<![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/2009/06/15?registers=between Thu, 26 Jun 2025 01:25:44 -0700 Thu, 26 Jun 2025 01:25:44 -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/2009/06/15?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14075.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14075.html Mon, 15 Jun 2009 00:00:00 -0700 E9-14075 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14075.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14007.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14007.html Mon, 15 Jun 2009 00:00:00 -0700 E9-14007 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14007.pdf Notice - Banc of America Securities LLC, et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14006.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14006.html Mon, 15 Jun 2009 00:00:00 -0700 E9-14006 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14006.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Safety First Trust Certificates Linked to the S&P 500® Index https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14005.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14005.html Mon, 15 Jun 2009 00:00:00 -0700 E9-14005 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14005.pdf Notice - Deutsche Bank Securities Inc., et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13981.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13981.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13981 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13981.pdf Notice - RBC Capital Markets Corporation, et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13980.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13980.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13980 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13980.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Repeal Incorporated NYSE Rule 134 (Differences and Omissions-Cleared Transactions) and NYSE Rule 440I (Records of Compensation Arrangements-Floor Brokerage) as Part of the Process To Develop the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13975.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13975.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13975 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13975.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Pricing for NASDAQ “Flash” Functionality for Routable Orders https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13974.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13974.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13974 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13974.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule To (i) Increase From 50,000 to 5 Million the Liquidity Adding Average Daily Volume Thresholds in the Automatic Execution Mode of Order Interaction (“AutoEx”); (ii) Include Securities Less Than One Dollar in the Calculation of Liquidity Adding and Total Average Volume Thresholds in AutoEx; and (iii) Eliminate the Two Lower Tiers With Respect to the AutoEx Liquidity Adding Zero Display Order Rebate https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13973.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13973.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13973 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13973.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13972.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13972.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13972 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13972.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2124 (Net Transactions With Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13971.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13971.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13971 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13971.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Generic Listing Rules for Currency Trust Shares https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13970.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13970.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13970 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13970.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Adoption of Listing Standards for Managed Trust Securities and the Listing and Trading of Shares of the iShares® Diversified Alternatives Trust https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13969.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13969.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13969 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13969.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 110 to the Earlier of the Approval of SR-NYSE-2009-08 or June 30, 2009 https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13968.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13968.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13968 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13968.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend the Panel Composition Rules of the Code of Arbitration Procedure for Industry Disputes https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13967.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13967.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13967 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13967.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC, Notice of Filing of a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-side Liquidity To Trigger the Execution of a d-Quote https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13966.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13966.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13966 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13966.pdf Notice - Investor Advisory Committee; Notice of Federal Advisory Committee Establishment; Correction https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13934.html https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13934.html Mon, 15 Jun 2009 00:00:00 -0700 E9-13934 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13934.pdf