<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/11?registers=between&min-day=1&max-day=30 Sun, 12 May 2024 04:42:00 -0700 Sun, 12 May 2024 04:42:00 -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/2009/11?registers=between&min-day=1&max-day=30 Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28639.html https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28639.html Mon, 30 Nov 2009 00:00:00 -0800 E9-28639 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28639.pdf Notice - Members Mutual Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28560.html https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28560.html Mon, 30 Nov 2009 00:00:00 -0800 E9-28560 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28560.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rules 5.17 and 6.8 https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28535.html https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28535.html Mon, 30 Nov 2009 00:00:00 -0800 E9-28535 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28535.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE AMEX LLC Amending Rules 904 and 904C https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28519.html https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28519.html Mon, 30 Nov 2009 00:00:00 -0800 E9-28519 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28519.pdf Notice - 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 Assessment https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28472.html https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28472.html Mon, 30 Nov 2009 00:00:00 -0800 E9-28472 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28472.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28471.html https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28471.html Mon, 30 Nov 2009 00:00:00 -0800 E9-28471 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28471.pdf Notice - 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% https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28470.html https://regulations.justia.com/regulations/fedreg/2009/11/30/E9-28470.html Mon, 30 Nov 2009 00:00:00 -0800 E9-28470 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-30/pdf/E9-28470.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28353.html https://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28353.html Fri, 27 Nov 2009 00:00:00 -0800 E9-28353 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-27/pdf/E9-28353.pdf Notice - Pioneer Floating Rate Trust and Pioneer High Income Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28352.html https://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28352.html Fri, 27 Nov 2009 00:00:00 -0800 E9-28352 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-27/pdf/E9-28352.pdf Notice - 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 LEAPS https://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28351.html https://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28351.html Fri, 27 Nov 2009 00:00:00 -0800 E9-28351 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-27/pdf/E9-28351.pdf Notice - 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, 2010 https://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28350.html https://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28350.html Fri, 27 Nov 2009 00:00:00 -0800 E9-28350 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-27/pdf/E9-28350.pdf Notice - 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 LEAPS https://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28349.html https://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28349.html Fri, 27 Nov 2009 00:00:00 -0800 E9-28349 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-27/pdf/E9-28349.pdf Notice - 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, 2010 https://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28348.html https://regulations.justia.com/regulations/fedreg/2009/11/27/E9-28348.html Fri, 27 Nov 2009 00:00:00 -0800 E9-28348 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-27/pdf/E9-28348.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Amendment to Board Rules Relating to Inspections https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28239.html https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28239.html Wed, 25 Nov 2009 00:00:00 -0800 E9-28239 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28239.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28228.html https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28228.html Wed, 25 Nov 2009 00:00:00 -0800 E9-28228 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28228.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28227.html https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28227.html Wed, 25 Nov 2009 00:00:00 -0800 E9-28227 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28227.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28226.html https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28226.html Wed, 25 Nov 2009 00:00:00 -0800 E9-28226 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28226.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28225.html https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28225.html Wed, 25 Nov 2009 00:00:00 -0800 E9-28225 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28225.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the FINRA Rule 9550 Series (Expedited Proceedings) https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28224.html https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28224.html Wed, 25 Nov 2009 00:00:00 -0800 E9-28224 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28224.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 7.25 https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28197.html https://regulations.justia.com/regulations/fedreg/2009/11/25/E9-28197.html Wed, 25 Nov 2009 00:00:00 -0800 E9-28197 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-25/pdf/E9-28197.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28196.html https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28196.html Tue, 24 Nov 2009 00:00:00 -0800 E9-28196 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28196.pdf Notice - 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 Act https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28164.html https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28164.html Tue, 24 Nov 2009 00:00:00 -0800 E9-28164 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28164.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of New Rule A-16, on Examination Fees https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28120.html https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28120.html Tue, 24 Nov 2009 00:00:00 -0800 E9-28120 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28120.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Amending Equities Rule 5.2(j)(3) https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28119.html https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28119.html Tue, 24 Nov 2009 00:00:00 -0800 E9-28119 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28119.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Regarding Listing and Trading of RP Short Duration ETF https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28118.html https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28118.html Tue, 24 Nov 2009 00:00:00 -0800 E9-28118 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28118.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28100.html https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28100.html Tue, 24 Nov 2009 00:00:00 -0800 E9-28100 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28100.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28099.html https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28099.html Tue, 24 Nov 2009 00:00:00 -0800 E9-28099 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28099.pdf Notice - 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, 2009 https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28098.html https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28098.html Tue, 24 Nov 2009 00:00:00 -0800 E9-28098 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28098.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Foreign Currency Options https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28096.html https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28096.html Tue, 24 Nov 2009 00:00:00 -0800 E9-28096 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28096.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28095.html https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28095.html Tue, 24 Nov 2009 00:00:00 -0800 E9-28095 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28095.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28094.html https://regulations.justia.com/regulations/fedreg/2009/11/24/E9-28094.html Tue, 24 Nov 2009 00:00:00 -0800 E9-28094 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-24/pdf/E9-28094.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28125.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28125.html Mon, 23 Nov 2009 00:00:00 -0800 E9-28125 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-28125.pdf Notice - 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 1934 https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28101.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28101.html Mon, 23 Nov 2009 00:00:00 -0800 E9-28101 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-28101.pdf Notice - 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 Collateral https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28023.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28023.html Mon, 23 Nov 2009 00:00:00 -0800 E9-28023 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-28023.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28000.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28000.html Mon, 23 Nov 2009 00:00:00 -0800 E9-28000 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-28000.pdf Notice - 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 Real https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27999.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27999.html Mon, 23 Nov 2009 00:00:00 -0800 E9-27999 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27999.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27998.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27998.html Mon, 23 Nov 2009 00:00:00 -0800 E9-27998 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27998.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27997.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27997.html Mon, 23 Nov 2009 00:00:00 -0800 E9-27997 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27997.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27994.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27994.html Mon, 23 Nov 2009 00:00:00 -0800 E9-27994 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27994.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27993.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27993.html Mon, 23 Nov 2009 00:00:00 -0800 E9-27993 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27993.pdf Proposed Rule - Regulation of Non-Public Trading Interest https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27951.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27951.html Mon, 23 Nov 2009 00:00:00 -0800 E9-27951 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27951.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27892.html https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27892.html Thu, 19 Nov 2009 00:00:00 -0800 E9-27892 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27892.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27749.html https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27749.html Thu, 19 Nov 2009 00:00:00 -0800 E9-27749 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27749.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27748.html https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27748.html Thu, 19 Nov 2009 00:00:00 -0800 E9-27748 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27748.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27747.html https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27747.html Thu, 19 Nov 2009 00:00:00 -0800 E9-27747 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27747.pdf Notice - 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 7039 https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27746.html https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27746.html Thu, 19 Nov 2009 00:00:00 -0800 E9-27746 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27746.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27745.html https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27745.html Thu, 19 Nov 2009 00:00:00 -0800 E9-27745 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27745.pdf Notice - 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 Firm https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27738.html https://regulations.justia.com/regulations/fedreg/2009/11/19/E9-27738.html Thu, 19 Nov 2009 00:00:00 -0800 E9-27738 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-19/pdf/E9-27738.pdf Notice - 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 Areas https://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27609.html https://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27609.html Wed, 18 Nov 2009 00:00:00 -0800 E9-27609 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-18/pdf/E9-27609.pdf Notice - 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 Areas https://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27608.html https://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27608.html Wed, 18 Nov 2009 00:00:00 -0800 E9-27608 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-18/pdf/E9-27608.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27607.html https://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27607.html Wed, 18 Nov 2009 00:00:00 -0800 E9-27607 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-18/pdf/E9-27607.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposal To Permit $1 Strikes for RMN Options https://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27606.html https://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27606.html Wed, 18 Nov 2009 00:00:00 -0800 E9-27606 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-18/pdf/E9-27606.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27604.html https://regulations.justia.com/regulations/fedreg/2009/11/18/E9-27604.html Wed, 18 Nov 2009 00:00:00 -0800 E9-27604 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-18/pdf/E9-27604.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27505.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27505.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27505 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27505.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Amend the $1 Strike Program To Allow Low-Strike LEAPS https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27504.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27504.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27504 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27504.pdf Notice - 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 15 https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27503.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27503.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27503 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27503.pdf Notice - 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 15 https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27502.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27502.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27502 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27502.pdf Notice - 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 Corporation https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27501.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27501.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27501 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27501.pdf Notice - 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 Corporation https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27500.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27500.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27500 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27500.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27499.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27499.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27499 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27499.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of ETFS Platinum Trust https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27495.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27495.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27495 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27495.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of ETFS Palladium Trust https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27494.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27494.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27494 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27494.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27470.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27470.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27470 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27470.pdf Notice - 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 Corporation https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27469.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27469.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27469 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27469.pdf Notice - 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. 1 https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27468.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27468.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27468 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27468.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Conduct of Business on the Exchange https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27467.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27467.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27467 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27467.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27466.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27466.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27466 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27466.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27465.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27465.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27465 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27465.pdf Notice - 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 Conditions https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27464.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27464.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27464 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27464.pdf Notice - 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 Execution https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27463.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27463.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27463 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27463.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/11/16/E9-27537.html https://regulations.justia.com/regulations/fedreg/2009/11/16/E9-27537.html Mon, 16 Nov 2009 00:00:00 -0800 E9-27537 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-16/pdf/E9-27537.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/11/16/E9-27443.html https://regulations.justia.com/regulations/fedreg/2009/11/16/E9-27443.html Mon, 16 Nov 2009 00:00:00 -0800 E9-27443 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-16/pdf/E9-27443.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27264.html https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27264.html Fri, 13 Nov 2009 00:00:00 -0800 E9-27264 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27264.pdf Notice - 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 Center https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27260.html https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27260.html Fri, 13 Nov 2009 00:00:00 -0800 E9-27260 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27260.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27259.html https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27259.html Fri, 13 Nov 2009 00:00:00 -0800 E9-27259 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27259.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Clarify Specialist Obligations https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27257.html https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27257.html Fri, 13 Nov 2009 00:00:00 -0800 E9-27257 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27257.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27256.html https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27256.html Fri, 13 Nov 2009 00:00:00 -0800 E9-27256 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27256.pdf Notice - 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 MatchPointSM https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27255.html https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27255.html Fri, 13 Nov 2009 00:00:00 -0800 E9-27255 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27255.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/2009/11/13/E9-27254.html https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27254.html Fri, 13 Nov 2009 00:00:00 -0800 E9-27254 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27254.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27253.html https://regulations.justia.com/regulations/fedreg/2009/11/13/E9-27253.html Fri, 13 Nov 2009 00:00:00 -0800 E9-27253 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-13/pdf/E9-27253.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27263.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27263.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27263 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27263.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Preferred Market Makers https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27258.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27258.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27258 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27258.pdf Notice - FaithShares Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27130.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27130.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27130 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27130.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Marketing Fee Program https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27129.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27129.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27129 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27129.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27128.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27128.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27128 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27128.pdf Notice - 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 Euronext https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27127.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27127.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27127 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27127.pdf Rule - Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27126.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27126.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27126 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27126.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27092.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27092.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27092 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27092.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27091.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27091.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27091 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27091.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27090.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27090.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27090 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27090.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27088.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27088.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27088 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27088.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Related to Professional Orders https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27087.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27087.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27087 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27087.pdf Notice - 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 Provisions https://regulations.justia.com/regulations/fedreg/2009/11/10/E9-26968.html https://regulations.justia.com/regulations/fedreg/2009/11/10/E9-26968.html Tue, 10 Nov 2009 00:00:00 -0800 E9-26968 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-10/pdf/E9-26968.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-27026.html https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-27026.html Mon, 09 Nov 2009 00:00:00 -0800 E9-27026 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-27026.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26885.html https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26885.html Mon, 09 Nov 2009 00:00:00 -0800 E9-26885 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26885.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26884.html https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26884.html Mon, 09 Nov 2009 00:00:00 -0800 E9-26884 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26884.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/2009/11/09/E9-26883.html https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26883.html Mon, 09 Nov 2009 00:00:00 -0800 E9-26883 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26883.pdf Notice - 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 Share https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26882.html https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26882.html Mon, 09 Nov 2009 00:00:00 -0800 E9-26882 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26882.pdf Notice - 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 Share https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26881.html https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26881.html Mon, 09 Nov 2009 00:00:00 -0800 E9-26881 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26881.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26880.html https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26880.html Mon, 09 Nov 2009 00:00:00 -0800 E9-26880 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26880.pdf Notice - 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 Members https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26879.html https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26879.html Mon, 09 Nov 2009 00:00:00 -0800 E9-26879 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26879.pdf Notice - 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 Providers https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26878.html https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26878.html Mon, 09 Nov 2009 00:00:00 -0800 E9-26878 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26878.pdf Notice - 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 Standards https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26877.html https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26877.html Mon, 09 Nov 2009 00:00:00 -0800 E9-26877 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26877.pdf Notice - 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 Time https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26876.html https://regulations.justia.com/regulations/fedreg/2009/11/09/E9-26876.html Mon, 09 Nov 2009 00:00:00 -0800 E9-26876 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-09/pdf/E9-26876.pdf Notice - Minecore International, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26896.html https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26896.html Fri, 06 Nov 2009 00:00:00 -0800 E9-26896 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26896.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26894.html https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26894.html Fri, 06 Nov 2009 00:00:00 -0800 E9-26894 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26894.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26753.html https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26753.html Fri, 06 Nov 2009 00:00:00 -0800 E9-26753 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26753.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26752.html https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26752.html Fri, 06 Nov 2009 00:00:00 -0800 E9-26752 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26752.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26751.html https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26751.html Fri, 06 Nov 2009 00:00:00 -0800 E9-26751 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26751.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26750.html https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26750.html Fri, 06 Nov 2009 00:00:00 -0800 E9-26750 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26750.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .04 to Rule 904C https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26749.html https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26749.html Fri, 06 Nov 2009 00:00:00 -0800 E9-26749 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26749.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26748.html https://regulations.justia.com/regulations/fedreg/2009/11/06/E9-26748.html Fri, 06 Nov 2009 00:00:00 -0800 E9-26748 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-06/pdf/E9-26748.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2009/11/05/E9-26660.html https://regulations.justia.com/regulations/fedreg/2009/11/05/E9-26660.html Thu, 05 Nov 2009 00:00:00 -0800 E9-26660 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-05/pdf/E9-26660.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Standard No. 7, Engagement Quality Review, and Conforming Amendment https://regulations.justia.com/regulations/fedreg/2009/11/05/E9-26659.html https://regulations.justia.com/regulations/fedreg/2009/11/05/E9-26659.html Thu, 05 Nov 2009 00:00:00 -0800 E9-26659 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-05/pdf/E9-26659.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2009/11/05/E9-26588.html https://regulations.justia.com/regulations/fedreg/2009/11/05/E9-26588.html Thu, 05 Nov 2009 00:00:00 -0800 E9-26588 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-05/pdf/E9-26588.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26721.html https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26721.html Wed, 04 Nov 2009 00:00:00 -0800 E9-26721 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26721.pdf Rule - Staff Accounting Bulletin No. 113 https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26525.html https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26525.html Wed, 04 Nov 2009 00:00:00 -0800 E9-26525 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26525.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26514.html https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26514.html Wed, 04 Nov 2009 00:00:00 -0800 E9-26514 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26514.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26513.html https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26513.html Wed, 04 Nov 2009 00:00:00 -0800 E9-26513 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26513.pdf Notice - MFS Government Markets Income Trust et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26512.html https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26512.html Wed, 04 Nov 2009 00:00:00 -0800 E9-26512 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26512.pdf Notice - 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 Functionality https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26511.html https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26511.html Wed, 04 Nov 2009 00:00:00 -0800 E9-26511 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26511.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26510.html https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26510.html Wed, 04 Nov 2009 00:00:00 -0800 E9-26510 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26510.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, LLC Related to Market Maker Guidelines https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26509.html https://regulations.justia.com/regulations/fedreg/2009/11/04/E9-26509.html Wed, 04 Nov 2009 00:00:00 -0800 E9-26509 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-04/pdf/E9-26509.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26403.html https://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26403.html Tue, 03 Nov 2009 00:00:00 -0800 E9-26403 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-03/pdf/E9-26403.pdf Notice - Self-Regulatory Organizations; the Depository Trust Company; Order Approving Proposed Rule Change Relating to Municipal Bonds Redemption Process https://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26360.html https://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26360.html Tue, 03 Nov 2009 00:00:00 -0800 E9-26360 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-03/pdf/E9-26360.pdf Notice - 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 Offer https://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26359.html https://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26359.html Tue, 03 Nov 2009 00:00:00 -0800 E9-26359 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-03/pdf/E9-26359.pdf Notice - 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 Offer https://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26358.html https://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26358.html Tue, 03 Nov 2009 00:00:00 -0800 E9-26358 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-03/pdf/E9-26358.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26357.html https://regulations.justia.com/regulations/fedreg/2009/11/03/E9-26357.html Tue, 03 Nov 2009 00:00:00 -0800 E9-26357 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-03/pdf/E9-26357.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2009/11/02/E9-26255.html https://regulations.justia.com/regulations/fedreg/2009/11/02/E9-26255.html Mon, 02 Nov 2009 00:00:00 -0800 E9-26255 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-02/pdf/E9-26255.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2009/11/02/E9-26254.html https://regulations.justia.com/regulations/fedreg/2009/11/02/E9-26254.html Mon, 02 Nov 2009 00:00:00 -0800 E9-26254 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-02/pdf/E9-26254.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/11/02/E9-26253.html https://regulations.justia.com/regulations/fedreg/2009/11/02/E9-26253.html Mon, 02 Nov 2009 00:00:00 -0800 E9-26253 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-02/pdf/E9-26253.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/11/02/E9-26252.html https://regulations.justia.com/regulations/fedreg/2009/11/02/E9-26252.html Mon, 02 Nov 2009 00:00:00 -0800 E9-26252 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-02/pdf/E9-26252.pdf