<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/04/20?registers=between Tue, 15 Apr 2025 15:07:12 -0700 Tue, 15 Apr 2025 15:07:12 -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/2009/04/20?registers=between Proposed Rule - Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8977.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8977.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8977 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8977.pdf Notice - Triangle Capital Corporation; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8965.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8965.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8965 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8965.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Fee Schedule https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8964.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8964.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8964 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8964.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Accommodate the Clearance and Settlement of Metals Futures and Options on Metals Futures Traded on NYSE Liffe https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8963.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8963.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8963 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8963.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change Relating to Changes to the Third Amended and Restated Limited Liability Company Operating Agreement of Direct Edge Holdings LLC https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8962.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8962.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8962 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8962.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing and Trading of the Safety First Trust Certificates Linked to the S&P 500® Index https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8961.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8961.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8961 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8961.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Rule 6.62 To Offer WAIT Modifier, PNP Plus Orders and Allow the Use of Attributable Orders https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8960.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8960.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8960 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8960.pdf Notice - Order Approving Increase to Public Company Accounting Oversight Board Annual Accounting Support Fee for Calendar Year 2009 https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8886.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8886.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8886 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8886.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8879.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8879.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8879 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8879.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC and NYSE Alternext US LLC (n/k/a NYSE Amex LLC); Order Granting Approval of Proposed Rule Changes Amending Rule 123C to Provide the Exchanges with the Ability to Temporarily Suspend Certain Requirements Relating to the Closing of Securities on the Exchange https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8878.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8878.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8878 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8878.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt IM-2830-1 (“Breakpoint” Sales) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8877.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8877.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8877 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8877.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8876.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8876.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8876 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8876.pdf Proposed Rule - Amendments to Regulation SHO https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8730.html https://regulations.justia.com/regulations/fedreg/2009/04/20/E9-8730.html Mon, 20 Apr 2009 00:00:00 -0700 E9-8730 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-04-20/pdf/E9-8730.pdf