<![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/2009/12/30?registers=between Sun, 22 Dec 2024 06:04:31 -0800 Sun, 22 Dec 2024 06:04:31 -0800 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/2009/12/30?registers=between Notice - Sunshine Act Meeting Notice https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-31076.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-31076.html Wed, 30 Dec 2009 00:00:00 -0800 E9-31076 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-31076.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Proposing To Amend Section 703.22 of the Listed Company Manual https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30948.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30948.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30948 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30948.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Increasing the Session Fee for the Regulatory Element of Continuing Education Requirements https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30928.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30928.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30928 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30928.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving the Proposed Rule Change, as Modified by Amendment No. 1, 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/2009/12/30/E9-30927.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30927.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30927 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30927.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Fee Schedule of the Boston Options Exchange Facility https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30926.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30926.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30926 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30926.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30925.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30925.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30925 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30925.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing of Grail McDonnell Fixed Income ETFs https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30919.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30919.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30919 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30919.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To List and Trade Options on the ETFS Gold Trust and the ETFS Silver Trust https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30917.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30917.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30917 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30917.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Commentary .10 to Rule 915 and Commentary .11 to Rule 916 https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30916.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30916.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30916 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30916.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 5.3 https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30915.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30915.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30915 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30915.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IM-2110-7 To Reflect Changes to Corresponding FINRA Rule https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30914.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30914.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30914 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30914.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Hearing Location Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes December 22, 2009. https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30913.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30913.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30913 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30913.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Rules Relating to Conduct of Business on the Exchange https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30912.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30912.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30912 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30912.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Rule 11 Governing Round Lots, Odd Lots and Mixed Lots. https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30911.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30911.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30911 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30911.pdf Rule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30877.html https://regulations.justia.com/regulations/fedreg/2009/12/30/E9-30877.html Wed, 30 Dec 2009 00:00:00 -0800 E9-30877 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-30/pdf/E9-30877.pdf