<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/09/16?registers=between Wed, 18 Dec 2024 07:26:27 -0800 Wed, 18 Dec 2024 07:26:27 -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/2009/09/16?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22431.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22431.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22431 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22431.pdf Notice - Securities Lending and Short Sale Roundtable https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22264.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22264.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22264 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22264.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22247.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22247.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22247 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22247.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for Investment Banking Representative Examination https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22246.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22246.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22246 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22246.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Exposure of Reserve Orders https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22245.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22245.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22245 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22245.pdf Notice - Consolidated Tape Association; Order Approving the Eleventh Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan To Waive the Automatic Annual Increase in the Enterprise Cap for 2008 https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22244.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22244.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22244 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22244.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding Listing Certain Options at $1 Strike Price Intervals Below $200 and Listing Certain Options at $2.50 Strike Price Intervals Below $200 https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22243.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22243.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22243 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22243.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22240.html https://regulations.justia.com/regulations/fedreg/2009/09/16/E9-22240.html Wed, 16 Sep 2009 00:00:00 -0700 E9-22240 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-16/pdf/E9-22240.pdf