Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/07/27?limit=200&registers=between&mode=atom 2024-12-27T21:50:45-08:00 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/2009/07/27/E9-17820.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Guidance on Disclosure and Other Sales Practice Obligations to Individual and Other Retail Investors in Municipal Securities 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17820 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17820.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17819.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying Fees for Members Using the NASDAQ Options Market 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17819 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17819.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17768.html Notice - Proposed Extension of Existing Collection; Comment Request 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17768 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17768.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17767.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Modify Routing of Orders From NASDAQ Options Market to an Affiliate Exchange 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17767 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17767.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17766.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Rejection of Undisplayed Odd-Lot Orders From the Exchange's Matching System 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17766 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17766.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17765.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Procedures To Prevent Information Advantages Resulting From the Affiliation Between BOX and NOS 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17765 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17765.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17764.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rules 1010 (Electronic Filing Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17764 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17764.pdf https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17763.html Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twelfth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan 2009-07-27T00:00:00-07:00 2009-07-27T00:00:00-07:00 E9-17763 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17763.pdf