<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2009/12/28?registers=between Sun, 12 May 2024 09:35:33 -0700 Sun, 12 May 2024 09:35:33 -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/2009/12/28?registers=between Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program That Offers Liquidity Takers a Reduced Transaction Fee Structure for Certain Bond Trades Executed on the NYSE Bonds System and Retiring the Liquidity Provider Credit Pilot Program https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30616.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30616.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30616 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30616.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Certain Provisions of the Options Listing Procedures Plan Into Phlx's Rules https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30600.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30600.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30600 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30600.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IM-1002-1 To Reflect Changes to a Corresponding FINRA Rule https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30599.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30599.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30599 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30599.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Certain Provisions of the Options Listing Procedures Plan Into the Exchange's Rules https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30598.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30598.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30598 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30598.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed FINRA Rule 6490 (Processing of Company-Related Actions), To Clarify the Scope of FINRA's Authority When Processing Documents Related to Announcements for Company-Related Actions for Non-Exchange Listed Securities and To Implement Fees for Such Services https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30597.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30597.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30597 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30597.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Relating to the Designation of NYSE Arca, Inc., as the NYSE's Alternative Trading Facility in an Emergency https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30596.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30596.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30596 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30596.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 1160 to Reflect the Availability of the FINRA Contact System to NASDAQ OMX BX Members That Are Not Also Members of FINRA https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30595.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30595.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30595 Notice http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30595.pdf Proposed Rule - Revisions To Rule 163 https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30589.html https://regulations.justia.com/regulations/fedreg/2009/12/28/E9-30589.html Mon, 28 Dec 2009 00:00:00 -0800 E9-30589 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2009-12-28/pdf/E9-30589.pdf