<![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 Thu, 23 May 2024 04:11:15 -0700 Thu, 23 May 2024 04:11:15 -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