<![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/2009/03/26?registers=between Fri, 18 Jul 2025 14:48:29 -0700 Fri, 18 Jul 2025 14:48:29 -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/2009/03/26?registers=between Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6723.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6723.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6723 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6723.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Establish Fees for NYSE Trades https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6722.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6722.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6722 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6722.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Tiered Trade Netting Fee https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6721.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6721.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6721 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6721.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending the Listed Company Manual Section 902.08 To Establish an Initial Listing Fee and an Annual Listing Fee for Securities Listed Under Section 102.03 and Traded on the NYSE Bonds System https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6720.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6720.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6720 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6720.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading the Two-Character Ticker Symbol “UG” https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6719.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6719.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6719 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6719.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Short Term Option Series https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6703.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6703.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6703 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6703.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.62 To Provide Additional Order Types https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6702.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6702.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6702 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6702.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rule 2114 (Recommendations to Customers in OTC Equity Securities) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6659.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6659.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6659 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6659.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6658.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6658.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6658 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6658.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6657.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6657.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6657 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6657.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6656.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6656.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6656 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6656.pdf Notice - UBS AG, et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6655.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6655.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6655 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6655.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 623 (Communications to Customers) https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6617.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6617.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6617 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6617.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Electronic Municipal Market Access System Pilot https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6616.html https://regulations.justia.com/regulations/fedreg/2009/03/26/E9-6616.html Thu, 26 Mar 2009 00:00:00 -0700 E9-6616 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-26/pdf/E9-6616.pdf