<![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/2009/11/17?registers=between Wed, 25 Jun 2025 22:35:37 -0700 Wed, 25 Jun 2025 22:35:37 -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/2009/11/17?registers=between 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 Exclude, for Purposes of Calculating the Automatic Execution Mode of Order Interaction (“AutoEx”) Liquidity Adding Displayed Order Rebate, An ETP Holder's Lowest Full Trading Day's Liquidity Adding Volume From The Determination of The ETP Holder's “Liquidity Adding Average Daily Volume” https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27505.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27505.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27505 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27505.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Amend the $1 Strike Program To Allow Low-Strike LEAPS https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27504.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27504.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27504 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27504.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 123C to Modify the Procedures for Its Closing Process and Making Conforming Changes to NYSE Rules 13 and 15 https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27503.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27503.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27503 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27503.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 123C To Modify the Procedures for Its Closing Process and Make Conforming Changes to NYSE Amex Equities Rules 13 and Rule 15 https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27502.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27502.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27502 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27502.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Permitting Affiliation With NYFIX Millennium LLC and NYFIX Securities Corporation https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27501.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27501.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27501 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27501.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX Securities Corporation https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27500.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27500.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27500 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27500.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No.1, to Add Seventy-Five Options Classes to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27499.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27499.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27499 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27499.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of ETFS Platinum Trust https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27495.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27495.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27495 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27495.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of ETFS Palladium Trust https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27494.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27494.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27494 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27494.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No.1, To Add Seventy-Five Options Classes to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27470.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27470.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27470 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27470.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Permitting Affiliation With NYFIX Millennium LLC and NYFIX Securities Corporation https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27469.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27469.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27469 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27469.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes to the Penny Pilot Program as Modified by Amendment No. 1 https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27468.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27468.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27468 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27468.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Conduct of Business on the Exchange https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27467.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27467.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27467 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27467.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27466.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27466.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27466 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27466.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00 on the NASDAQ Options Market https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27465.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27465.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27465 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27465.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Non Firm Quote Conditions https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27464.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27464.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27464 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27464.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, To Require Members To Report OTC Transactions in Equity Securities Within 30 Seconds of Execution https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27463.html https://regulations.justia.com/regulations/fedreg/2009/11/17/E9-27463.html Tue, 17 Nov 2009 00:00:00 -0800 E9-27463 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-17/pdf/E9-27463.pdf