<![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/2009/08/28?registers=between Wed, 25 Jun 2025 15:11:30 -0700 Wed, 25 Jun 2025 15:11:30 -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/2009/08/28?registers=between Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending Until August 31, 2009, the Operation of Interim NYSE Rule 128 Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions If They Arise Out of the Use or Operation of Any Quotation, Execution or Communication System Owned or Operated by the Exchange, Including Those Executions That Occur in the Event of a System Disruption or System Malfunction https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20821.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20821.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20821 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20821.pdf Notice - Self-Regulatory Organizations; NYSEAmex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Fee for Annual Regulatory Training https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20820.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20820.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20820 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20820.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20788.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20788.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20788 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20788.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing Four Grail Advisors RP Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20787.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20787.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20787 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20787.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20786.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20786.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20786 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20786.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Permissible Expiration Dates for Flexible Exchange Options https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20785.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20785.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20785 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20785.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Late Charges and Provide for Suspension or Termination for Failure To Pay Dues, Fees, or Assessments Owed https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20784.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20784.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20784 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20784.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20783.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20783.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20783 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20783.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20705.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20705.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20705 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20705.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 Rules 2124 (Net Transactions With Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payment for Market Making) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20704.html https://regulations.justia.com/regulations/fedreg/2009/08/28/E9-20704.html Fri, 28 Aug 2009 00:00:00 -0700 E9-20704 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-28/pdf/E9-20704.pdf