<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/12/01?registers=between Sat, 19 Apr 2025 12:41:29 -0700 Sat, 19 Apr 2025 12:41:29 -0700 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/2009/12/01?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28813.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28813.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28813 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28813.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28691.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28691.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28691 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28691.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28690.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28690.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28690 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28690.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28689.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28689.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28689 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28689.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28688.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28688.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28688 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28688.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28687.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28687.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28687 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28687.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28686.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28686.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28686 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28686.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28685.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28685.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28685 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28685.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28684.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28684.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28684 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28684.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28683.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28683.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28683 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28683.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28682.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28682.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28682 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28682.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28680.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28680.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28680 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28680.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28679.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28679.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28679 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28679.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28678.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28678.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28678 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28678.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28618.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28618.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28618 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28618.pdf 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. https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28617.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28617.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28617 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28617.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28616.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28616.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28616 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28616.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28615.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28615.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28615 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28615.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28614.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28614.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28614 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28614.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28613.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-28613.html Tue, 01 Dec 2009 00:00:00 -0800 E9-28613 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-28613.pdf Rule - Final Model Privacy Form Under the Gramm-Leach-Bliley Act https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-27882.html https://regulations.justia.com/regulations/fedreg/2009/12/01/E9-27882.html Tue, 01 Dec 2009 00:00:00 -0800 E9-27882 Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-01/pdf/E9-27882.pdf