<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2005/01/14?registers=between Fri, 17 May 2024 12:04:38 -0700 Fri, 17 May 2024 12:04:38 -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/agencies-and-commissions/securities-and-exchange-commission/2005/01/14?registers=between Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change Relating to Amendments to MSRB Rule G-34, on CUSIP Numbers and New Issue Requirements, To Facilitate Real-Time Transaction Reporting of Trades in New Issue Municipal Securities https://regulations.justia.com/regulations/fedreg/2005/01/14/E5-156.html https://regulations.justia.com/regulations/fedreg/2005/01/14/E5-156.html Fri, 14 Jan 2005 00:00:00 -0800 E5-156 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-14/pdf/E5-156.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Amendments to the NYSE Constitution and the Adoption of an Independence Policy of the NYSE Board of Directors https://regulations.justia.com/regulations/fedreg/2005/01/14/E5-144.html https://regulations.justia.com/regulations/fedreg/2005/01/14/E5-144.html Fri, 14 Jan 2005 00:00:00 -0800 E5-144 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-14/pdf/E5-144.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Amendment No. 3 to Proposed Rule Change by the New York Stock Exchange, Inc., Relating to Procedures for Companies That Fail To File Annual Reports in a Timely Manner https://regulations.justia.com/regulations/fedreg/2005/01/14/E5-136.html https://regulations.justia.com/regulations/fedreg/2005/01/14/E5-136.html Fri, 14 Jan 2005 00:00:00 -0800 E5-136 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-14/pdf/E5-136.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated, Relating to Allowing Market Participants To Submit Orders for Automatic Execution https://regulations.justia.com/regulations/fedreg/2005/01/14/E5-135.html https://regulations.justia.com/regulations/fedreg/2005/01/14/E5-135.html Fri, 14 Jan 2005 00:00:00 -0800 E5-135 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-14/pdf/E5-135.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc., Regarding Waiver of California Arbitrator Disclosure Standards https://regulations.justia.com/regulations/fedreg/2005/01/14/E5-134.html https://regulations.justia.com/regulations/fedreg/2005/01/14/E5-134.html Fri, 14 Jan 2005 00:00:00 -0800 E5-134 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-14/pdf/E5-134.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Systematizing of Orders in the Standard and Poor's Depositary Receipts (“SPDR”) Option Class https://regulations.justia.com/regulations/fedreg/2005/01/14/E5-133.html https://regulations.justia.com/regulations/fedreg/2005/01/14/E5-133.html Fri, 14 Jan 2005 00:00:00 -0800 E5-133 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-14/pdf/E5-133.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/01/14/05-875.html https://regulations.justia.com/regulations/fedreg/2005/01/14/05-875.html Fri, 14 Jan 2005 00:00:00 -0800 05-875 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-14/pdf/05-875.pdf Proposed Rule - Certain Broker-Dealers Deemed Not To Be Investment Advisers https://regulations.justia.com/regulations/fedreg/2005/01/14/05-603.html https://regulations.justia.com/regulations/fedreg/2005/01/14/05-603.html Fri, 14 Jan 2005 00:00:00 -0800 05-603 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2005-01-14/pdf/05-603.pdf Rule - Certain Broker-Dealers Deemed Not To Be Investment Advisers https://regulations.justia.com/regulations/fedreg/2005/01/14/05-602.html https://regulations.justia.com/regulations/fedreg/2005/01/14/05-602.html Fri, 14 Jan 2005 00:00:00 -0800 05-602 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-01-14/pdf/05-602.pdf