<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/12/08?registers=between Thu, 23 May 2024 06:26:24 -0700 Thu, 23 May 2024 06:26:24 -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/2009/12/08?registers=between 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 https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29204.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29204.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29204 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29204.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29203.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29203.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29203 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29203.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Its Listing Fees for Structured Products https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29141.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29141.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29141 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29141.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29140.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29140.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29140 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29140.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29139.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29139.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29139 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29139.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29138.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29138.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29138 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29138.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Market Data Fees https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29137.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29137.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29137 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29137.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29136.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29136.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29136 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29136.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29132.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29132.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29132 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29132.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29131.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29131.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29131 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29131.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29130.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29130.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29130 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29130.pdf 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 https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29129.html https://regulations.justia.com/regulations/fedreg/2009/12/08/E9-29129.html Tue, 08 Dec 2009 00:00:00 -0800 E9-29129 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-08/pdf/E9-29129.pdf