<![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?registers=between&min-day=1&max-day=31 Mon, 20 May 2024 13:08:34 -0700 Mon, 20 May 2024 13:08:34 -0700 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?registers=between&min-day=1&max-day=31 Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Clearance and Settlement of Treasury Futures Contracts https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18279.html https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18279.html Fri, 31 Jul 2009 00:00:00 -0700 E9-18279 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18279.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Approving Proposed Rule Change To Charge a $500 Monthly Fee to Recipients of the NYSE Amex Order Imbalance Information Datafeed https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18275.html https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18275.html Fri, 31 Jul 2009 00:00:00 -0700 E9-18275 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18275.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18274.html https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18274.html Fri, 31 Jul 2009 00:00:00 -0700 E9-18274 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18274.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Cash-Settled Foreign Currency Index Options https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18273.html https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18273.html Fri, 31 Jul 2009 00:00:00 -0700 E9-18273 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18273.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Schedule of Fees and Charges for Exchange Services https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18272.html https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18272.html Fri, 31 Jul 2009 00:00:00 -0700 E9-18272 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18272.pdf Notice - Self-Regulatory Organizations; NYSE Amex, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Implementing the Schedule of Fees and Charges for Exchange Services https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18271.html https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18271.html Fri, 31 Jul 2009 00:00:00 -0700 E9-18271 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18271.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change as Amended, Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18270.html https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18270.html Fri, 31 Jul 2009 00:00:00 -0700 E9-18270 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18270.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.9, Entitled “Orders and Modifiers” https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18228.html https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18228.html Fri, 31 Jul 2009 00:00:00 -0700 E9-18228 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18228.pdf Rule - Amendments to Regulation SHO https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18185.html https://regulations.justia.com/regulations/fedreg/2009/07/31/E9-18185.html Fri, 31 Jul 2009 00:00:00 -0700 E9-18185 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-07-31/pdf/E9-18185.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18172.html https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18172.html Thu, 30 Jul 2009 00:00:00 -0700 E9-18172 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18172.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18171.html https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18171.html Thu, 30 Jul 2009 00:00:00 -0700 E9-18171 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18171.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18170.html https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18170.html Thu, 30 Jul 2009 00:00:00 -0700 E9-18170 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18170.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by International Securities Exchange, LLC Relating to Changes to Rule 312 in Connection With the Purchase of Equity Interests by International Securities Exchange Holdings, Inc. in Optifreeze, LLC https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18169.html https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18169.html Thu, 30 Jul 2009 00:00:00 -0700 E9-18169 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18169.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to the Complex Order Book https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18168.html https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18168.html Thu, 30 Jul 2009 00:00:00 -0700 E9-18168 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18168.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Chicago Board Options Exchange Stock Exchange Fees Schedule To Establish Facility Fees https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18167.html https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18167.html Thu, 30 Jul 2009 00:00:00 -0700 E9-18167 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18167.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding the CBSX Floor Post https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18166.html https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18166.html Thu, 30 Jul 2009 00:00:00 -0700 E9-18166 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18166.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market Through July 31, 2009 https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18165.html https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18165.html Thu, 30 Jul 2009 00:00:00 -0700 E9-18165 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18165.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASDAQ Rule 4751 To Provide System Functionality That Will Cancel Any Portion of Most Types of Unpriced Orders https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18164.html https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18164.html Thu, 30 Jul 2009 00:00:00 -0700 E9-18164 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18164.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval 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 https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18163.html https://regulations.justia.com/regulations/fedreg/2009/07/30/E9-18163.html Thu, 30 Jul 2009 00:00:00 -0700 E9-18163 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-30/pdf/E9-18163.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Regarding Statutory Disqualification Procedures https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17992.html https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17992.html Wed, 29 Jul 2009 00:00:00 -0700 E9-17992 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17992.pdf Notice - Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of Eurex Clearing AG Related to Central Clearing of Credit Default Swaps, and Request for Comments https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17991.html https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17991.html Wed, 29 Jul 2009 00:00:00 -0700 E9-17991 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17991.pdf Notice - Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of Ice Clear Europe Limited Related to Central Clearing of Credit Default Swaps, and Request for Comments https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17990.html https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17990.html Wed, 29 Jul 2009 00:00:00 -0700 E9-17990 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17990.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17989.html https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17989.html Wed, 29 Jul 2009 00:00:00 -0700 E9-17989 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17989.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17943.html https://regulations.justia.com/regulations/fedreg/2009/07/29/E9-17943.html Wed, 29 Jul 2009 00:00:00 -0700 E9-17943 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-29/pdf/E9-17943.pdf 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 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 https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17820.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17820.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17820 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17820.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17819.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17819.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17819 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17819.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17768.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17768.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17768 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17768.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17767.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17767.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17767 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17767.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17766.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17766.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17766 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17766.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17765.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17765.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17765 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17765.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17764.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17764.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17764 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17764.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17763.html https://regulations.justia.com/regulations/fedreg/2009/07/27/E9-17763.html Mon, 27 Jul 2009 00:00:00 -0700 E9-17763 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-27/pdf/E9-17763.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17769.html https://regulations.justia.com/regulations/fedreg/2009/07/24/E9-17769.html Fri, 24 Jul 2009 00:00:00 -0700 E9-17769 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-07-24/pdf/E9-17769.pdf