Securities and Exchange Commission December 4, 2009 – Federal Register Recent Federal Regulation Documents

Results 1 - 6 of 6
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
Document Number: Z9-27998
Type: Notice
Date: 2009-12-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/12/04/Z9-27998.html
Strategic Funds, Inc., et al.; Notice of Application
Document Number: E9-28977
Type: Notice
Date: 2009-12-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28977.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Stock-Option Orders
Document Number: E9-28891
Type: Notice
Date: 2009-12-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28891.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change as Modified by Amendment No. 1 To Amend Certain Corporate Governance Requirements
Document Number: E9-28890
Type: Notice
Date: 2009-12-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28890.html
Proposed Rules for Nationally Recognized Statistical Rating Organizations
Document Number: E9-28497
Type: Proposed Rule
Date: 2009-12-04
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is proposing rule amendments and a new rule that would impose additional requirements on nationally recognized statistical rating organizations (``NRSROs''). The proposed amendments and rule would require an NRSRO: to furnish a new annual report describing the steps taken by the firm's designated compliance officer during the fiscal year with respect to compliance reviews, identifications of material compliance matters, remediation measures
https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28497.html
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Document Number: E9-28496
Type: Rule
Date: 2009-12-04
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is adopting rule amendments that impose additional disclosure and conflict of interest requirements on nationally recognized statistical rating organizations (``NRSROs'') in
https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28496.html
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