<![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/2009/11/23?registers=between Wed, 02 Jul 2025 23:46:06 -0700 Wed, 02 Jul 2025 23:46:06 -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/2009/11/23?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28125.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28125.html Mon, 23 Nov 2009 00:00:00 -0800 E9-28125 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-28125.pdf Notice - Joint Order To Exclude Indexes Composed of Certain Index Options From the Definition of Narrow-Based Security Index Pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28101.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28101.html Mon, 23 Nov 2009 00:00:00 -0800 E9-28101 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-28101.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Revise the Minimum Eligibility Criteria for Common Stock Loaned Through Stock Loan Programs and Deposited as Margin Collateral https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28023.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28023.html Mon, 23 Nov 2009 00:00:00 -0800 E9-28023 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-28023.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment Nos. 1, 2, 3, and 4 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1, 2, 3, and 4, Relating to Historic TRACE Data https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28000.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-28000.html Mon, 23 Nov 2009 00:00:00 -0800 E9-28000 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-28000.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Closing Settlement Value for the Brazilian Real https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27999.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27999.html Mon, 23 Nov 2009 00:00:00 -0800 E9-27999 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27999.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require That Companies Provide Nasdaq With at Least Ten Minutes Prior Notification When Releasing Material Information and Eliminate a Potential Inconsistency With Commission Guidance on the Use of Company Websites To Satisfy Public Disclosure Requirements https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27998.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27998.html Mon, 23 Nov 2009 00:00:00 -0800 E9-27998 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27998.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to Availability of Information Pursuant to FINRA Rule 8312 (FINRA BrokerCheck Disclosure) https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27997.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27997.html Mon, 23 Nov 2009 00:00:00 -0800 E9-27997 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27997.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Restructuring of Quotation Collection and Dissemination for OTC Equity Securities https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27994.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27994.html Mon, 23 Nov 2009 00:00:00 -0800 E9-27994 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27994.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Options Market https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27993.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27993.html Mon, 23 Nov 2009 00:00:00 -0800 E9-27993 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27993.pdf Proposed Rule - Regulation of Non-Public Trading Interest https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27951.html https://regulations.justia.com/regulations/fedreg/2009/11/23/E9-27951.html Mon, 23 Nov 2009 00:00:00 -0800 E9-27951 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-11-23/pdf/E9-27951.pdf