<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/02/11?registers=between Sun, 24 Nov 2024 03:55:35 -0800 Sun, 24 Nov 2024 03:55:35 -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/securities-and-exchange-commission/2009/02/11?registers=between Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Sponsored Access https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2858.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2858.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2858 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2858.pdf Notice - Joint Industry Plan; Order Approving Amendment To Add the BATS Exchange, Inc. as Participant to National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2857.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2857.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2857 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2857.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Alternext U.S. LLC Amending NYSE Alternext Equities Rules 116 and 123C To Create a Single Closing Print To Be Reported to the Consolidated Tape for Each Security https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2856.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2856.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2856 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2856.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. To Establish a Technical Original Listing Fee Specific to Derivative Securities Products and Structured Products https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2855.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2855.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2855 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2855.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a 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/2009/02/11/E9-2854.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2854.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2854 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2854.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change To Discontinue Policy of Prohibiting Transfer Agents From Charging Fees for Issuing Stock Certificates https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2853.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2853.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2853 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2853.pdf Notice - Self-Regulatory Organizations; NYSE Alternext US LLC; Order Approving Proposed Rule Change To Establish the Risk Management Gateway Service https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2852.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2852.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2852 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2852.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2851.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2851.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2851 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2851.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2850.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2850.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2850 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2850.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2849.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2849.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2849 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2849.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2848.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2848.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2848 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2848.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure To Require Arbitrators To Provide an Explained Decision Upon the Joint Request of the Parties https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2775.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2775.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2775 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2775.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Adopt a Trade, Flash and Cancel Order Type for CBSX https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2774.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2774.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2774 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2774.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status and Interim Trading Permit Access Fees https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2773.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2773.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2773 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2773.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 5.4 To Eliminate the $3 Market Price Per Share Requirement https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2772.html https://regulations.justia.com/regulations/fedreg/2009/02/11/E9-2772.html Wed, 11 Feb 2009 00:00:00 -0800 E9-2772 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-02-11/pdf/E9-2772.pdf