Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/06/24?limit=200&registers=between&mode=atom 2024-11-21T22:41:02-08:00 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/2009/06/24/E9-14802.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rulebook 2009-06-24T00:00:00-07:00 2009-06-24T00:00:00-07:00 E9-14802 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14802.pdf https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14801.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Until July 15, 2009 the Operation of Interim NYSE Rule 128, Which Permits the Exchange To Cancel or Adjust Clearly Erroneous Executions 2009-06-24T00:00:00-07:00 2009-06-24T00:00:00-07:00 E9-14801 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14801.pdf https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14800.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Related to the Complex Order Book 2009-06-24T00:00:00-07:00 2009-06-24T00:00:00-07:00 E9-14800 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14800.pdf https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14799.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Regarding Appointments of CBSX DPMs 2009-06-24T00:00:00-07:00 2009-06-24T00:00:00-07:00 E9-14799 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14799.pdf https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14798.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Margin Requirements 2009-06-24T00:00:00-07:00 2009-06-24T00:00:00-07:00 E9-14798 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14798.pdf https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14797.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Margin Requirements 2009-06-24T00:00:00-07:00 2009-06-24T00:00:00-07:00 E9-14797 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14797.pdf https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14796.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change to Charge a $500 Monthly Fee to Recipients of the NYSE Amex Order Imbalance Information Datafeed 2009-06-24T00:00:00-07:00 2009-06-24T00:00:00-07:00 E9-14796 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14796.pdf https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14726.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases 2009-06-24T00:00:00-07:00 2009-06-24T00:00:00-07:00 E9-14726 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14726.pdf https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14725.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Available Without Charge the NYSE Amex OpenBookTM 2009-06-24T00:00:00-07:00 2009-06-24T00:00:00-07:00 E9-14725 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14725.pdf https://regulations.justia.com/regulations/fedreg/2009/06/24/E9-14723.html Notice - Self-Regulatory Organizations; NYSE Amex, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees and Charges for Exchange Services by Adding a Ratio Threshold Fee 2009-06-24T00:00:00-07:00 2009-06-24T00:00:00-07:00 E9-14723 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-06-24/pdf/E9-14723.pdf