, Relating to Listing of Five Fixed Income Funds of the PIMCO ETF Trust2009-11-18T00:00:00-08:002009-11-18T00:00:00-08:00E9-27607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-18/pdf/E9-27607.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27606.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposal To Permit $1 Strikes for RMN Options2009-11-18T00:00:00-08:002009-11-18T00:00:00-08:00E9-27606Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-18/pdf/E9-27606.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27604.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade Shares of the Grail American Beacon International Equity ETF2009-11-18T00:00:00-08:002009-11-18T00:00:00-08:00E9-27604Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-18/pdf/E9-27604.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27505.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee and Rebate Schedule to Exclude, for Purposes of Calculating the Automatic Execution Mode of Order Interaction (“AutoEx”) Liquidity Adding Displayed Order Rebate, An ETP Holder's Lowest Full Trading Day's Liquidity Adding Volume From The Determination of The ETP Holder's “Liquidity Adding Average Daily Volume”2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27505Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27505.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27504.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Amend the $1 Strike Program To Allow Low-Strike LEAPS2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27504Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27504.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27503.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123C to Modify the Procedures for Its Closing Process and Making Conforming Changes to NYSE Rules 13 and 152009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27503Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27503.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27502.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123C To Modify the Procedures for Its Closing Process and Make Conforming Changes to NYSE Amex Equities Rules 13 and Rule 152009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27502Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27502.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27501.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Permitting Affiliation With NYFIX Millennium LLC and NYFIX Securities Corporation2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27501Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27501.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27500.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX Securities Corporation2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27500Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27500.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27499.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No.1, to Add Seventy-Five Options Classes to the Penny Pilot Program2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27499Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27499.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27495.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of ETFS Platinum Trust2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27495.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27494.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of ETFS Palladium Trust2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27494Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27494.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27470.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No.1, To Add Seventy-Five Options Classes to the Penny Pilot Program2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27470Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27470.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27469.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Permitting Affiliation With NYFIX Millennium LLC and NYFIX Securities Corporation2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27469Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27469.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27468.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes to the Penny Pilot Program as Modified by Amendment No. 12009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27468Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27468.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27467.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Conduct of Business on the Exchange2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27467Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27467.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27466.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27466Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27466.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27465.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00 on the NASDAQ Options Market2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27465Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27465.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27464.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Non Firm Quote Conditions2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27464Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27464.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27463.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, To Require Members To Report OTC Transactions in Equity Securities Within 30 Seconds of Execution2009-11-17T00:00:00-08:002009-11-17T00:00:00-08:00E9-27463Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27463.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/16/E9-27537.htmlNotice - Sunshine Act Meeting2009-11-16T00:00:00-08:002009-11-16T00:00:00-08:00E9-27537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-16/pdf/E9-27537.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/16/E9-27443.htmlNotice - Sunshine Act Meeting2009-11-16T00:00:00-08:002009-11-16T00:00:00-08:00E9-27443Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-16/pdf/E9-27443.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27264.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program for Directed Orders2009-11-13T00:00:00-08:002009-11-13T00:00:00-08:00E9-27264Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27264.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27260.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center2009-11-13T00:00:00-08:002009-11-13T00:00:00-08:00E9-27260Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27260.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27259.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System2009-11-13T00:00:00-08:002009-11-13T00:00:00-08:00E9-27259Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27259.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27257.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Clarify Specialist Obligations2009-11-13T00:00:00-08:002009-11-13T00:00:00-08:00E9-27257Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27257.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27256.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add 75 Classes to the Penny Pilot Program2009-11-13T00:00:00-08:002009-11-13T00:00:00-08:00E9-27256Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27256.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27255.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM2009-11-13T00:00:00-08:002009-11-13T00:00:00-08:00E9-27255Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27255.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27254.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 Services2009-11-13T00:00:00-08:002009-11-13T00:00:00-08:00E9-27254Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27254.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27253.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule2009-11-13T00:00:00-08:002009-11-13T00:00:00-08:00E9-27253Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27253.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27263.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook2009-11-12T00:00:00-08:002009-11-12T00:00:00-08:00E9-27263Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27263.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27258.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Preferred Market Makers2009-11-12T00:00:00-08:002009-11-12T00:00:00-08:00E9-27258Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27258.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27130.htmlNotice - FaithShares Trust, et al.; Notice of Application2009-11-12T00:00:00-08:002009-11-12T00:00:00-08:00E9-27130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27130.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27129.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Marketing Fee Program2009-11-12T00:00:00-08:002009-11-12T00:00:00-08:00E9-27129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27129.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27128.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Adopting NYSE Rule 49 To Provide the Exchange With the Authority To Declare an Emergency Condition With Respect to Trading on or Through the Systems and Facilities of the Exchange and To Transfer Trading of Exchange-Listed Securities to Its Corporate Affiliate, NYSE Arca, Inc.2009-11-12T00:00:00-08:002009-11-12T00:00:00-08:00E9-27128Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27128.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27127.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 2.100 To Provide the NYSE Arca With the Authority to Declare an Emergency Condition With Respect to Trading on or Through the Systems and Facilities of the NYSE Arca and Enable the NYSE Arca to Act as a Back-Up Trading Facility for Affiliated Exchanges Owned and Operated by NYSE Euronext2009-11-12T00:00:00-08:002009-11-12T00:00:00-08:00E9-27127Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27127.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27126.htmlRule - Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date2009-11-12T00:00:00-08:002009-11-12T00:00:00-08:00E9-27126Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27126.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27092.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program2009-11-12T00:00:00-08:002009-11-12T00:00:00-08:00E9-27092Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27092.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27091.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes to the Penny Pilot Program2009-11-12T00:00:00-08:002009-11-12T00:00:00-08:00E9-27091Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27091.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27090.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of the Boston Options Exchange Facility2009-11-12T00:00:00-08:002009-11-12T00:00:00-08:00E9-27090Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27090.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27088.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 Fees2009-11-12T00:00:00-08:002009-11-12T00:00:00-08:00E9-27088Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27088.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27087.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Related to Professional Orders2009-11-12T00:00:00-08:002009-11-12T00:00:00-08:00E9-27087Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27087.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/10/E9-26968.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.82-Lead Market Makers To Eliminate Obsolete Language and Clarify Rule Provisions2009-11-10T00:00:00-08:002009-11-10T00:00:00-08:00E9-26968Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-10/pdf/E9-26968.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/09/E9-27026.htmlNotice - Sunshine Act Meeting2009-11-09T00:00:00-08:002009-11-09T00:00:00-08:00E9-27026Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-27026.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26885.htmlNotice - Proposed Collection; Comment Request2009-11-09T00:00:00-08:002009-11-09T00:00:00-08:00E9-26885Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26885.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26884.htmlNotice - Proposed Collection; Comment Request2009-11-09T00:00:00-08:002009-11-09T00:00:00-08:00E9-26884Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26884.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26883.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program2009-11-09T00:00:00-08:002009-11-09T00:00:00-08:00E9-26883Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26883.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26882.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Exchange Rule 62 to Support Quoting and Trading in a Minimum Price Variation Below $.01 for Securities Traded on the Exchange for Orders or Interest Priced Below $1.00 Per Share2009-11-09T00:00:00-08:002009-11-09T00:00:00-08:00E9-26882Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26882.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26881.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Exchange Rule 62 To Support Quoting and Trading in a Minimum Price Variation Below $.01 for Securities Traded on the Exchange for Orders or Interest Priced Below $1.00 Per Share2009-11-09T00:00:00-08:002009-11-09T00:00:00-08:00E9-26881Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26881.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26880.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 Schedule2009-11-09T00:00:00-08:002009-11-09T00:00:00-08:00E9-26880Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26880.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26879.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 Members2009-11-09T00:00:00-08:002009-11-09T00:00:00-08:00E9-26879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26879.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26878.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Its Rebates Paid to Supplemental Liquidity Providers2009-11-09T00:00:00-08:002009-11-09T00:00:00-08:00E9-26878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26878.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26877.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Extend the Pilot Program in Relation to Certain of Its Continued Listing Standards2009-11-09T00:00:00-08:002009-11-09T00:00:00-08:00E9-26877Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26877.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26876.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Time at Which CBSX Opens for Trading From 8:15 a.m. Central Time to 8 a.m. Central Time2009-11-09T00:00:00-08:002009-11-09T00:00:00-08:00E9-26876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26876.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26896.htmlNotice - Minecore International, Inc.; Order of Suspension of Trading2009-11-06T00:00:00-08:002009-11-06T00:00:00-08:00E9-26896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26896.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26894.htmlNotice - Sunshine Act Meeting2009-11-06T00:00:00-08:002009-11-06T00:00:00-08:00E9-26894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26894.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26753.htmlNotice - Proposed Collection; Comment Request2009-11-06T00:00:00-08:002009-11-06T00:00:00-08:00E9-26753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26753.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26752.htmlNotice - Proposed Collection; Comment Request2009-11-06T00:00:00-08:002009-11-06T00:00:00-08:00E9-26752Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26752.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26751.htmlNotice - Proposed Collection; Comment Request2009-11-06T00:00:00-08:002009-11-06T00:00:00-08:00E9-26751Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26751.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26750.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex, LLC Amending Its Schedule of Fees and Charges for Exchange Services2009-11-06T00:00:00-08:002009-11-06T00:00:00-08:00E9-26750Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26750.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26749.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .04 to Rule 904C2009-11-06T00:00:00-08:002009-11-06T00:00:00-08:00E9-26749Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26749.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26748.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Opening of Trading on the NASDAQ Options Market2009-11-06T00:00:00-08:002009-11-06T00:00:00-08:00E9-26748Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26748.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/05/E9-26660.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402009-11-05T00:00:00-08:002009-11-05T00:00:00-08:00E9-26660Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-05/pdf/E9-26660.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/05/E9-26659.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Standard No. 7, Engagement Quality Review, and Conforming Amendment2009-11-05T00:00:00-08:002009-11-05T00:00:00-08:00E9-26659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-05/pdf/E9-26659.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/05/E9-26588.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Definition of “Narrow-Based Index”2009-11-05T00:00:00-08:002009-11-05T00:00:00-08:00E9-26588Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-05/pdf/E9-26588.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26721.htmlNotice - Sunshine Act Meeting2009-11-04T00:00:00-08:002009-11-04T00:00:00-08:00E9-26721Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26721.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26525.htmlRule - Staff Accounting Bulletin No. 1132009-11-04T00:00:00-08:002009-11-04T00:00:00-08:00E9-26525Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26525.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26514.htmlNotice - Submission for OMB Review; Comment Request2009-11-04T00:00:00-08:002009-11-04T00:00:00-08:00E9-26514Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26514.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26513.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Fees for Listing on the Nasdaq Stock Market and the Fee for Written Interpretations of Nasdaq Listing Rules2009-11-04T00:00:00-08:002009-11-04T00:00:00-08:00E9-26513Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26513.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26512.htmlNotice - MFS Government Markets Income Trust et al.; Notice of Application2009-11-04T00:00:00-08:002009-11-04T00:00:00-08:00E9-26512Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26512.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26511.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality2009-11-04T00:00:00-08:002009-11-04T00:00:00-08:00E9-26511Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26511.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26510.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality2009-11-04T00:00:00-08:002009-11-04T00:00:00-08:00E9-26510Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26510.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26509.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, LLC Related to Market Maker Guidelines2009-11-04T00:00:00-08:002009-11-04T00:00:00-08:00E9-26509Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26509.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26403.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Relating to $1 Strikes for KBW Bank Index Options (BKX)2009-11-03T00:00:00-08:002009-11-03T00:00:00-08:00E9-26403Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-03/pdf/E9-26403.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26360.htmlNotice - Self-Regulatory Organizations; the Depository Trust Company; Order Approving Proposed Rule Change Relating to Municipal Bonds Redemption Process2009-11-03T00:00:00-08:002009-11-03T00:00:00-08:00E9-26360Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-03/pdf/E9-26360.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26359.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 70 in Order To Update d-Quote Functionality and Provide for e-Quotes To Peg to the National Best Bid or Offer2009-11-03T00:00:00-08:002009-11-03T00:00:00-08:00E9-26359Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-03/pdf/E9-26359.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26358.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 70 in Order To Update d-Quote Functionality and Provide for e-Quotes To Peg to the National Best Bid or Offer2009-11-03T00:00:00-08:002009-11-03T00:00:00-08:00E9-26358Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-03/pdf/E9-26358.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26357.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of and Expand the Penny Pilot Program on the Boston Options Exchange Facility2009-11-03T00:00:00-08:002009-11-03T00:00:00-08:00E9-26357Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-03/pdf/E9-26357.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/02/E9-26255.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a 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 Exchange2009-11-02T00:00:00-08:002009-11-02T00:00:00-08:00E9-26255Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-02/pdf/E9-26255.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/02/E9-26254.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Rules 12100, 12506, and 12902 of the Code of Arbitration Procedure for Customer Disputes and Rule 13100 of the Code of Arbitration Procedure for Industry Disputes To Implement Conforming Changes2009-11-02T00:00:00-08:002009-11-02T00:00:00-08:00E9-26254Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-02/pdf/E9-26254.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/02/E9-26253.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Expansion and Extension of the Exchange's Penny Pilot Program2009-11-02T00:00:00-08:002009-11-02T00:00:00-08:00E9-26253Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-02/pdf/E9-26253.pdfhttps://regulations.justia.com/regulations/fedreg/2009/11/02/E9-26252.htmlNotice - Self-Regulatory Organizations; The NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Expansion and Extension of the Exchange's Penny Pilot Program2009-11-02T00:00:00-08:002009-11-02T00:00:00-08:00E9-26252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-11-02/pdf/E9-26252.pdf