Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/03/11?limit=200&registers=between&mode=atom 2024-05-23T03:20:40-07:00 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/2009/03/11/E9-5212.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to the Adoption of FINRA Rule 2140 (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) in the Consolidated FINRA Rulebook 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5212 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5212.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5211.html Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc. 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5211 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5211.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5210.html Notice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc. 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5210 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5210.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5209.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Temporarily Suspend Its Price Continued Listing Standard and Extend the Period of the Temporary Lowering of Its Average Global Market Capitalization Continued Listing Standard 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5209 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5209.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5208.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the CBSX Direct Connectivity Charge and the Trading Permit Application Fee 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5208 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5208.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5207.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating to the Reduction of the Annual Fee for Certain Issues Listed Under Rule 5.2(j)(6) 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5207 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5207.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5206.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5206 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5206.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5205.html 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 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5205 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5205.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5204.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Arca, Inc. Implementing Fee Change 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5204 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5204.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5203.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Definition of TRACE-Eligible Security To Include Securities Eligible for Public Sale and Additional Securities That Are Restricted Securities 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5203 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5203.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5202.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Rule 10.16, Sanctioning Guidelines 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5202 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5202.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5132.html Notice - Sunshine Act Meeting 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5132 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5132.pdf https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5130.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to Order Handling and Exposure Periods on the Boston Options Exchange Facility 2009-03-11T00:00:00-07:00 2009-03-11T00:00:00-07:00 E9-5130 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5130.pdf