<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/12/07?registers=between Sat, 11 May 2024 19:27:27 -0700 Sat, 11 May 2024 19:27:27 -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/2009/12/07?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29135.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29135.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29135 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29135.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29046.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29046.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29046 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29046.pdf Notice - Proposed Extension of Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29045.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29045.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29045 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29045.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29044.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29044.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29044 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29044.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to FINRA's Rules Governing Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29043.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29043.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29043 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29043.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change to Allow Members To Deposit Customer Fully Paid or Excess Margin Securities to the Extent Permitted by No-Action Relief or Interpretive Guidance From the Commission or Interpretive Guidance From a Self-Regulatory Organization https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29042.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29042.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29042 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29042.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Definition of Material Changes in Business Operations Found in the Membership Rules and to Make a Technical Correction https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29041.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29041.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29041 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29041.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operation of its Supplemental Liquidity Providers Pilot, Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or March 30, 2010 https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29040.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29040.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29040 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29040.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Definition of Material Changes in Business Operations Found in the Membership Rules and To Make a Technical Correction https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29039.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29039.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29039 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29039.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Appoving Proposed Rule Change To Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29038.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29038.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29038 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29038.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASDAQ's Portal Reference Database https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29037.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29037.html Mon, 07 Dec 2009 00:00:00 -0800 E9-29037 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29037.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending NYSE Amex Equities Rule 70 in Order To Update d-Quote Functionality and Provide for e-Quotes To Peg to the National Best Bid or Offer https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28999.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28999.html Mon, 07 Dec 2009 00:00:00 -0800 E9-28999 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-28999.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 70 in Order To Update d-Quote Functionality and Provide for e-Quotes To Peg to the National Best Bid or Offer https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28998.html https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28998.html Mon, 07 Dec 2009 00:00:00 -0800 E9-28998 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-28998.pdf