Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009?limit=200®isters=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom2024-04-23T10:02:58-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-31076.htmlNotice - Sunshine Act Meeting Notice2009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-31076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-31076.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30948.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Proposing To Amend Section 703.22 of the Listed Company Manual2009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30948Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30948.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30928.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Increasing the Session Fee for the Regulatory Element of Continuing Education Requirements2009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30928Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30928.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30927.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving the Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Rule 123C To Modify the Procedures for Its Closing Process and Making Conforming Changes to NYSE Rules 13 and 152009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30927Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30927.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30926.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Fee Schedule of the Boston Options Exchange Facility2009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30926Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30926.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30925.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business2009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30925Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30925.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30919.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing of Grail McDonnell Fixed Income ETFs2009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30919Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30919.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30917.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To List and Trade Options on the ETFS Gold Trust and the ETFS Silver Trust2009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30917Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30917.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30916.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Commentary .10 to Rule 915 and Commentary .11 to Rule 9162009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30916Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30916.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30915.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 5.32009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30915Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30915.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30914.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IM-2110-7 To Reflect Changes to Corresponding FINRA Rule2009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30914Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30914.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30913.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Hearing Location Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes December 22, 2009.2009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30913Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30913.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30912.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Rules Relating to Conduct of Business on the Exchange2009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30912Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30912.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30911.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Rule 11 Governing Round Lots, Odd Lots and Mixed Lots.2009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30911Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30911.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30877.htmlRule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients2009-12-30T00:00:00-08:002009-12-30T00:00:00-08:00E9-30877Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30877.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30943.htmlNotice - In the Matter of: GH3 International, Inc.; Order of Suspension of Trading2009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30943Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30943.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30791.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC Relating to Conforming ISE Rule 622 With Comparable NASD Rule 118702009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30791Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30791.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30790.htmlNotice - Consolidated Tape Association; Order Approving the Thirteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Seventh Charges Amendment to the Restated Consolidated Quotation Plan2009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30790Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30790.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30789.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading Shares of the ETFS Platinum Trust2009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30789Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30789.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30788.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule2009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30788Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30788.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30787.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating To Listing and Trading Shares of the ETFS Palladium Trust2009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30787Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30787.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30786.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding National Securities Clearing Corporation's Board of Directors Election Process and Delegation Authority2009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30786Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30786.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30785.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding Fixed Income Clearing Corporation's Board of Directors Election Process and Delegation Authority2009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30785Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30785.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30784.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook2009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30784Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30784.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30783.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding the Depository Trust Company's Board of Directors Election Process2009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30783Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30783.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30782.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IM-1002-1 To Reflect Changes to a Corresponding FINRA Rule2009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30782Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30782.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30781.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of the Proposed Rule Change, as Modified by Amendment No. 1, Related to Professional Orders2009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30781Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30781.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30780.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31 To Establish the “Market To Limit” Order Type2009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30780Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30780.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30726.htmlNotice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20102009-12-29T00:00:00-08:002009-12-29T00:00:00-08:00E9-30726Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30726.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30616.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program That Offers Liquidity Takers a Reduced Transaction Fee Structure for Certain Bond Trades Executed on the NYSE Bonds System and Retiring the Liquidity Provider Credit Pilot Program2009-12-28T00:00:00-08:002009-12-28T00:00:00-08:00E9-30616Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30616.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30600.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Certain Provisions of the Options Listing Procedures Plan Into Phlx's Rules2009-12-28T00:00:00-08:002009-12-28T00:00:00-08:00E9-30600Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30600.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30599.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IM-1002-1 To Reflect Changes to a Corresponding FINRA Rule2009-12-28T00:00:00-08:002009-12-28T00:00:00-08:00E9-30599Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30599.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30598.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Certain Provisions of the Options Listing Procedures Plan Into the Exchange's Rules2009-12-28T00:00:00-08:002009-12-28T00:00:00-08:00E9-30598Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30598.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30597.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed FINRA Rule 6490 (Processing of Company-Related Actions), To Clarify the Scope of FINRA's Authority When Processing Documents Related to Announcements for Company-Related Actions for Non-Exchange Listed Securities and To Implement Fees for Such Services2009-12-28T00:00:00-08:002009-12-28T00:00:00-08:00E9-30597Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30597.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30596.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Relating to the Designation of NYSE Arca, Inc., as the NYSE's Alternative Trading Facility in an Emergency2009-12-28T00:00:00-08:002009-12-28T00:00:00-08:00E9-30596Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30596.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30595.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 1160 to Reflect the Availability of the FINRA Contact System to NASDAQ OMX BX Members That Are Not Also Members of FINRA2009-12-28T00:00:00-08:002009-12-28T00:00:00-08:00E9-30595Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30595.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30589.htmlProposed Rule - Revisions To Rule 1632009-12-28T00:00:00-08:002009-12-28T00:00:00-08:00E9-30589Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30589.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30601.htmlNotice - Sunshine Act Meeting Notice2009-12-24T00:00:00-08:002009-12-24T00:00:00-08:00E9-30601Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30601.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30546.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402009-12-24T00:00:00-08:002009-12-24T00:00:00-08:00E9-30546Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30546.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30545.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Establish a Pilot Program To Modify FLEX Exercise Settlement Values and Minimum Value Sizes2009-12-24T00:00:00-08:002009-12-24T00:00:00-08:00E9-30545Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30545.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30544.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Rules 312- and 321-NYSE Amex Equities and Adopt New Rules 2262- and 2269-NYSE Amex Equities Filed by the Financial Industry Regulatory Authority, Inc.2009-12-24T00:00:00-08:002009-12-24T00:00:00-08:00E9-30544Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30544.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30543.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Relating to the Designation of NYSE Arca, Inc., as the NYSE's Alternative Trading Facility in an Emergency2009-12-24T00:00:00-08:002009-12-24T00:00:00-08:00E9-30543Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30543.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30542.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rules 312 and 321 and Adopt New Rules 2262 and 2269 Filed by the Financial Industry Regulatory Authority, Inc.2009-12-24T00:00:00-08:002009-12-24T00:00:00-08:00E9-30542Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30542.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30541.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Treasury Futures Traded by ELX Futures LP2009-12-24T00:00:00-08:002009-12-24T00:00:00-08:00E9-30541Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30541.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30432.htmlNotice - Submission for OMB Review; Comment Request2009-12-23T00:00:00-08:002009-12-23T00:00:00-08:00E9-30432Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30432.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30431.htmlNotice - Proposed Collection; Comment Request2009-12-23T00:00:00-08:002009-12-23T00:00:00-08:00E9-30431Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30431.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30430.htmlNotice - Submission for OMB Review; Comment Request2009-12-23T00:00:00-08:002009-12-23T00:00:00-08:00E9-30430Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30430.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30429.htmlNotice - Cash Account Trust, et al.;2009-12-23T00:00:00-08:002009-12-23T00:00:00-08:00E9-30429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30429.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30428.htmlNotice - Investools Inc., et al.;2009-12-23T00:00:00-08:002009-12-23T00:00:00-08:00E9-30428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30428.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30426.htmlNotice - Order Granting Application for Extension of a Temporary Conditional Exemption Pursuant to Section 36(a) of the Exchange Act by the International Securities Exchange, LLC Relating to the Ownership Interest of International Securities Exchange Holdings, Inc. in an Electronic Communications Network2009-12-23T00:00:00-08:002009-12-23T00:00:00-08:00E9-30426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30426.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30425.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Modifying the Definition of Cross and Cross With Size Order Types2009-12-23T00:00:00-08:002009-12-23T00:00:00-08:00E9-30425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30425.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30422.htmlNotice - Self-Regulatory Organizations; One Chicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, Changing Its Listing Standards in Conformance With Amended Joint Order2009-12-23T00:00:00-08:002009-12-23T00:00:00-08:00E9-30422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30422.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30327.htmlRule - Proxy Disclosure Enhancements2009-12-23T00:00:00-08:002009-12-23T00:00:00-08:00E9-30327Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30327.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/22/E9-30338.htmlNotice - Submission for OMB Review; Comment Request2009-12-22T00:00:00-08:002009-12-22T00:00:00-08:00E9-30338Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-22/pdf/E9-30338.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/22/E9-30337.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BOX Trading Rules Chapters III and XIV2009-12-22T00:00:00-08:002009-12-22T00:00:00-08:00E9-30337Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-22/pdf/E9-30337.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/22/E9-30336.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating To Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook2009-12-22T00:00:00-08:002009-12-22T00:00:00-08:00E9-30336Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-22/pdf/E9-30336.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/22/E9-30335.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook2009-12-22T00:00:00-08:002009-12-22T00:00:00-08:00E9-30335Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-22/pdf/E9-30335.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30427.htmlNotice - Sunshine Act Meeting Notice2009-12-21T00:00:00-08:002009-12-21T00:00:00-08:00E9-30427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30427.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30359.htmlNotice - In the Matter of American Sports Development Group, Inc., Cybernet Internet Services International, Inc., Cyper Media, Inc., Frisby Technologies, Inc., Graphco Holdings Corp., Investors Insurance Group, Inc., ITC Learning Corp., and Speizman Industries, Inc.; Order of Suspension of Trading2009-12-21T00:00:00-08:002009-12-21T00:00:00-08:00E9-30359Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30359.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30354.htmlNotice - In the Matter of Placer Gold Corp. f\k\a Arctic Oil and Gas Corp.; Order of Suspension of Trading2009-12-21T00:00:00-08:002009-12-21T00:00:00-08:00E9-30354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30354.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30351.htmlNotice - In the Matter of Somatic Systems, Inc.; Order of Suspension of Trading2009-12-21T00:00:00-08:002009-12-21T00:00:00-08:00E9-30351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30351.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30243.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change Regarding Listing and Trading of RP Short Duration ETF2009-12-21T00:00:00-08:002009-12-21T00:00:00-08:00E9-30243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30243.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30242.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 352 and Adopting New Rule 2150 To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2009-12-21T00:00:00-08:002009-12-21T00:00:00-08:00E9-30242Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30242.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30241.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Rule 352 and Adopting New Rule 2150-NYSE Amex Equities To Correspond With Rule Changes Filed by the Financial Industry Regulatory Authority, Inc.2009-12-21T00:00:00-08:002009-12-21T00:00:00-08:00E9-30241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30241.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30240.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Reporting Requirements on the Alternative Display Facility2009-12-21T00:00:00-08:002009-12-21T00:00:00-08:00E9-30240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30240.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30185.htmlRule - Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities2009-12-21T00:00:00-08:002009-12-21T00:00:00-08:00E9-30185Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30185.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30087.htmlNotice - Order Extending and Modifying Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request of Chicago Mercantile Exchange Inc. Related to Central Clearing of Credit Default Swaps, and Request for Comments2009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30087Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30087.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30086.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Waiver and Credit of Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees2009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30086Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30086.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30085.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Revising Its Telephone Policies2009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30085Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30085.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30084.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of Amendments to Rule G-37 (Political Contributions and Prohibitions on Municipal Securities Business) and Rule G-8 (Books and Records To Be Made by Brokers, Dealers and Municipal Securities Dealers)2009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30084Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30084.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30083.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Registered Representative Fee and an Options Regulatory Fee2009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30083Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30083.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30081.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Dividend Index Options2009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30081.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30080.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Changes in NYSE Realtime Reference Prices Service2009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30080.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30079.htmlNotice - Self-Regulatory Organizations; NYSE Amex, Inc.; Notice of Filing of Proposed Rule Change To Establish the NYSE Amex Realtime Reference Prices Service2009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30079Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30079.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30078.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Modifying the NYSE Arca Realtime Reference Prices Service2009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30078.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30077.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Regarding Authority Over C2 Options Exchange, Incorporated2009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30077Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30077.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30076.htmlProposed Rule - Facilitating Shareholder Director Nominations2009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30076Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30076.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30064.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Add Commentary .01 to Rule 934.3NY2009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30064Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30064.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30063.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Add Commentary .01 to Rule 6.472009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30063Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30063.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30062.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 1160 To Reflect the Availability of the FINRA Contact System to Nasdaq Members That Are Not Also Members of FINRA2009-12-18T00:00:00-08:002009-12-18T00:00:00-08:00E9-30062Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30062.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/17/E9-29969.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change Relating to Collection of Exchange Fees2009-12-17T00:00:00-08:002009-12-17T00:00:00-08:00E9-29969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-17/pdf/E9-29969.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/17/E9-29968.htmlNotice - Submission for OMB Review; Comment Request2009-12-17T00:00:00-08:002009-12-17T00:00:00-08:00E9-29968Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-17/pdf/E9-29968.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/16/E9-29877.htmlNotice - In the Matter of the Application of C2 Options Exchange, Incorporated for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission2009-12-16T00:00:00-08:002009-12-16T00:00:00-08:00E9-29877Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-16/pdf/E9-29877.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/16/E9-29840.htmlNotice - Approval of Investment Adviser Registration Depository Filing Fees2009-12-16T00:00:00-08:002009-12-16T00:00:00-08:00E9-29840Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-16/pdf/E9-29840.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/16/E9-29830.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Options Regulatory Fee2009-12-16T00:00:00-08:002009-12-16T00:00:00-08:00E9-29830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-16/pdf/E9-29830.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/16/E9-29826.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade S&P 500 Dividend Index Options2009-12-16T00:00:00-08:002009-12-16T00:00:00-08:00E9-29826Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-16/pdf/E9-29826.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29796.htmlNotice - Sunshine Act Meeting2009-12-14T00:00:00-08:002009-12-14T00:00:00-08:00E9-29796Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29796.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29718.htmlNotice - Sunshine Act Meeting2009-12-14T00:00:00-08:002009-12-14T00:00:00-08:00E9-29718Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29718.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29649.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2330 and IM-2330 To Reflect Changes to Corresponding FINRA Rule2009-12-14T00:00:00-08:002009-12-14T00:00:00-08:00E9-29649Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29649.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29648.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2330 and IM-2330 To Reflect Changes to Corresponding FINRA Rule2009-12-14T00:00:00-08:002009-12-14T00:00:00-08:00E9-29648Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29648.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29647.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2009-12-14T00:00:00-08:002009-12-14T00:00:00-08:00E9-29647Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29647.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29633.htmlNotice - Proposed Collection; Comment Request2009-12-14T00:00:00-08:002009-12-14T00:00:00-08:00E9-29633Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29633.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29632.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exclude Early Closing Days From Certain ADV Calculations2009-12-14T00:00:00-08:002009-12-14T00:00:00-08:00E9-29632Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29632.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29631.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1600 To More Fully Incorporate Away Market Contra Side Liquidity in the Execution of New York Block Exchange Orders2009-12-14T00:00:00-08:002009-12-14T00:00:00-08:00E9-29631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29631.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29630.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Suspend Certain Provisions of NYSE Rules 116 and 123C Relating to the Requirement That the Closing Transaction Be Reported to the Consolidated Tape as a Single Transaction2009-12-14T00:00:00-08:002009-12-14T00:00:00-08:00E9-29630Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29630.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29629.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter XI (Communications With Public Customers)2009-12-14T00:00:00-08:002009-12-14T00:00:00-08:00E9-29629Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29629.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29628.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the CBSX Market Data Infrastructure Fee2009-12-14T00:00:00-08:002009-12-14T00:00:00-08:00E9-29628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29628.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/11/E9-29526.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt FINRA Rule 2330 (Members' Responsibilities Regarding Deferred Variable Annuities) in the Consolidated FINRA Rulebook2009-12-11T00:00:00-08:002009-12-11T00:00:00-08:00E9-29526Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-11/pdf/E9-29526.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/11/E9-29524.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook2009-12-11T00:00:00-08:002009-12-11T00:00:00-08:00E9-29524Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-11/pdf/E9-29524.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/11/E9-29523.htmlNotice - Madison Asset Management, LLC, et al.; Notice of Application2009-12-11T00:00:00-08:002009-12-11T00:00:00-08:00E9-29523Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-11/pdf/E9-29523.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29423.htmlNotice - Order Extending and Modifying Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request From ICE Trust U.S. LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments2009-12-10T00:00:00-08:002009-12-10T00:00:00-08:00E9-29423Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29423.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29422.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Dividend, Merger and Short Stock Interest Strategies2009-12-10T00:00:00-08:002009-12-10T00:00:00-08:00E9-29422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29422.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29421.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Several Market Data Products2009-12-10T00:00:00-08:002009-12-10T00:00:00-08:00E9-29421Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29421.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29420.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of (i) Amendments to Rule G-8 (Books and Records To Be Made by Brokers, Dealers and Municipal Securities Dealers), Rule G-9 (Preservation of Records), and Rule G-11 (New Issue Syndicate Practices); (ii) a Proposed Interpretation of Rule G-17 (Conduct of Municipal Securities Activities); and (iii) the Deletion of a Previous Rule G-17 Interpretive Notice2009-12-10T00:00:00-08:002009-12-10T00:00:00-08:00E9-29420Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29420.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29393.htmlNotice - Proposed Collection; Comment Request2009-12-10T00:00:00-08:002009-12-10T00:00:00-08:00E9-29393Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29393.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29392.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Relating to the Listing Fee and Annual Fee Applicable to Derivative Securities Products2009-12-10T00:00:00-08:002009-12-10T00:00:00-08:00E9-29392Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29392.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29391.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 Increase Transaction Rebates to $.0024 per Share and Implement a 50% Market Data Rebate for Displayed Order Delivery Orders of Certain ETP Holders, and To Adopt a New Rule 16.4 That Would Use “Liquidity Adding ADV” To Determine the Volume Eligibility for all Rebate Tiers in Order Delivery2009-12-10T00:00:00-08:002009-12-10T00:00:00-08:00E9-29391Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29391.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29390.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA2009-12-10T00:00:00-08:002009-12-10T00:00:00-08:00E9-29390Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29390.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29389.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References Within Certain FINRA Rules2009-12-09T00:00:00-08:002009-12-09T00:00:00-08:00E9-29389Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29389.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29388.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the $1 Strike Program To Allow Low-Strike LEAPS2009-12-09T00:00:00-08:002009-12-09T00:00:00-08:00E9-29388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29388.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29338.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt NASD Interpretive Material 2210-2 Into the Consolidated Rulebook as FINRA Rule 22112009-12-09T00:00:00-08:002009-12-09T00:00:00-08:00E9-29338Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29338.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29321.htmlNotice - PNC Bank, National Association; Notice of Application2009-12-09T00:00:00-08:002009-12-09T00:00:00-08:00E9-29321Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29321.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29302.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Through December 31, 20102009-12-09T00:00:00-08:002009-12-09T00:00:00-08:00E9-29302Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29302.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29241.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 Schedule2009-12-09T00:00:00-08:002009-12-09T00:00:00-08:00E9-29241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29241.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29240.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 Members2009-12-09T00:00:00-08:002009-12-09T00:00:00-08:00E9-29240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29240.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29204.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding the Obligations of Streaming Quote Traders2009-12-08T00:00:00-08:002009-12-08T00:00:00-08:00E9-29204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29204.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29203.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish Rules Governing the Trading of Options on the BATS Options Exchange2009-12-08T00:00:00-08:002009-12-08T00:00:00-08:00E9-29203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29203.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29141.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Its Listing Fees for Structured Products2009-12-08T00:00:00-08:002009-12-08T00:00:00-08:00E9-29141Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29141.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29140.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 Market2009-12-08T00:00:00-08:002009-12-08T00:00:00-08:00E9-29140Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29140.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29139.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 Fees2009-12-08T00:00:00-08:002009-12-08T00:00:00-08:00E9-29139Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29139.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29138.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Warrant Initial Listing Standard To Exempt From the Minimum Holders Requirement Any Series of Warrants That Is Listed in Connection With the Initial Firm Commitment Underwritten Public Offering of Such Warrants2009-12-08T00:00:00-08:002009-12-08T00:00:00-08:00E9-29138Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29138.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29137.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Market Data Fees2009-12-08T00:00:00-08:002009-12-08T00:00:00-08:00E9-29137Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29137.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29136.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule in Connection With the New Linkage Plan2009-12-08T00:00:00-08:002009-12-08T00:00:00-08:00E9-29136Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29136.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29132.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Move the Canadian Depository for Securities to Risk-Based Margining2009-12-08T00:00:00-08:002009-12-08T00:00:00-08:00E9-29132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29132.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29131.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 2 To Adopt FINRA Rule 2380 To Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions2009-12-08T00:00:00-08:002009-12-08T00:00:00-08:00E9-29131Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29131.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29130.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook2009-12-08T00:00:00-08:002009-12-08T00:00:00-08:00E9-29130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29130.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29129.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Nasdaq Rule 4000 and 5000 Series To Correct Certain Citations to Renumbered Rules2009-12-08T00:00:00-08:002009-12-08T00:00:00-08:00E9-29129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29129.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29135.htmlNotice - Sunshine Act Meeting2009-12-07T00:00:00-08:002009-12-07T00:00:00-08:00E9-29135Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29135.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29046.htmlNotice - Proposed Collection; Comment Request2009-12-07T00:00:00-08:002009-12-07T00:00:00-08:00E9-29046Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29046.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29045.htmlNotice - Proposed Extension of Collection; Comment Request2009-12-07T00:00:00-08:002009-12-07T00:00:00-08:00E9-29045Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29045.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29044.htmlNotice - Submission for OMB Review; Comment Request2009-12-07T00:00:00-08:002009-12-07T00:00:00-08:00E9-29044Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29044.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29043.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to FINRA's Rules Governing Clearly Erroneous Executions2009-12-07T00:00:00-08:002009-12-07T00:00:00-08:00E9-29043Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29043.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29042.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change to Allow Members To Deposit Customer Fully Paid or Excess Margin Securities to the Extent Permitted by No-Action Relief or Interpretive Guidance From the Commission or Interpretive Guidance From a Self-Regulatory Organization2009-12-07T00:00:00-08:002009-12-07T00:00:00-08:00E9-29042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29042.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29041.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Definition of Material Changes in Business Operations Found in the Membership Rules and to Make a Technical Correction2009-12-07T00:00:00-08:002009-12-07T00:00:00-08:00E9-29041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29041.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29040.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operation of its Supplemental Liquidity Providers Pilot, Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or March 30, 20102009-12-07T00:00:00-08:002009-12-07T00:00:00-08:00E9-29040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29040.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29039.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Definition of Material Changes in Business Operations Found in the Membership Rules and To Make a Technical Correction2009-12-07T00:00:00-08:002009-12-07T00:00:00-08:00E9-29039Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29039.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29038.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Appoving Proposed Rule Change To Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook2009-12-07T00:00:00-08:002009-12-07T00:00:00-08:00E9-29038Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29038.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29037.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASDAQ's Portal Reference Database2009-12-07T00:00:00-08:002009-12-07T00:00:00-08:00E9-29037Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29037.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28999.htmlNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 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 Offer2009-12-07T00:00:00-08:002009-12-07T00:00:00-08:00E9-28999Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-28999.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28998.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 70 in Order To Update d-Quote Functionality and Provide for e-Quotes To Peg to the National Best Bid or Offer2009-12-07T00:00:00-08:002009-12-07T00:00:00-08:00E9-28998Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-28998.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/04/Z9-27998.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 Requirements2009-12-04T00:00:00-08:002009-12-04T00:00:00-08:00Z9-27998Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-04/pdf/Z9-27998.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28977.htmlNotice - Strategic Funds, Inc., et al.; Notice of Application2009-12-04T00:00:00-08:002009-12-04T00:00:00-08:00E9-28977Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-04/pdf/E9-28977.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28891.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Stock-Option Orders2009-12-04T00:00:00-08:002009-12-04T00:00:00-08:00E9-28891Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-04/pdf/E9-28891.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28890.htmlNotice - 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 Requirements2009-12-04T00:00:00-08:002009-12-04T00:00:00-08:00E9-28890Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-04/pdf/E9-28890.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28497.htmlProposed Rule - Proposed Rules for Nationally Recognized Statistical Rating Organizations2009-12-04T00:00:00-08:002009-12-04T00:00:00-08:00E9-28497Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-04/pdf/E9-28497.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28496.htmlRule - Amendments to Rules for Nationally Recognized Statistical Rating Organizations2009-12-04T00:00:00-08:002009-12-04T00:00:00-08:00E9-28496Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-04/pdf/E9-28496.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/02/E9-28741.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Deficient Claims Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes2009-12-02T00:00:00-08:002009-12-02T00:00:00-08:00E9-28741Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-02/pdf/E9-28741.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/02/E9-28740.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Tied Hedge Transactions2009-12-02T00:00:00-08:002009-12-02T00:00:00-08:00E9-28740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-02/pdf/E9-28740.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28813.htmlNotice - Sunshine Act Meeting2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28813Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28813.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28691.htmlNotice - Proposed Collection; Comment Request2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28691Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28691.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28690.htmlNotice - Proposed Collection; Comment Request2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28690Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28690.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28689.htmlNotice - Proposed Collection; Comment Request2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28689Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28689.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28688.htmlNotice - Proposed Collection; Comment Request2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28688Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28688.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28687.htmlNotice - Proposed Collection; Comment Request2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28687Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28687.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28686.htmlNotice - Proposed Collection; Comment Request2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28686Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28686.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28685.htmlNotice - Proposed Collection; Comment Request2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28685Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28685.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28684.htmlNotice - Proposed Collection; Comment Request2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28684Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28684.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28683.htmlNotice - Proposed Collection; Comment Request2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28683.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28682.htmlNotice - Proposed Collection; Comment Request2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28682Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28682.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28680.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Partial Approval of a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, Expanding the Penny Pilot Program2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28680Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28680.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28679.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28679Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28679.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28678.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing the Exchange's Directed Order Process on the Boston Options Exchange2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28678Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28678.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28618.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Postponement Fee and Hearing Session Fee Rules of the Code of Arbitration Procedure for Customer and Industry Disputes2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28618Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28618.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28617.htmlNotice - Self Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Change by Chicago Stock Exchange, Inc. to Its Bylaws and Those of Its Parent Corporation, CHX Holdings, Inc.2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28617Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28617.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28616.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Rescinding NYSE Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28616Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28616.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28615.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Rescinding Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28615Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28615.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28614.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Sample Broker Letters Set Forth In Rule 4512009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28614Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28614.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28613.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Appoving Proposed Rule Change To Adopt NASD Rules 2360 and 2361 Into the Consolidated Rulebook as FINRA Rules 2130 and 22702009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-28613Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28613.pdfhttps://regulations.justia.com/regulations/fedreg/2009/12/01/E9-27882.htmlRule - Final Model Privacy Form Under the Gramm-Leach-Bliley Act2009-12-01T00:00:00-08:002009-12-01T00:00:00-08:00E9-27882Rulehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-27882.pdfhttps://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.pdf