Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009?limit=200&registers=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom 2024-05-23T21:02:04-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-31076.html Notice - Sunshine Act Meeting Notice 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-31076 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-31076.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30948.html 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 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30948 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30948.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30928.html 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 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30928 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30928.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30927.html 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 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30927 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30927.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30926.html 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 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30926 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30926.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30925.html 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 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30925 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30925.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30919.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing of Grail McDonnell Fixed Income ETFs 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30919 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30919.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30917.html 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 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30917 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30917.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30916.html 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 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30916 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30916.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30915.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 5.3 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30915 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30915.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30914.html 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 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30914 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30914.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30913.html 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. 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30913 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30913.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30912.html 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 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30912 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30912.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30911.html 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. 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30911 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30911.pdf https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30877.html Rule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients 2009-12-30T00:00:00-08:00 2009-12-30T00:00:00-08:00 E9-30877 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30877.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30943.html Notice - In the Matter of: GH3 International, Inc.; Order of Suspension of Trading 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30943 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30943.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30791.html 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 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30791 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30791.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30790.html 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 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30790 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30790.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30789.html 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 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30789 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30789.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30788.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30788 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30788.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30787.html 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 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30787 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30787.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30786.html 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 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30786 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30786.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30785.html 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 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30785 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30785.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30784.html 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 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30784 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30784.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30783.html 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 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30783 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30783.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30782.html 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 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30782 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30782.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30781.html 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 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30781 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30781.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30780.html 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 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30780 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30780.pdf https://regulations.justia.com/regulations/fedreg/2009/12/29/E9-30726.html Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2010 2009-12-29T00:00:00-08:00 2009-12-29T00:00:00-08:00 E9-30726 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-29/pdf/E9-30726.pdf https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30616.html 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 2009-12-28T00:00:00-08:00 2009-12-28T00:00:00-08:00 E9-30616 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30616.pdf https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30600.html 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 2009-12-28T00:00:00-08:00 2009-12-28T00:00:00-08:00 E9-30600 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30600.pdf https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30599.html 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 2009-12-28T00:00:00-08:00 2009-12-28T00:00:00-08:00 E9-30599 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30599.pdf https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30598.html 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 2009-12-28T00:00:00-08:00 2009-12-28T00:00:00-08:00 E9-30598 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30598.pdf https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30597.html 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 2009-12-28T00:00:00-08:00 2009-12-28T00:00:00-08:00 E9-30597 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30597.pdf https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30596.html 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 2009-12-28T00:00:00-08:00 2009-12-28T00:00:00-08:00 E9-30596 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30596.pdf https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30595.html 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 2009-12-28T00:00:00-08:00 2009-12-28T00:00:00-08:00 E9-30595 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30595.pdf https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30589.html Proposed Rule - Revisions To Rule 163 2009-12-28T00:00:00-08:00 2009-12-28T00:00:00-08:00 E9-30589 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30589.pdf https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30601.html Notice - Sunshine Act Meeting Notice 2009-12-24T00:00:00-08:00 2009-12-24T00:00:00-08:00 E9-30601 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30601.pdf https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30546.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2009-12-24T00:00:00-08:00 2009-12-24T00:00:00-08:00 E9-30546 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30546.pdf https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30545.html 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 2009-12-24T00:00:00-08:00 2009-12-24T00:00:00-08:00 E9-30545 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30545.pdf https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30544.html 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. 2009-12-24T00:00:00-08:00 2009-12-24T00:00:00-08:00 E9-30544 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30544.pdf https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30543.html 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 2009-12-24T00:00:00-08:00 2009-12-24T00:00:00-08:00 E9-30543 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30543.pdf https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30542.html 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. 2009-12-24T00:00:00-08:00 2009-12-24T00:00:00-08:00 E9-30542 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30542.pdf https://regulations.justia.com/regulations/fedreg/2009/12/24/E9-30541.html 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 2009-12-24T00:00:00-08:00 2009-12-24T00:00:00-08:00 E9-30541 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-24/pdf/E9-30541.pdf https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30432.html Notice - Submission for OMB Review; Comment Request 2009-12-23T00:00:00-08:00 2009-12-23T00:00:00-08:00 E9-30432 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30432.pdf https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30431.html Notice - Proposed Collection; Comment Request 2009-12-23T00:00:00-08:00 2009-12-23T00:00:00-08:00 E9-30431 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30431.pdf https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30430.html Notice - Submission for OMB Review; Comment Request 2009-12-23T00:00:00-08:00 2009-12-23T00:00:00-08:00 E9-30430 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30430.pdf https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30429.html Notice - Cash Account Trust, et al.; 2009-12-23T00:00:00-08:00 2009-12-23T00:00:00-08:00 E9-30429 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30429.pdf https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30428.html Notice - Investools Inc., et al.; 2009-12-23T00:00:00-08:00 2009-12-23T00:00:00-08:00 E9-30428 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30428.pdf https://regulations.justia.com/regulations/fedreg/2009/12/23/E9-30426.html 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 2009-12-23T00:00:00-08:00 2009-12-23T00:00:00-08:00 E9-30426 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-23/pdf/E9-30426.pdf