<![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/2009/10/28?registers=between Thu, 17 Jul 2025 16:46:24 -0700 Thu, 17 Jul 2025 16:46:24 -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/2009/10/28?registers=between Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Define Asset-Backed Securities, Mortgage-Backed Securities, and Other Similar Securities as TRACE-Eligible Securities and Require the Reporting of Transactions in Such Securities to TRACE https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25875.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25875.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25875 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25875.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA's Rules Governing Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25873.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25873.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25873 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25873.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25872.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25872.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25872 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25872.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Historical ISE Open/Close Trade Profile Fees https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25832.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25832.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25832 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25832.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Chicago Board Options Exchange Stock Exchange Fees Schedule Related to Stock Component of Stock-Option Cross Trade https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25831.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25831.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25831 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25831.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Interpretation and Policy .13 to Rule 5.3 https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25830.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25830.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25830 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25830.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Obligations of Lead Market Makers https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25829.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25829.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25829 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25829.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, LLC To Amend ISE Rules Relating to the Minimum Size Requirement for Quotations https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25828.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25828.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25828 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25828.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Retroactively Waiving the Cancellation Fee https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25827.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25827.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25827 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25827.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding Listing Certain Options at $1 Strike Price Intervals Below $200 and Listing Certain Options at $2.50 Strike Price Intervals Below $200 https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25826.html https://regulations.justia.com/regulations/fedreg/2009/10/28/E9-25826.html Wed, 28 Oct 2009 00:00:00 -0700 E9-25826 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-28/pdf/E9-25826.pdf