<![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/2009/11/12?registers=between Tue, 24 Jun 2025 08:35:53 -0700 Tue, 24 Jun 2025 08:35:53 -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/2009/11/12?registers=between Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27263.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27263.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27263 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27263.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Preferred Market Makers https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27258.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27258.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27258 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27258.pdf Notice - FaithShares Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27130.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27130.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27130 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27130.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Marketing Fee Program https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27129.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27129.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27129 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27129.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Adopting NYSE Rule 49 To Provide the Exchange With the Authority To Declare an Emergency Condition With Respect to Trading on or Through the Systems and Facilities of the Exchange and To Transfer Trading of Exchange-Listed Securities to Its Corporate Affiliate, NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27128.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27128.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27128 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27128.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 2.100 To Provide the NYSE Arca With the Authority to Declare an Emergency Condition With Respect to Trading on or Through the Systems and Facilities of the NYSE Arca and Enable the NYSE Arca to Act as a Back-Up Trading Facility for Affiliated Exchanges Owned and Operated by NYSE Euronext https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27127.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27127.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27127 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27127.pdf Rule - Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27126.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27126.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27126 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27126.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Sponsored Access Pilot Program https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27092.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27092.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27092 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27092.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27091.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27091.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27091 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27091.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of the Boston Options Exchange Facility https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27090.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27090.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27090 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27090.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status and Interim Trading Permit Access Fees https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27088.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27088.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27088 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27088.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Related to Professional Orders https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27087.html https://regulations.justia.com/regulations/fedreg/2009/11/12/E9-27087.html Thu, 12 Nov 2009 00:00:00 -0800 E9-27087 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-12/pdf/E9-27087.pdf