Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/12/08?limit=200&registers=between&mode=atom 2024-11-21T15:07:28-08:00 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/2009/12/08/E9-29204.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Regarding the Obligations of Streaming Quote Traders 2009-12-08T00:00:00-08:00 2009-12-08T00:00:00-08:00 E9-29204 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29204.pdf https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29203.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish Rules Governing the Trading of Options on the BATS Options Exchange 2009-12-08T00:00:00-08:00 2009-12-08T00:00:00-08:00 E9-29203 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29203.pdf https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29141.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Its Listing Fees for Structured Products 2009-12-08T00:00:00-08:00 2009-12-08T00:00:00-08:00 E9-29141 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29141.pdf https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29140.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Options Market 2009-12-08T00:00:00-08:00 2009-12-08T00:00:00-08:00 E9-29140 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29140.pdf https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29139.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status and Interim Trading Permit Access Fees 2009-12-08T00:00:00-08:00 2009-12-08T00:00:00-08:00 E9-29139 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29139.pdf https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29138.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Warrant Initial Listing Standard To Exempt From the Minimum Holders Requirement Any Series of Warrants That Is Listed in Connection With the Initial Firm Commitment Underwritten Public Offering of Such Warrants 2009-12-08T00:00:00-08:00 2009-12-08T00:00:00-08:00 E9-29138 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29138.pdf https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29137.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Market Data Fees 2009-12-08T00:00:00-08:00 2009-12-08T00:00:00-08:00 E9-29137 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29137.pdf https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29136.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule in Connection With the New Linkage Plan 2009-12-08T00:00:00-08:00 2009-12-08T00:00:00-08:00 E9-29136 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29136.pdf https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29132.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Move the Canadian Depository for Securities to Risk-Based Margining 2009-12-08T00:00:00-08:00 2009-12-08T00:00:00-08:00 E9-29132 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29132.pdf https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29131.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 2 To Adopt FINRA Rule 2380 To Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions 2009-12-08T00:00:00-08:00 2009-12-08T00:00:00-08:00 E9-29131 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29131.pdf https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29130.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook 2009-12-08T00:00:00-08:00 2009-12-08T00:00:00-08:00 E9-29130 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29130.pdf https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29129.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Nasdaq Rule 4000 and 5000 Series To Correct Certain Citations to Renumbered Rules 2009-12-08T00:00:00-08:00 2009-12-08T00:00:00-08:00 E9-29129 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29129.pdf