<![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?registers=between&min-day=1&min-month=1&max-day=31&max-month=12 Sat, 27 Apr 2024 13:29:10 -0700 Sat, 27 Apr 2024 13:29:10 -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?registers=between&min-day=1&min-month=1&max-day=31&max-month=12 Notice - Sunshine Act Meeting Notice https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-31076.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-31076.html Wed, 30 Dec 2009 00:00:00 -0800 E9-31076 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-31076.pdf Notice - 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 Manual https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30948.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30948.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30948 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30948.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30928.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30928.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30928 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30928.pdf Notice - 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 15 https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30927.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30927.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30927 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30927.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30926.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30926.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30926 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30926.pdf Notice - 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 Business https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30925.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30925.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30925 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30925.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing of Grail McDonnell Fixed Income ETFs https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30919.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30919.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30919 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30919.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30917.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30917.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30917 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30917.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Commentary .10 to Rule 915 and Commentary .11 to Rule 916 https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30916.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30916.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30916 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30916.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 5.3 https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30915.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30915.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30915 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30915.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30914.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30914.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30914 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30914.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30913.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30913.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30913 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30913.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30912.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30912.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30912 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30912.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30911.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30911.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30911 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30911.pdf Rule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30877.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30877.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30877 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30877.pdf Notice - In the Matter of: GH3 International, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30943.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30943.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30943 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30943.pdf Notice - 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 11870 https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30791.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30791.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30791 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30791.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30790.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30790.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30790 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30790.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading Shares of the ETFS Platinum Trust https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30789.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30789.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30789 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30789.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30788.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30788.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30788 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30788.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating To Listing and Trading Shares of the ETFS Palladium Trust https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30787.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30787.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30787 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30787.pdf Notice - 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 Authority https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30786.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30786.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30786 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30786.pdf Notice - 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 Authority https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30785.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30785.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30785 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30785.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30784.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30784.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30784 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30784.pdf Notice - 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 Process https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30783.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30783.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30783 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30783.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30782.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30782.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30782 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30782.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30781.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30781.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30781 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30781.pdf Notice - 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 Type https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30780.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30780.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30780 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30780.pdf Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2010 https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30726.html https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30726.html Tue, 29 Dec 2009 00:00:00 -0800 E9-30726 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30726.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30616.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30616.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30616 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30616.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30600.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30600.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30600 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30600.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30599.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30599.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30599 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30599.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30598.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30598.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30598 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30598.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30597.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30597.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30597 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30597.pdf Notice - 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 Emergency https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30596.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30596.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30596 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30596.pdf Notice - 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 FINRA https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30595.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30595.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30595 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30595.pdf Proposed Rule - Revisions To Rule 163 https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30589.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30589.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30589 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30589.pdf Notice - Sunshine Act Meeting Notice https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30601.html https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30601.html Thu, 24 Dec 2009 00:00:00 -0800 E9-30601 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30601.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30546.html https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30546.html Thu, 24 Dec 2009 00:00:00 -0800 E9-30546 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30546.pdf Notice - 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 Sizes https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30545.html https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30545.html Thu, 24 Dec 2009 00:00:00 -0800 E9-30545 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30545.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30544.html https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30544.html Thu, 24 Dec 2009 00:00:00 -0800 E9-30544 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30544.pdf Notice - 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 Emergency https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30543.html https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30543.html Thu, 24 Dec 2009 00:00:00 -0800 E9-30543 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30543.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30542.html https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30542.html Thu, 24 Dec 2009 00:00:00 -0800 E9-30542 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30542.pdf Notice - 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 LP https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30541.html https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30541.html Thu, 24 Dec 2009 00:00:00 -0800 E9-30541 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30541.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30432.html https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30432.html Wed, 23 Dec 2009 00:00:00 -0800 E9-30432 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30432.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30431.html https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30431.html Wed, 23 Dec 2009 00:00:00 -0800 E9-30431 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30431.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30430.html https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30430.html Wed, 23 Dec 2009 00:00:00 -0800 E9-30430 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30430.pdf Notice - Cash Account Trust, et al.; https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30429.html https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30429.html Wed, 23 Dec 2009 00:00:00 -0800 E9-30429 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30429.pdf Notice - Investools Inc., et al.; https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30428.html https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30428.html Wed, 23 Dec 2009 00:00:00 -0800 E9-30428 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30428.pdf Notice - 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 Network https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30426.html https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30426.html Wed, 23 Dec 2009 00:00:00 -0800 E9-30426 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30426.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Modifying the Definition of Cross and Cross With Size Order Types https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30425.html https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30425.html Wed, 23 Dec 2009 00:00:00 -0800 E9-30425 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30425.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30422.html https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30422.html Wed, 23 Dec 2009 00:00:00 -0800 E9-30422 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30422.pdf Rule - Proxy Disclosure Enhancements https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30327.html https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30327.html Wed, 23 Dec 2009 00:00:00 -0800 E9-30327 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30327.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/22/E9-30338.html https://regulations.justia.com/regulations/fedreg/2009/12/22/E9-30338.html Tue, 22 Dec 2009 00:00:00 -0800 E9-30338 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-22/pdf/E9-30338.pdf Notice - 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 XIV https://regulations.justia.com/regulations/fedreg/2009/12/22/E9-30337.html https://regulations.justia.com/regulations/fedreg/2009/12/22/E9-30337.html Tue, 22 Dec 2009 00:00:00 -0800 E9-30337 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-22/pdf/E9-30337.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/12/22/E9-30336.html https://regulations.justia.com/regulations/fedreg/2009/12/22/E9-30336.html Tue, 22 Dec 2009 00:00:00 -0800 E9-30336 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-22/pdf/E9-30336.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/12/22/E9-30335.html https://regulations.justia.com/regulations/fedreg/2009/12/22/E9-30335.html Tue, 22 Dec 2009 00:00:00 -0800 E9-30335 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-22/pdf/E9-30335.pdf Notice - Sunshine Act Meeting Notice https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30427.html https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30427.html Mon, 21 Dec 2009 00:00:00 -0800 E9-30427 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30427.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30359.html https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30359.html Mon, 21 Dec 2009 00:00:00 -0800 E9-30359 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30359.pdf Notice - In the Matter of Placer Gold Corp. f\k\a Arctic Oil and Gas Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30354.html https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30354.html Mon, 21 Dec 2009 00:00:00 -0800 E9-30354 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30354.pdf Notice - In the Matter of Somatic Systems, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30351.html https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30351.html Mon, 21 Dec 2009 00:00:00 -0800 E9-30351 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30351.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change Regarding Listing and Trading of RP Short Duration ETF https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30243.html https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30243.html Mon, 21 Dec 2009 00:00:00 -0800 E9-30243 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30243.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30242.html https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30242.html Mon, 21 Dec 2009 00:00:00 -0800 E9-30242 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30242.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30241.html https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30241.html Mon, 21 Dec 2009 00:00:00 -0800 E9-30241 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30241.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30240.html https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30240.html Mon, 21 Dec 2009 00:00:00 -0800 E9-30240 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30240.pdf Rule - Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30185.html https://regulations.justia.com/regulations/fedreg/2009/12/21/E9-30185.html Mon, 21 Dec 2009 00:00:00 -0800 E9-30185 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-21/pdf/E9-30185.pdf Notice - 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 Comments https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30087.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30087.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30087 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30087.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30086.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30086.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30086 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30086.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Revising Its Telephone Policies https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30085.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30085.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30085 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30085.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30084.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30084.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30084 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30084.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30083.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30083.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30083 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30083.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30081.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30081.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30081 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30081.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Changes in NYSE Realtime Reference Prices Service https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30080.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30080.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30080 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30080.pdf Notice - Self-Regulatory Organizations; NYSE Amex, Inc.; Notice of Filing of Proposed Rule Change To Establish the NYSE Amex Realtime Reference Prices Service https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30079.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30079.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30079 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30079.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Modifying the NYSE Arca Realtime Reference Prices Service https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30078.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30078.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30078 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30078.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Regarding Authority Over C2 Options Exchange, Incorporated https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30077.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30077.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30077 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30077.pdf Proposed Rule - Facilitating Shareholder Director Nominations https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30076.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30076.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30076 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30076.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Add Commentary .01 to Rule 934.3NY https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30064.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30064.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30064 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30064.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. To Add Commentary .01 to Rule 6.47 https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30063.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30063.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30063 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30063.pdf Notice - 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 FINRA https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30062.html https://regulations.justia.com/regulations/fedreg/2009/12/18/E9-30062.html Fri, 18 Dec 2009 00:00:00 -0800 E9-30062 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-18/pdf/E9-30062.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change Relating to Collection of Exchange Fees https://regulations.justia.com/regulations/fedreg/2009/12/17/E9-29969.html https://regulations.justia.com/regulations/fedreg/2009/12/17/E9-29969.html Thu, 17 Dec 2009 00:00:00 -0800 E9-29969 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-17/pdf/E9-29969.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/17/E9-29968.html https://regulations.justia.com/regulations/fedreg/2009/12/17/E9-29968.html Thu, 17 Dec 2009 00:00:00 -0800 E9-29968 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-17/pdf/E9-29968.pdf Notice - In the Matter of the Application of C2 Options Exchange, Incorporated for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission https://regulations.justia.com/regulations/fedreg/2009/12/16/E9-29877.html https://regulations.justia.com/regulations/fedreg/2009/12/16/E9-29877.html Wed, 16 Dec 2009 00:00:00 -0800 E9-29877 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-16/pdf/E9-29877.pdf Notice - Approval of Investment Adviser Registration Depository Filing Fees https://regulations.justia.com/regulations/fedreg/2009/12/16/E9-29840.html https://regulations.justia.com/regulations/fedreg/2009/12/16/E9-29840.html Wed, 16 Dec 2009 00:00:00 -0800 E9-29840 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-16/pdf/E9-29840.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2009/12/16/E9-29830.html https://regulations.justia.com/regulations/fedreg/2009/12/16/E9-29830.html Wed, 16 Dec 2009 00:00:00 -0800 E9-29830 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-16/pdf/E9-29830.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2009/12/16/E9-29826.html https://regulations.justia.com/regulations/fedreg/2009/12/16/E9-29826.html Wed, 16 Dec 2009 00:00:00 -0800 E9-29826 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-16/pdf/E9-29826.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29796.html https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29796.html Mon, 14 Dec 2009 00:00:00 -0800 E9-29796 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29796.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29718.html https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29718.html Mon, 14 Dec 2009 00:00:00 -0800 E9-29718 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29718.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29649.html https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29649.html Mon, 14 Dec 2009 00:00:00 -0800 E9-29649 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29649.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29648.html https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29648.html Mon, 14 Dec 2009 00:00:00 -0800 E9-29648 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29648.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29647.html https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29647.html Mon, 14 Dec 2009 00:00:00 -0800 E9-29647 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29647.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29633.html https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29633.html Mon, 14 Dec 2009 00:00:00 -0800 E9-29633 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29633.pdf Notice - 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 Calculations https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29632.html https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29632.html Mon, 14 Dec 2009 00:00:00 -0800 E9-29632 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29632.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29631.html https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29631.html Mon, 14 Dec 2009 00:00:00 -0800 E9-29631 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29631.pdf Notice - 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 Transaction https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29630.html https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29630.html Mon, 14 Dec 2009 00:00:00 -0800 E9-29630 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29630.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29629.html https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29629.html Mon, 14 Dec 2009 00:00:00 -0800 E9-29629 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29629.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29628.html https://regulations.justia.com/regulations/fedreg/2009/12/14/E9-29628.html Mon, 14 Dec 2009 00:00:00 -0800 E9-29628 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-14/pdf/E9-29628.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/12/11/E9-29526.html https://regulations.justia.com/regulations/fedreg/2009/12/11/E9-29526.html Fri, 11 Dec 2009 00:00:00 -0800 E9-29526 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-11/pdf/E9-29526.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/12/11/E9-29524.html https://regulations.justia.com/regulations/fedreg/2009/12/11/E9-29524.html Fri, 11 Dec 2009 00:00:00 -0800 E9-29524 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-11/pdf/E9-29524.pdf Notice - Madison Asset Management, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/12/11/E9-29523.html https://regulations.justia.com/regulations/fedreg/2009/12/11/E9-29523.html Fri, 11 Dec 2009 00:00:00 -0800 E9-29523 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-11/pdf/E9-29523.pdf Notice - 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 Comments https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29423.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29423.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29423 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29423.pdf Notice - 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 Strategies https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29422.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29422.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29422 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29422.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Several Market Data Products https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29421.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29421.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29421 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29421.pdf Notice - 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 Notice https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29420.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29420.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29420 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29420.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29393.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29393.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29393 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29393.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29392.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29392.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29392 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29392.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule To 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 Delivery https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29391.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29391.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29391 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29391.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29390.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29390.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29390 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29390.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29389.html https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29389.html Wed, 09 Dec 2009 00:00:00 -0800 E9-29389 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29389.pdf Notice - 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 LEAPS https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29388.html https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29388.html Wed, 09 Dec 2009 00:00:00 -0800 E9-29388 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29388.pdf Notice - 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 2211 https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29338.html https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29338.html Wed, 09 Dec 2009 00:00:00 -0800 E9-29338 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29338.pdf Notice - PNC Bank, National Association; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29321.html https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29321.html Wed, 09 Dec 2009 00:00:00 -0800 E9-29321 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29321.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Through December 31, 2010 https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29302.html https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29302.html Wed, 09 Dec 2009 00:00:00 -0800 E9-29302 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29302.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amending the Direct Edge ECN Fee Schedule https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29241.html https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29241.html Wed, 09 Dec 2009 00:00:00 -0800 E9-29241 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29241.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Amounts that Direct Edge ECN, in Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29240.html https://regulations.justia.com/regulations/fedreg/2009/12/09/E9-29240.html Wed, 09 Dec 2009 00:00:00 -0800 E9-29240 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-09/pdf/E9-29240.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding the Obligations of Streaming Quote Traders https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29204.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29204.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29204 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29204.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29203.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29203.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29203 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29203.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Its Listing Fees for Structured Products https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29141.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29141.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29141 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29141.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/2009/12/08/E9-29140.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29140.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29140 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29140.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status and Interim Trading Permit Access Fees https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29139.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29139.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29139 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29139.pdf Notice - 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 Warrants https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29138.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29138.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29138 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29138.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Market Data Fees https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29137.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29137.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29137 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29137.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29136.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29136.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29136 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29136.pdf Notice - 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 Margining https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29132.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29132.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29132 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29132.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29131.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29131.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29131 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29131.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29130.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29130.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29130 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29130.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29129.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29129.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29129 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29129.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29135.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29135.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29135 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29135.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29046.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29046.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29046 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29046.pdf Notice - Proposed Extension of Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29045.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29045.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29045 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29045.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29044.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29044.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29044 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29044.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to FINRA's Rules Governing Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29043.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29043.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29043 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29043.pdf Notice - 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 Organization https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29042.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29042.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29042 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29042.pdf Notice - 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 Correction https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29041.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29041.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29041 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29041.pdf Notice - 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, 2010 https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29040.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29040.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29040 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29040.pdf Notice - 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 Correction https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29039.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29039.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29039 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29039.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29038.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29038.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29038 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29038.pdf Notice - 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 Database https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29037.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29037.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29037 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29037.pdf Notice - 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 Offer https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28999.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28999.html Mon, 07 Dec 2009 00:00:00 -0800 E9-28999 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-28999.pdf Notice - 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 Offer https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28998.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28998.html Mon, 07 Dec 2009 00:00:00 -0800 E9-28998 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-28998.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/2009/12/04/Z9-27998.html https://regulations.justia.com/regulations/fedreg/2009/12/04/Z9-27998.html Fri, 04 Dec 2009 00:00:00 -0800 Z9-27998 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-04/pdf/Z9-27998.pdf Notice - Strategic Funds, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28977.html https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28977.html Fri, 04 Dec 2009 00:00:00 -0800 E9-28977 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-04/pdf/E9-28977.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Stock-Option Orders https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28891.html https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28891.html Fri, 04 Dec 2009 00:00:00 -0800 E9-28891 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-04/pdf/E9-28891.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28890.html https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28890.html Fri, 04 Dec 2009 00:00:00 -0800 E9-28890 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-04/pdf/E9-28890.pdf Proposed Rule - Proposed Rules for Nationally Recognized Statistical Rating Organizations https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28497.html https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28497.html Fri, 04 Dec 2009 00:00:00 -0800 E9-28497 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-04/pdf/E9-28497.pdf Rule - Amendments to Rules for Nationally Recognized Statistical Rating Organizations https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28496.html https://regulations.justia.com/regulations/fedreg/2009/12/04/E9-28496.html Fri, 04 Dec 2009 00:00:00 -0800 E9-28496 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-04/pdf/E9-28496.pdf Notice - 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 Disputes https://regulations.justia.com/regulations/fedreg/2009/12/02/E9-28741.html https://regulations.justia.com/regulations/fedreg/2009/12/02/E9-28741.html Wed, 02 Dec 2009 00:00:00 -0800 E9-28741 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-02/pdf/E9-28741.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Tied Hedge Transactions https://regulations.justia.com/regulations/fedreg/2009/12/02/E9-28740.html https://regulations.justia.com/regulations/fedreg/2009/12/02/E9-28740.html Wed, 02 Dec 2009 00:00:00 -0800 E9-28740 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-02/pdf/E9-28740.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28813.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28813.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28813 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28813.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28691.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28691.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28691 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28691.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28690.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28690.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28690 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28690.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28689.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28689.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28689 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28689.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28688.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28688.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28688 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28688.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28687.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28687.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28687 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28687.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28686.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28686.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28686 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28686.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28685.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28685.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28685 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28685.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28684.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28684.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28684 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28684.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28683.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28683.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28683 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28683.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28682.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28682.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28682 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28682.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28680.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28680.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28680 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28680.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28679.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28679.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28679 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28679.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28678.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28678.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28678 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28678.pdf Notice - 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 Disputes https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28618.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28618.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28618 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28618.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28617.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28617.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28617 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28617.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28616.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28616.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28616 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28616.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28615.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28615.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28615 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28615.pdf Notice - 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 451 https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28614.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28614.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28614 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28614.pdf Notice - 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 2270 https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28613.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28613.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28613 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28613.pdf Rule - Final Model Privacy Form Under the Gramm-Leach-Bliley Act https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-27882.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-27882.html Tue, 01 Dec 2009 00:00:00 -0800 E9-27882 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-27882.pdf 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