<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2008/12/29?registers=between Thu, 02 May 2024 16:13:21 -0700 Thu, 02 May 2024 16:13:21 -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/securities-and-exchange-commission/2008/12/29?registers=between Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5240 (Anti Intimidation / Coordination) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30790.html https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30790.html Mon, 29 Dec 2008 00:00:00 -0800 E8-30790 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30790.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Minimum Price Variation of $0.01 for Orders and Quotations in Bonds Admitted to Dealings on NYSE https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30789.html https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30789.html Mon, 29 Dec 2008 00:00:00 -0800 E8-30789 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30789.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Name of BATS Holdings, Inc. https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30788.html https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30788.html Mon, 29 Dec 2008 00:00:00 -0800 E8-30788 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30788.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC That the $8,000,000 Annual Trading Floor Regulatory Fee Allocated Among the Designated Market Maker Firms, Formerly Referred to as the “Specialist Trading Floor Regulatory Fee,” Be Reduced by 50% for 2008, and Eliminated Thereafter https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30787.html https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30787.html Mon, 29 Dec 2008 00:00:00 -0800 E8-30787 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30787.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Relating to Applicant and Member Disqualification Criteria https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30786.html https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30786.html Mon, 29 Dec 2008 00:00:00 -0800 E8-30786 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30786.pdf Notice - Self-Regulatory Organizations: Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Adoption of NASD Rules 12805 and 13805 as FINRA Rules in the New Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30785.html https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30785.html Mon, 29 Dec 2008 00:00:00 -0800 E8-30785 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30785.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Discontinue Policy of Prohibiting Transfer Agents from Charging Fees for Issuing Stock Certificates https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30784.html https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30784.html Mon, 29 Dec 2008 00:00:00 -0800 E8-30784 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30784.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change to Amend Rules to Add an Agreement from Fund Members that Submit Mutual Fund Profile Information https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30783.html https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30783.html Mon, 29 Dec 2008 00:00:00 -0800 E8-30783 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30783.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30782.html https://regulations.justia.com/regulations/fedreg/2008/12/29/E8-30782.html Mon, 29 Dec 2008 00:00:00 -0800 E8-30782 Notice http://www.gpo.gov/fdsys/pkg/FR-2008-12-29/pdf/E8-30782.pdf