Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/05/27?limit=200&registers=between&mode=atom 2024-11-24T02:55:05-08:00 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/2009/05/27/E9-12219.html Notice - Main Street Capital Corporation, et al.; Notice of Application 2009-05-27T00:00:00-07:00 2009-05-27T00:00:00-07:00 E9-12219 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12219.pdf https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12218.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt Incorporated NYSE Rule 406 (Designation of Accounts) as a FINRA Rule in the Consolidated FINRA Rulebook 2009-05-27T00:00:00-07:00 2009-05-27T00:00:00-07:00 E9-12218 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12218.pdf https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12217.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.72 Governing Trading Differentials and Proposing To Expand the Penny Pilot 2009-05-27T00:00:00-07:00 2009-05-27T00:00:00-07:00 E9-12217 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12217.pdf https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12216.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program for Directed Orders 2009-05-27T00:00:00-07:00 2009-05-27T00:00:00-07:00 E9-12216 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12216.pdf https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12215.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Adopt a Policy With Respect to the Treatment of Aberrant Trades 2009-05-27T00:00:00-07:00 2009-05-27T00:00:00-07:00 E9-12215 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12215.pdf https://regulations.justia.com/regulations/fedreg/2009/05/27/E9-12182.html Proposed Rule - Custody of Funds or Securities of Clients by Investment Advisers 2009-05-27T00:00:00-07:00 2009-05-27T00:00:00-07:00 E9-12182 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-05-27/pdf/E9-12182.pdf