<![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/2009/07/27?registers=between Tue, 22 Jul 2025 22:25:12 -0700 Tue, 22 Jul 2025 22:25:12 -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/2009/07/27?registers=between Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Guidance on Disclosure and Other Sales Practice Obligations to Individual and Other Retail Investors in Municipal Securities https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17820.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17820.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17820 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17820.pdf Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying Fees for Members Using the NASDAQ Options Market https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17819.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17819.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17819 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17819.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17768.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17768.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17768 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17768.pdf Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Modify Routing of Orders From NASDAQ Options Market to an Affiliate Exchange https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17767.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17767.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17767 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17767.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Rejection of Undisplayed Odd-Lot Orders From the Exchange's Matching System https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17766.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17766.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17766 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17766.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Procedures To Prevent Information Advantages Resulting From the Affiliation Between BOX and NOS https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17765.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17765.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17765 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17765.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rules 1010 (Electronic Filing Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17764.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17764.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17764 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17764.pdf Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twelfth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17763.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17763.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17763 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17763.pdf