Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/08/11?limit=200&registers=between&mode=atom 2024-12-18T10:01:49-08:00 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/2009/08/11/E9-19186.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amending the Direct Edge ECN Fee Schedule 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19186 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19186.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19185.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Amounts That Direct Edge ECN, in Its Capacity as an Introducing Broker for Non-ISE Members, Passes Through to Such Non-ISE Members 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19185 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19185.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19184.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Modify Certain Equity Transaction Fees and Rebates 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19184 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19184.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19183.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19183 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19183.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19149.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status and Interim Trading Permit Access Fees 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19149 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19149.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19148.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC To Change the Transaction Fee for Market At-the-Close and Limit At-the-Close Orders 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19148 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19148.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19147.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19147 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19147.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19146.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of the Boston Options Exchange Facility To Implement The Non-Penny Pilot Class Pricing Structure 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19146 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19146.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19145.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 1000 To Allow Exchange Systems To Access CCS Interest To Partially Fill an Incoming Limit Order 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19145 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19145.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19144.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(oo) 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19144 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19144.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19143.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Exchange's By-Laws, Regulatory Oversight Committee and Referee Program 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19143 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19143.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19142.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Incorporated NYSE Rules 12 and 282 To Conform to Amendments Made by NYSE 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19142 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19142.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19141.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Fee Schedule for Members Using the NASDAQ Market Center 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19141 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19141.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19140.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 1000 To Allow Exchange Systems to Access CCS Interest to Partially Fill an Incoming Limit Order 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19140 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19140.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19125.html Notice - Notice Regarding the Requirement To Use eXtensible Business Reporting Language Format To Make Publicly Available the Information Required Pursuant to Rule 17g-2(d) of the Exchange Act 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19125 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19125.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19121.html Notice - Submission for OMB Review; Comment Request 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19121 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19121.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19120.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 103B to Modify the Composition of the Exchange Selection Panel; and Prohibit any Ex Parte Communications During and Regarding the Selection Process between the DMM Units and the Individuals Serving on the Exchange Selection Panel 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19120 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19120.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19119.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 103B to Modify the Composition of the Exchange Selection Panel; and Prohibit Any Ex Parte Communications During and Regarding the Selection Process Between the DMM Units and the Individuals Serving on the Exchange Selection Panel 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19119 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19119.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19116.html Rule - Delegation of Authority to Director of Division of Enforcement 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19116 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19116.pdf https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19020.html Rule - Regulation S-AM: Limitations on Affiliate Marketing 2009-08-11T00:00:00-07:00 2009-08-11T00:00:00-07:00 E9-19020 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19020.pdf