Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/06/15?limit=200&registers=between&mode=atom 2024-11-21T22:09:32-08:00 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/2009/06/15/E9-14075.html Notice - Sunshine Act Meeting 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-14075 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14075.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14007.html Notice - Proposed Collection; Comment Request 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-14007 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14007.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14006.html Notice - Banc of America Securities LLC, et al.; Notice of Application and Temporary Order 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-14006 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14006.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-14005.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Listing and Trading of Safety First Trust Certificates Linked to the S&P 500® Index 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-14005 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-14005.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13981.html Notice - Deutsche Bank Securities Inc., et al.; Notice of Application and Temporary Order 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-13981 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13981.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13980.html Notice - RBC Capital Markets Corporation, et al.; Notice of Application and Temporary Order 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-13980 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13980.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13975.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Repeal Incorporated NYSE Rule 134 (Differences and Omissions-Cleared Transactions) and NYSE Rule 440I (Records of Compensation Arrangements-Floor Brokerage) as Part of the Process To Develop the Consolidated FINRA Rulebook 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-13975 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13975.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13974.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Pricing for NASDAQ “Flash” Functionality for Routable Orders 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-13974 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13974.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13973.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule To (i) Increase From 50,000 to 5 Million the Liquidity Adding Average Daily Volume Thresholds in the Automatic Execution Mode of Order Interaction (“AutoEx”); (ii) Include Securities Less Than One Dollar in the Calculation of Liquidity Adding and Total Average Volume Thresholds in AutoEx; and (iii) Eliminate the Two Lower Tiers With Respect to the AutoEx Liquidity Adding Zero Display Order Rebate 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-13973 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13973.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13972.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-13972 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13972.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13971.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2124 (Net Transactions With Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-13971 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13971.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13970.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Generic Listing Rules for Currency Trust Shares 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-13970 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13970.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13969.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Adoption of Listing Standards for Managed Trust Securities and the Listing and Trading of Shares of the iShares® Diversified Alternatives Trust 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-13969 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13969.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13968.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Moratorium Related to the Qualification and Registration of Registered Competitive Market Makers Pursuant to NYSE Rule 107A and Competitive Traders Pursuant to NYSE Rule 110 to the Earlier of the Approval of SR-NYSE-2009-08 or June 30, 2009 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-13968 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13968.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13967.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend the Panel Composition Rules of the Code of Arbitration Procedure for Industry Disputes 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-13967 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13967.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13966.html Notice - Self-Regulatory Organizations; NYSE Amex LLC, Notice of Filing of a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-side Liquidity To Trigger the Execution of a d-Quote 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-13966 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13966.pdf https://regulations.justia.com/regulations/fedreg/2009/06/15/E9-13934.html Notice - Investor Advisory Committee; Notice of Federal Advisory Committee Establishment; Correction 2009-06-15T00:00:00-07:00 2009-06-15T00:00:00-07:00 E9-13934 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-15/pdf/E9-13934.pdf