<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/10/01?registers=between Wed, 18 Dec 2024 03:59:49 -0800 Wed, 18 Dec 2024 03:59:49 -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/2009/10/01?registers=between Notice - In the Matter of Consumers Financial Corporation; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23805.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23805.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23805 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23805.pdf Notice - Ridgewood Capital Energy Growth Fund, LLC, et al. https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23730.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23730.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23730 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23730.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change Relating to Amendments to Rule G-11(i) (Settlement of Syndicate or Similar Account), Rule G-11(j) (Payment of Designations), and Rule G-12(i) (Settlement of Joint or Similar Account) https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23701.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23701.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23701 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23701.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend to November 30, 2010, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23699.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23699.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23699 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23699.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending Commentary .04 to Rule 6.4 Series of Options Open for Trading https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23698.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23698.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23698 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23698.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23669.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23669.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23669 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23669.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating To Listing Four Grail Advisors RP Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23626.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23626.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23626 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23626.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending Rule 10.12 (Minor Rule Plan) https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23625.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23625.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23625 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23625.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Related to Market-Maker and Specialist Orders https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23624.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23624.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23624 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23624.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Payment Order System for Premium Payment Orders https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23623.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23623.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23623 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23623.pdf Notice - Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23622.html https://regulations.justia.com/regulations/fedreg/2009/10/01/E9-23622.html Thu, 01 Oct 2009 00:00:00 -0700 E9-23622 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-01/pdf/E9-23622.pdf