<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/10/08?registers=between Wed, 18 Dec 2024 04:29:46 -0800 Wed, 18 Dec 2024 04:29:46 -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/2009/10/08?registers=between Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24269.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24269.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24269 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24269.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PrecISE Fees https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24268.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24268.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24268 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24268.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24267.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24267.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24267 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24267.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24266.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24266.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24266 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24266.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24265.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24265.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24265 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24265.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24264.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24264.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24264 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24264.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24263.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24263.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24263 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24263.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24262.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24262.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24262 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24262.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24261.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24261.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24261 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24261.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24260.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24260.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24260 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24260.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24259.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24259.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24259 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24259.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24250.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24250.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24250 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24250.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24249.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24249.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24249 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24249.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24248.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24248.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24248 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24248.pdf 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” https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24247.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24247.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24247 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24247.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24246.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24246.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24246 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24246.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24245.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24245.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24245 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24245.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24244.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24244.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24244 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24244.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24243.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24243.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24243 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24243.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24242.html https://regulations.justia.com/regulations/fedreg/2009/10/08/E9-24242.html Thu, 08 Oct 2009 00:00:00 -0700 E9-24242 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-10-08/pdf/E9-24242.pdf