<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/03/11?registers=between Thu, 23 May 2024 04:43:17 -0700 Thu, 23 May 2024 04:43:17 -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/2009/03/11?registers=between 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 https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5212.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5212.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5212 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5212.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5211.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5211.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5211 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5211.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5210.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5210.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5210 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5210.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5209.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5209.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5209 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5209.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5208.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5208.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5208 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5208.pdf 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) https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5207.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5207.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5207 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5207.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5206.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5206.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5206 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5206.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/2009/03/11/E9-5205.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5205.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5205 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5205.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Rule Change by NYSE Arca, Inc. Implementing Fee Change https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5204.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5204.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5204 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5204.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5203.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5203.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5203 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5203.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5202.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5202.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5202 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5202.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5132.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5132.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5132 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5132.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5130.html https://regulations.justia.com/regulations/fedreg/2009/03/11/E9-5130.html Wed, 11 Mar 2009 00:00:00 -0700 E9-5130 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-03-11/pdf/E9-5130.pdf