Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/01/16?limit=200&registers=between&mode=atom 2024-11-24T00:44:16-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-932.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 103B (“Security Allocation and Reallocation”) to: (1) Prohibit DMM Units From Communicating With Issuers After Receipt of Notice From the Exchange of the Issuer's Impending Listing; (2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather Than the Day Before; and (3) Allow an Issuer Transferring From NYSE Alternext U.S. LLC to the NYSE To Retain its DMM Unit if Such DMM Unit Is an Approved and Registered DMM on the NYSE 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-932 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-932.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-931.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-931 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-931.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-930.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext US LLC Amending NYSE Alternext Equities Rule 103B To Conform to Amendments Filed by the New York Stock Exchange To: (1) Prohibit DMM Units From Communicating With Issuers After Receipt of Notice From the Exchange of the Issuer's Impending Listing; and (2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather Than the Day Before 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-930 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-930.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-929.html Notice - Proposed Collection; Comment Request 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-929 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-929.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-882.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 1 to the National Market System Plan for the Selection and Reservation of Securities Symbols To Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Alternext Exchange US LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc. 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-882 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-882.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-881.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC To Memorialize an Interpretation of the Listed Company Manual Concerning Shareholder Approval Requirements and To Describe a Certain Application of its Audit Committee Rule 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-881 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-881.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-880.html Notice - Proposed Collection; Comment Request 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-880 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-880.pdf https://regulations.justia.com/regulations/fedreg/2009/01/16/E9-597.html Rule - Indexed Annuities And Certain Other Insurance Contracts 2009-01-16T00:00:00-08:00 2009-01-16T00:00:00-08:00 E9-597 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-01-16/pdf/E9-597.pdf