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https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2009/12/07?registers=between
Fri, 10 Jan 2025 08:33:38 -0800Fri, 10 Jan 2025 08:33:38 -0800Justia Regulations TrackerCopyright 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/2009/12/07?registers=between
Notice - Sunshine Act Meeting
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29135.html
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29135.htmlMon, 07 Dec 2009 00:00:00 -0800E9-29135Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29135.pdfNotice - Proposed Collection; Comment Request
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29046.html
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29046.htmlMon, 07 Dec 2009 00:00:00 -0800E9-29046Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29046.pdfNotice - Proposed Extension of Collection; Comment Request
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29045.html
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29045.htmlMon, 07 Dec 2009 00:00:00 -0800E9-29045Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29045.pdfNotice - Submission for OMB Review; Comment Request
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29044.html
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29044.htmlMon, 07 Dec 2009 00:00:00 -0800E9-29044Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29044.pdfNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to FINRA's Rules Governing Clearly Erroneous Executions
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29043.html
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29043.htmlMon, 07 Dec 2009 00:00:00 -0800E9-29043Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29043.pdfNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change to Allow Members To Deposit Customer Fully Paid or Excess Margin Securities to the Extent Permitted by No-Action Relief or Interpretive Guidance From the Commission or Interpretive Guidance From a Self-Regulatory Organization
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29042.html
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29042.htmlMon, 07 Dec 2009 00:00:00 -0800E9-29042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29042.pdfNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Definition of Material Changes in Business Operations Found in the Membership Rules and to Make a Technical Correction
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29041.html
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29041.htmlMon, 07 Dec 2009 00:00:00 -0800E9-29041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29041.pdfNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operation of its Supplemental Liquidity Providers Pilot, Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or March 30, 2010
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29040.html
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29040.htmlMon, 07 Dec 2009 00:00:00 -0800E9-29040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29040.pdfNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Definition of Material Changes in Business Operations Found in the Membership Rules and To Make a Technical Correction
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29039.html
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29039.htmlMon, 07 Dec 2009 00:00:00 -0800E9-29039Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29039.pdfNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Appoving 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/2009/12/07/E9-29038.html
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29038.htmlMon, 07 Dec 2009 00:00:00 -0800E9-29038Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29038.pdfNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASDAQ's Portal Reference Database
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29037.html
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29037.htmlMon, 07 Dec 2009 00:00:00 -0800E9-29037Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29037.pdfNotice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending NYSE Amex Equities Rule 70 in Order To Update d-Quote Functionality and Provide for e-Quotes To Peg to the National Best Bid or Offer
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28999.html
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28999.htmlMon, 07 Dec 2009 00:00:00 -0800E9-28999Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-28999.pdfNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 70 in Order To Update d-Quote Functionality and Provide for e-Quotes To Peg to the National Best Bid or Offer
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28998.html
https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28998.htmlMon, 07 Dec 2009 00:00:00 -0800E9-28998Noticehttp://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-28998.pdf