<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/07/28?registers=between Fri, 27 Dec 2024 21:49:52 -0800 Fri, 27 Dec 2024 21:49:52 -0800 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/2009/07/28?registers=between Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Accelerated Approval to a Proposed Rule Change Amending Rule 70.25 To Permit All Available Contra-Side Liquidity to Trigger the Execution of a d-Quote https://regulations.justia.com/regulations/fedreg/2009/07/28/Z9-16545.html https://regulations.justia.com/regulations/fedreg/2009/07/28/Z9-16545.html Tue, 28 Jul 2009 00:00:00 -0700 Z9-16545 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/Z9-16545.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2009/07/28/Z9-16179.html https://regulations.justia.com/regulations/fedreg/2009/07/28/Z9-16179.html Tue, 28 Jul 2009 00:00:00 -0700 Z9-16179 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/Z9-16179.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-18070.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-18070.html Tue, 28 Jul 2009 00:00:00 -0700 E9-18070 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-18070.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Haircuts Applied to Eligible Clearing Fund Securities https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17935.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17935.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17935 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17935.pdf Notice - Compagnie de Financement Foncier; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17892.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17892.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17892 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17892.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc. and NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Amending the By-Laws of The NASDAQ OMX Group, Inc., Their Parent Company https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17889.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17889.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17889 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17889.pdf Notice - Pax World Funds Trust II, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17884.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17884.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17884 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17884.pdf Notice - Joint Industry Plan; Notice of Filing of Amendment No. 3 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17883.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17883.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17883 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17883.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change Relating to Exchange Rules for the Options Order Protection and Locked/Crossed Market Plan https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17882.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17882.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17882 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17882.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17881.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17881.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17881 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17881.pdf Notice - Joint Industry Plan; Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc.; Notice of Filing of Amendments to the Intermarket Options Linkage Plan To Withdraw From the Plan https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17880.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17880.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17880 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17880.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Rescinding NYSE Rule 110 Which Establishes the Role of Competitive Traders and Exchange Rule 107A Which Establishes the Role of the Registered Competitive Market Makers https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17879.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17879.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17879 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17879.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Fee Schedule to Impose Fees for Ports Used for Order Entry and Receipt of Market Data https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17865.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17865.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17865 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17865.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17861.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17861.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17861 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17861.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17860.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17860.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17860 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17860.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17859.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17859.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17859 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17859.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend Rules 6440 and 6540 To Require Members To Create a Contemporaneous Record of Certain Customer and Order Information https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17858.html https://regulations.justia.com/regulations/fedreg/2009/07/28/E9-17858.html Tue, 28 Jul 2009 00:00:00 -0700 E9-17858 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-28/pdf/E9-17858.pdf