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

Results 1,551 - 1,600 of 1,827
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ OMX BX Equities System
Document Number: E9-4556
Type: Notice
Date: 2009-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/04/E9-4556.html
In the Matter of Cincinnati Microwave, Inc., Core Technologies Pennsylvania, Inc., First Central Financial Corp., Imark Technologies, Inc. (n/k/a Pharm Control Ltd.), Molten Metal Technology, Inc., MRS Technology, Inc., Sun Television & Appliances, Inc., and Telegroup, Inc.; File No. 500-1; Order of Suspension of Trading
Document Number: E9-4594
Type: Notice
Date: 2009-03-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4594.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Simple Auction Liaison (SAL)
Document Number: E9-4428
Type: Notice
Date: 2009-03-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4428.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Eliminating the Ability To Enter Orders on the Exchange With the Settlement Instructions of “Cash”, “Next Day” and “Seller's Option”
Document Number: E9-4427
Type: Notice
Date: 2009-03-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4427.html
C2 Options Exchange, Incorporated; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Document Number: E9-4426
Type: Notice
Date: 2009-03-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4426.html
Submission for OMB Review; Comment Request
Document Number: E9-4425
Type: Notice
Date: 2009-03-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4425.html
Adjustments to Civil Monetary Penalty Amounts
Document Number: E9-4379
Type: Rule
Date: 2009-03-03
Agency: Securities and Exchange Commission, Agencies and Commissions
This rule implements the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended by the Debt Collection Improvement Act of 1996. The Commission is adopting a rule adjusting for inflation the maximum amount of civil monetary penalties under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, and certain penalties under the Sarbanes-Oxley Act of 2002.
https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4379.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.69-Reporting Duties
Document Number: E9-4378
Type: Notice
Date: 2009-03-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/03/E9-4378.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
Document Number: E9-4300
Type: Notice
Date: 2009-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/02/E9-4300.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to Tied Hedge Transactions
Document Number: E9-4287
Type: Notice
Date: 2009-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/03/02/E9-4287.html
Proposed Collection; Comment Request
Document Number: E9-4185
Type: Notice
Date: 2009-02-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4185.html
Proposed Collection; Comment Request
Document Number: E9-4184
Type: Notice
Date: 2009-02-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4184.html
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change Relating to BOX Rules Governing Doing Business With the Public
Document Number: E9-4183
Type: Notice
Date: 2009-02-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4183.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Its New Risk Management Gateway Service
Document Number: E9-4182
Type: Notice
Date: 2009-02-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4182.html
Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Fee for Its New Risk Management Gateway Service
Document Number: E9-4181
Type: Notice
Date: 2009-02-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4181.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Document Number: E9-4153
Type: Notice
Date: 2009-02-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/27/E9-4153.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Its Rules Prohibiting Members From Functioning as Market-Makers
Document Number: E9-4120
Type: Notice
Date: 2009-02-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4120.html
Mainstay VP Series Fund, Inc.
Document Number: E9-4064
Type: Notice
Date: 2009-02-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4064.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Nasdaq's Definition of “Controlled Company”
Document Number: E9-4062
Type: Notice
Date: 2009-02-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/26/E9-4062.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Reduce Certain Order Exposure Periods on the NASDAQ Options Market From Three Seconds to One Second
Document Number: E9-4038
Type: Notice
Date: 2009-02-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4038.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Exchange Direct Order for the NASDAQ Options Market
Document Number: E9-4037
Type: Notice
Date: 2009-02-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4037.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendments No. 1 and 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, Relating to FLEX Options Expirations
Document Number: E9-4036
Type: Notice
Date: 2009-02-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4036.html
Submission for OMB Review; Comment Request
Document Number: E9-4035
Type: Notice
Date: 2009-02-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-4035.html
Sunshine Act Meeting
Document Number: E9-3993
Type: Notice
Date: 2009-02-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3993.html
Self-Regulatory Organizations; NYSE Alternext US LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Instructions as to the Payment of Listing Fees in Connection With the Listing of Additional Securities
Document Number: E9-3982
Type: Notice
Date: 2009-02-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3982.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending Certain NYSE Alternext Equities Rules To Reflect That Designated Market Makers (“DMMs”) on the Exchange No Longer Act as Agents for Orders Entered on the Exchange
Document Number: E9-3981
Type: Notice
Date: 2009-02-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3981.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending Certain NYSE Rules To Reflect That Designated Market Makers on the Exchange No Longer Act as Agents for Orders Entered on the Exchange
Document Number: E9-3980
Type: Notice
Date: 2009-02-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3980.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes
Document Number: E9-3979
Type: Notice
Date: 2009-02-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3979.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the $3 Underlying Price Requirement for Continued Listing and Listing of Additional Series on the Boston Options Exchange Facility
Document Number: E9-3978
Type: Notice
Date: 2009-02-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/25/E9-3978.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rules Relating to DPMs and LMMs
Document Number: E9-3861
Type: Notice
Date: 2009-02-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3861.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Addendum O To Allow Admission of Entities That Are Organized in a Country Other Than the U.S. for Admission as Limited Members
Document Number: E9-3860
Type: Notice
Date: 2009-02-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3860.html
Wachovia Securities, LLC, et al.; Notice of Application and Temporary Order
Document Number: E9-3841
Type: Notice
Date: 2009-02-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/24/E9-3841.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook
Document Number: Z9-1807
Type: Notice
Date: 2009-02-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/23/Z9-1807.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Allowing Entry of Orders Into the PIP at a Price Matching the National Best Bid or Offer
Document Number: E9-3742
Type: Notice
Date: 2009-02-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3742.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7050 Governing Pricing for Nasdaq Members Using the NASDAQ Options Market (“NOM”)
Document Number: E9-3741
Type: Notice
Date: 2009-02-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3741.html
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Reformatting Its Fee Schedule
Document Number: E9-3740
Type: Notice
Date: 2009-02-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/23/E9-3740.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123E (“DMM Combination Review Policy”) To Be More Consistent With the Exchange's Current Designated Market Maker (“DMM”) System
Document Number: E9-3611
Type: Notice
Date: 2009-02-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3611.html
Proposed Collection; Comment Request
Document Number: E9-3580
Type: Notice
Date: 2009-02-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3580.html
Proposed Collection; Comment Request
Document Number: E9-3579
Type: Notice
Date: 2009-02-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3579.html
Proposed Collection; Comment Request
Document Number: E9-3578
Type: Notice
Date: 2009-02-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3578.html
Proposed Collection; Comment Request
Document Number: E9-3577
Type: Notice
Date: 2009-02-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3577.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Its Fee Schedule
Document Number: E9-3576
Type: Notice
Date: 2009-02-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3576.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending Its Limited Liability Company Operating Agreement and the Bylaws of Its Wholly-Owned Subsidiary NYSE Market, Inc. To Eliminate, in Each Case, a Requirement That Not Less Than Two Members of the Board of Directors Must Qualify as “Non-Affiliated Directors” and a Related Requirement That Not Less Than Two Members of the Board of Directors Must Qualify as “Fair Representation Candidates”
Document Number: E9-3575
Type: Notice
Date: 2009-02-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3575.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Post-Only Order
Document Number: E9-3574
Type: Notice
Date: 2009-02-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3574.html
Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change Relating to Eliminating the SRO Requirement as a Condition of DTC-Eligibility for Securities That Are Eligible for Resale Under Rule 144A Under the Securities Act of 1933
Document Number: E9-3573
Type: Notice
Date: 2009-02-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/20/E9-3573.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Amending Rule 6.4
Document Number: E9-3466
Type: Notice
Date: 2009-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3466.html
Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing of a Proposed Rule Change Amending Rule 903
Document Number: E9-3465
Type: Notice
Date: 2009-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3465.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by NASDAQ OMX PHLX, Inc. To Amend the Exchange's Fee Schedule
Document Number: E9-3464
Type: Notice
Date: 2009-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3464.html
Submission for OMB Review; Comment Request
Document Number: E9-3433
Type: Notice
Date: 2009-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3433.html
Submission for OMB Review; Comment Request
Document Number: E9-3431
Type: Notice
Date: 2009-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/02/19/E9-3431.html
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