Securities and Exchange Commission 2009 – Federal Register Recent Federal Regulation Documents

Results 1,351 - 1,400 of 1,827
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Flexibly Structured Options
Document Number: E9-7774
Type: Notice
Date: 2009-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7774.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Tolling Provisions in Rules 12206 and 13206 of the Codes of Arbitration Procedure for Customer and Industry Disputes
Document Number: E9-7773
Type: Notice
Date: 2009-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7773.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending Equities Rule 48.10 To Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange To Declare an Extreme Market Volatility Condition and Suspend Certain Exchange Requirements Relating to the Closing of Securities at the Exchange
Document Number: E9-7732
Type: Notice
Date: 2009-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7732.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Rule 48.10 To Extend the Temporary Provisions of the Rule Relating to the Ability of the Exchange To Declare an Extreme Market Volatility Condition and Suspend Certain NYSE Requirements Relating to the Closing of Securities at the Exchange
Document Number: E9-7711
Type: Notice
Date: 2009-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7711.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Commodity Options
Document Number: E9-7710
Type: Notice
Date: 2009-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/07/E9-7710.html
In the Matter of FCS Laboratories, Inc., Federal Resources Corp., Filene's Basement Corp. (n/k/a FBC Distribution Corp.), and Film & Music Entertainment, Inc.; Order of Suspension of Trading
Document Number: E9-7817
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7817.html
In the Matter of Aegis Consumer Funding Group, Inc., APS Holding Corp., Childrobics, Inc., Churchill Technology, Inc., Complete Management, Inc., Dakota Mining Corp., Digital Communications Technology Corp., Global Intellicom, Inc., Horn Silver Mines, Inc., TCC Industries, Inc., and Tenney Engineering, Inc.; Order of Suspension of Trading
Document Number: E9-7816
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7816.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposal To List and Trade S&P 500 Dividend Index Options
Document Number: E9-7663
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7663.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending to September 1, 2009, the Operative Date of New York Stock Exchange Rule 2 Requirement That NYSE-Only Member Organizations Apply for and be Approved as a Member of the Financial Industry Regulatory Authority, Inc.
Document Number: E9-7662
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7662.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market Through July 19, 2009
Document Number: E9-7631
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7631.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions and Restructuring of the NASDAQ Listing Rules
Document Number: E9-7630
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7630.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 2 Thereto To Extend the Pilot Program for NYSE Arca Realtime Reference Prices Service
Document Number: E9-7628
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7628.html
Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Amending Its Schedule of Fees and Charges for Exchange Services
Document Number: E9-7605
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7605.html
First American Strategy Funds, Inc., et al.; Notice of Application
Document Number: E9-7591
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7591.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Alternext US LLC, as Modified by Amendment No. 1, Changing Certain NYSE Amex Equities Rules To Conform Them With Changes to Corresponding Rules Submitted in a Companion Filing by the New York Stock Exchange LLC
Document Number: E9-7590
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7590.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC, as Modified by Amendment No. 2, Changing Certain NYSE Rules and Rule Interpretations To Harmonize Them With Changes to Corresponding Rules Recently Filed by the Financial Industry Regulatory Authority, Inc.
Document Number: E9-7589
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7589.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Allowing Entry of Orders Into the PIP at a Price Matching the National Best Bid or Offer
Document Number: E9-7588
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7588.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Extend the Pilot Period for the NYSE Realtime Reference Prices Pilot Program
Document Number: E9-7587
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7587.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Pilot Program for NASDAQ Last Sale Data Feeds and To Reduce the Monthly Cap on Fees
Document Number: E9-7586
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7586.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Grail American Beacon Large Cap Value ETF
Document Number: E9-7585
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7585.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. To Adopt a Policy With Respect to the Treatment of Aberrant Trades
Document Number: E9-7584
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7584.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to the Establishment of a Pilot Phase of Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access system (EMMA®)
Document Number: E9-7583
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7583.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending the Option Trading Rules in Order To Extend the Penny Pilot Program
Document Number: E9-7582
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7582.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Schedule of Fees
Document Number: E9-7581
Type: Notice
Date: 2009-04-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/06/E9-7581.html
In the Matter of Continan Communications, Inc.; Order of Suspension of Trading
Document Number: E9-7646
Type: Notice
Date: 2009-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/03/E9-7646.html
Sunshine Act Meeting
Document Number: E9-7477
Type: Notice
Date: 2009-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/03/E9-7477.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E9-7458
Type: Notice
Date: 2009-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On September 26, 2008, applicant transferred its assets to Dunham Funds, based on net asset value. Expenses of $315,500 incurred in connection with the reorganization were paid by applicant and Dunham & Associates Holdings, Inc., the parent company of the investment adviser to the acquiring fund.
https://regulations.justia.com/regulations/fedreg/2009/04/03/E9-7458.html
Joint Industry Plan; Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc.; Notice of Filing of Proposed Options Order Protection and Locked/Crossed Market Plan
Document Number: E9-7410
Type: Notice
Date: 2009-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7410.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Permit Fees
Document Number: E9-7409
Type: Notice
Date: 2009-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7409.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program on the Boston Options Exchange Facility
Document Number: E9-7408
Type: Notice
Date: 2009-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7408.html
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Penny Pilot Program
Document Number: E9-7371
Type: Notice
Date: 2009-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7371.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Option Trading Rules in Order To Extend the Penny Pilot Program
Document Number: E9-7370
Type: Notice
Date: 2009-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7370.html
Submission for OMB Review; Comment Request
Document Number: E9-7356
Type: Notice
Date: 2009-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7356.html
Submission for OMB Review; Comment Request
Document Number: E9-7355
Type: Notice
Date: 2009-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7355.html
Submission for OMB Review; Comment Request
Document Number: E9-7354
Type: Notice
Date: 2009-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7354.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Accelerated Approval of Proposed Rule Change Relating to Reduction of Certain Order Handling and Exposure Periods on the Boston Options Exchange Facility From Three Seconds to One Second
Document Number: E9-7353
Type: Notice
Date: 2009-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7353.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Penny Pilot Program
Document Number: E9-7352
Type: Notice
Date: 2009-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7352.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Penny Pilot Program
Document Number: E9-7351
Type: Notice
Date: 2009-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7351.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to the Establishment of a Primary Market Disclosure Service and Trade Price Transparency Service of the Electronic Municipal Market Access System (EMMA®) and Amendments to MSRB Rules G-32 and G-36
Document Number: E9-7340
Type: Notice
Date: 2009-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/02/E9-7340.html
In the Matter of Order of Suspension of Trading Global Matrechs, Inc.
Document Number: E9-7397
Type: Notice
Date: 2009-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7397.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Extend the Options Penny Pilot for The NASDAQ Options Market
Document Number: E9-7291
Type: Notice
Date: 2009-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7291.html
Sunshine Act Meeting
Document Number: E9-7228
Type: Notice
Date: 2009-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7228.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Formally Adopting and Codifying Its Wireless Data Communications Initiatives
Document Number: E9-7217
Type: Notice
Date: 2009-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7217.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Wireless Data Communications Initiatives and Codifying the Wireless Policy
Document Number: E9-7214
Type: Notice
Date: 2009-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/04/01/E9-7214.html
Submission for OMB Review; Comment Request
Document Number: E9-7089
Type: Notice
Date: 2009-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7089.html
Submission for OMB Review; Comment Request
Document Number: E9-7088
Type: Notice
Date: 2009-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7088.html
Submission for OMB Review; Comment Request
Document Number: E9-7087
Type: Notice
Date: 2009-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7087.html
MetLife Insurance Company of Connecticut, et al.
Document Number: E9-7086
Type: Notice
Date: 2009-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7086.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change To Establish New Fees for Services Available to Members and Non-Members
Document Number: E9-7085
Type: Notice
Date: 2009-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/31/E9-7085.html
Proposed Collection; Comment Request
Document Number: E9-6964
Type: Notice
Date: 2009-03-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/30/E9-6964.html
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