<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2009/01/16?registers=between Thu, 23 May 2024 16:00:59 -0700 Thu, 23 May 2024 16:00:59 -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/agencies-and-commissions/securities-and-exchange-commission/2009/01/16?registers=between Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 103B (“Security Allocation and Reallocation”) to: (1) Prohibit DMM Units From Communicating With Issuers After Receipt of Notice From the Exchange of the Issuer's Impending Listing; (2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather Than the Day Before; and (3) Allow an Issuer Transferring From NYSE Alternext U.S. LLC to the NYSE To Retain its DMM Unit if Such DMM Unit Is an Approved and Registered DMM on the NYSE https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-932.html https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-932.html Fri, 16 Jan 2009 00:00:00 -0800 E9-932 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-932.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-931.html https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-931.html Fri, 16 Jan 2009 00:00:00 -0800 E9-931 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-931.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending NYSE Alternext Equities Rule 103B To Conform to Amendments Filed by the New York Stock Exchange To: (1) Prohibit DMM Units From Communicating With Issuers After Receipt of Notice From the Exchange of the Issuer's Impending Listing; and (2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather Than the Day Before https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-930.html https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-930.html Fri, 16 Jan 2009 00:00:00 -0800 E9-930 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-930.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-929.html https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-929.html Fri, 16 Jan 2009 00:00:00 -0800 E9-929 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-929.pdf Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 1 to the National Market System Plan for the Selection and Reservation of Securities Symbols To Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Alternext Exchange US LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc. https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-882.html https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-882.html Fri, 16 Jan 2009 00:00:00 -0800 E9-882 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-882.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC To Memorialize an Interpretation of the Listed Company Manual Concerning Shareholder Approval Requirements and To Describe a Certain Application of its Audit Committee Rule https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-881.html https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-881.html Fri, 16 Jan 2009 00:00:00 -0800 E9-881 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-881.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-880.html https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-880.html Fri, 16 Jan 2009 00:00:00 -0800 E9-880 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-880.pdf Rule - Indexed Annuities And Certain Other Insurance Contracts https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-597.html https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-597.html Fri, 16 Jan 2009 00:00:00 -0800 E9-597 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-597.pdf