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?limit=200&registers=between&mode=atom 2024-12-17T20:49:55-08:00 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/2009/12/07/E9-29135.html Notice - Sunshine Act Meeting 2009-12-07T00:00:00-08:00 2009-12-07T00:00:00-08:00 E9-29135 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29135.pdf https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29046.html Notice - Proposed Collection; Comment Request 2009-12-07T00:00:00-08:00 2009-12-07T00:00:00-08:00 E9-29046 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29046.pdf https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29045.html Notice - Proposed Extension of Collection; Comment Request 2009-12-07T00:00:00-08:00 2009-12-07T00:00:00-08:00 E9-29045 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29045.pdf https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29044.html Notice - Submission for OMB Review; Comment Request 2009-12-07T00:00:00-08:00 2009-12-07T00:00:00-08:00 E9-29044 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29044.pdf https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29043.html 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 2009-12-07T00:00:00-08:00 2009-12-07T00:00:00-08:00 E9-29043 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29043.pdf https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29042.html 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 2009-12-07T00:00:00-08:00 2009-12-07T00:00:00-08:00 E9-29042 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29042.pdf https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29041.html 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 2009-12-07T00:00:00-08:00 2009-12-07T00:00:00-08:00 E9-29041 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29041.pdf https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29040.html 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 2009-12-07T00:00:00-08:00 2009-12-07T00:00:00-08:00 E9-29040 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29040.pdf https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29039.html 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 2009-12-07T00:00:00-08:00 2009-12-07T00:00:00-08:00 E9-29039 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29039.pdf https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29038.html 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 2009-12-07T00:00:00-08:00 2009-12-07T00:00:00-08:00 E9-29038 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29038.pdf https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-29037.html 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 2009-12-07T00:00:00-08:00 2009-12-07T00:00:00-08:00 E9-29037 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-29037.pdf https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28999.html 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 2009-12-07T00:00:00-08:00 2009-12-07T00:00:00-08:00 E9-28999 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-28999.pdf https://regulations.justia.com/regulations/fedreg/2009/12/07/E9-28998.html 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 2009-12-07T00:00:00-08:00 2009-12-07T00:00:00-08:00 E9-28998 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-07/pdf/E9-28998.pdf