Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/10/08?limit=200&registers=between&mode=atom 2024-12-18T04:28:18-08:00 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/2009/10/08/E9-24269.html Notice - Proposed Collection; Comment Request 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24269 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24269.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24268.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PrecISE Fees 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24268 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24268.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24267.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend on CBSX the Taker Fees and Maker Rebates 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24267 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24267.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24266.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees for Certain Complex Orders 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24266 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24266.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24265.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References Within Certain FINRA Rules 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24265 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24265.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24264.html 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 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24264 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24264.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24263.html 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 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24263 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24263.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24262.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Discontinue Rebates Paid to Floor Brokers for Orders Swept Into the Close 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24262 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24262.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24261.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24261 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24261.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24260.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Modify Its Requirements With Respect to Quarterly Earnings Releases 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24260 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24260.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24259.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt NASD Rules 2360 and 2361 Into the Consolidated Rulebook as FINRA Rules 2130 and 2270 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24259 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24259.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24250.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Clearly Erroneous Executions 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24250 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24250.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24249.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Rule 11.19 Governing Clearly Erroneous Executions 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24249 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24249.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24248.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the CBSX Obvious Error Rule 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24248 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24248.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24247.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.17, Entitled “Clearly Erroneous Executions” 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24247 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24247.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24246.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 128 Governing Clearly Erroneous Executions for NYSE Amex Equities 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24246 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24246.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24245.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Interim Rule 128 Governing Clearly Erroneous Executions for NYSE Equities 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24245 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24245.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24244.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Exchange Rule 11890 Governing Clearly Erroneous Executions Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 1 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24244 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24244.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24243.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend NASDAQ Rule 11890 Governing Clearly Erroneous Executions 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24243 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24243.pdf https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24242.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposal Relating to Exchange Rule Regarding Clearly Erroneous Transactions 2009-10-08T00:00:00-07:00 2009-10-08T00:00:00-07:00 E9-24242 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24242.pdf