<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/09/28?registers=between Wed, 18 Dec 2024 06:49:38 -0800 Wed, 18 Dec 2024 06:49:38 -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/2009/09/28?registers=between Notice - In the Matter of DTVN Holdings, Inc., Employee Solutions, Inc., Falcon Natural Gas Corp., Internet Commerce & Communications, Inc., Osage Systems Group, Inc., Payless Cashways, Inc., PC Service Source, Inc., Play by Play Toys & Novelties, Inc., Powerbrief, Inc., Southern Energy Company, Inc., Strategia Corp. (n/k/a Catthai Corp.), and TTI Industries, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23422.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23422.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23422 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23422.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment Nos. 1 and 3 and Order Granting Partial Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, Amending NYSE Arca Rule 6.72 and Expanding the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23374.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23374.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23374 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23374.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to NYSE Arca Equities Rule 7.10 Governing Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23358.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23358.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23358 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23358.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23308.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23308.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23308 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23308.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23307.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23307.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23307 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23307.pdf Notice - Self-Regulatory Organizations; NYSE Amex, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Implementing a Fee for Complex Orders to Its Schedule of Fees and Charges for Exchange Services https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23306.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23306.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23306 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23306.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC, as Modified by Amendment No. 1, Amending Rule 36-NYSE Amex Equities To Conform With Proposed Amendments to Corresponding NYSE Rule 36 To Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23305.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23305.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23305 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23305.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC, as Modified by Amendment No. 1, Amending NYSE Rule 36 To Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23304.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23304.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23304 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23304.pdf Notice - Annuity Investors Life Insurance Company, et al., Notice of Application https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23277.html https://regulations.justia.com/regulations/fedreg/2009/09/28/E9-23277.html Mon, 28 Sep 2009 00:00:00 -0700 E9-23277 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-09-28/pdf/E9-23277.pdf