<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/08/11?registers=between Wed, 18 Dec 2024 10:06:15 -0800 Wed, 18 Dec 2024 10:06:15 -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/2009/08/11?registers=between 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19186.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19186.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19186 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19186.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19185.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19185.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19185 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19185.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19184.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19184.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19184 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19184.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19183.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19183.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19183 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19183.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19149.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19149.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19149 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19149.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19148.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19148.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19148 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19148.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19147.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19147.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19147 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19147.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19146.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19146.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19146 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19146.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19145.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19145.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19145 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19145.pdf 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) https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19144.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19144.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19144 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19144.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19143.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19143.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19143 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19143.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19142.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19142.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19142 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19142.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19141.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19141.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19141 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19141.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19140.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19140.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19140 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19140.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19125.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19125.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19125 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19125.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19121.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19121.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19121 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19121.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19120.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19120.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19120 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19120.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19119.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19119.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19119 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19119.pdf Rule - Delegation of Authority to Director of Division of Enforcement https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19116.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19116.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19116 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19116.pdf Rule - Regulation S-AM: Limitations on Affiliate Marketing https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19020.html https://regulations.justia.com/regulations/fedreg/2009/08/11/E9-19020.html Tue, 11 Aug 2009 00:00:00 -0700 E9-19020 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-08-11/pdf/E9-19020.pdf