Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/09/11?limit=200&registers=between&mode=atom 2024-12-18T06:40:55-08:00 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/2009/09/11/E9-21923.html Notice - Alpine Global Dynamic Dividend Fund, et al.; Notice of Application 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21923 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21923.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21909.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit CBOE To List Series That Are Restricted to Closing Transactions if Such Series Are Listed and Restricted To Closing Transactions on Another Exchange 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21909 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21909.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21908.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing of Five Fixed Income Funds of the PIMCO ETF Trust 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21908 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21908.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21889.html Notice - American Capital, Ltd.; Notice of Application 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21889 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21889.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21888.html Notice - Columbia Funds Series Trust, et al.; Notice of Application 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21888 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21888.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21887.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Options Rule 915 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21887 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21887.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21886.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Options Rule 5.3(j) 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21886 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21886.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21885.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Section 1(c) of Schedule A to the FINRA By-Laws To Amend the Personnel Assessment and Gross Income Assessment 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21885 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21885.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21884.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Modify Rebates Payable to Designated Market Makers 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21884 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21884.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21883.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) Into the Consolidated Rulebook 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21883 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21883.pdf https://regulations.justia.com/regulations/fedreg/2009/09/11/E9-21882.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change To Add the Quote@CHX and Reprice@CHX Order Types to the Brokerplex System 2009-09-11T00:00:00-07:00 2009-09-11T00:00:00-07:00 E9-21882 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-11/pdf/E9-21882.pdf