Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/12/01?limit=200&registers=between&mode=atom 2024-12-17T20:55:17-08:00 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/2009/12/01/E9-28813.html Notice - Sunshine Act Meeting 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28813 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28813.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28691.html Notice - Proposed Collection; Comment Request 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28691 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28691.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28690.html Notice - Proposed Collection; Comment Request 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28690 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28690.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28689.html Notice - Proposed Collection; Comment Request 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28689 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28689.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28688.html Notice - Proposed Collection; Comment Request 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28688 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28688.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28687.html Notice - Proposed Collection; Comment Request 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28687 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28687.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28686.html Notice - Proposed Collection; Comment Request 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28686 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28686.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28685.html Notice - Proposed Collection; Comment Request 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28685 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28685.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28684.html Notice - Proposed Collection; Comment Request 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28684 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28684.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28683.html Notice - Proposed Collection; Comment Request 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28683 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28683.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28682.html Notice - Proposed Collection; Comment Request 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28682 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28682.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28680.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Partial Approval of a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, Expanding the Penny Pilot Program 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28680 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28680.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28679.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28679 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28679.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28678.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Effective Date of the Rule Governing the Exchange's Directed Order Process on the Boston Options Exchange 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28678 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28678.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28618.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Postponement Fee and Hearing Session Fee Rules of the Code of Arbitration Procedure for Customer and Industry Disputes 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28618 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28618.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28617.html Notice - Self Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Change by Chicago Stock Exchange, Inc. to Its Bylaws and Those of Its Parent Corporation, CHX Holdings, Inc. 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28617 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28617.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28616.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Amex LLC Rescinding NYSE Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28616 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28616.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28615.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC Rescinding Information Memoranda 04-27 and 07-66 and Issuing a New Information Memo Concerning the Exchange's Gap Quote Policy 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28615 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28615.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28614.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Sample Broker Letters Set Forth In Rule 451 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28614 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28614.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28613.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Appoving Proposed Rule Change To Adopt NASD Rules 2360 and 2361 Into the Consolidated Rulebook as FINRA Rules 2130 and 2270 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-28613 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28613.pdf https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-27882.html Rule - Final Model Privacy Form Under the Gramm-Leach-Bliley Act 2009-12-01T00:00:00-08:00 2009-12-01T00:00:00-08:00 E9-27882 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-27882.pdf