<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/12/10?registers=between Thu, 24 Apr 2025 13:49:03 -0700 Thu, 24 Apr 2025 13:49:03 -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/2009/12/10?registers=between Notice - Order Extending and Modifying Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request From ICE Trust U.S. LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29423.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29423.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29423 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29423.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to Dividend, Merger and Short Stock Interest Strategies https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29422.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29422.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29422 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29422.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Several Market Data Products https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29421.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29421.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29421 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29421.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of (i) Amendments to Rule G-8 (Books and Records To Be Made by Brokers, Dealers and Municipal Securities Dealers), Rule G-9 (Preservation of Records), and Rule G-11 (New Issue Syndicate Practices); (ii) a Proposed Interpretation of Rule G-17 (Conduct of Municipal Securities Activities); and (iii) the Deletion of a Previous Rule G-17 Interpretive Notice https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29420.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29420.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29420 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29420.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29393.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29393.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29393 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29393.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NYSE Arca, Inc. Relating to the Listing Fee and Annual Fee Applicable to Derivative Securities Products https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29392.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29392.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29392 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29392.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule To Increase Transaction Rebates to $.0024 per Share and Implement a 50% Market Data Rebate for Displayed Order Delivery Orders of Certain ETP Holders, and To Adopt a New Rule 16.4 That Would Use “Liquidity Adding ADV” To Determine the Volume Eligibility for all Rebate Tiers in Order Delivery https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29391.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29391.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29391 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29391.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29390.html https://regulations.justia.com/regulations/fedreg/2009/12/10/E9-29390.html Thu, 10 Dec 2009 00:00:00 -0800 E9-29390 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-10/pdf/E9-29390.pdf