<![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?registers=between&min-day=1&max-day=31 Tue, 30 Apr 2024 07:33:04 -0700 Tue, 30 Apr 2024 07:33:04 -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?registers=between&min-day=1&max-day=31 Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/01/31/E5-356.html https://regulations.justia.com/regulations/fedreg/2005/01/31/E5-356.html Mon, 31 Jan 2005 00:00:00 -0800 E5-356 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-31/pdf/E5-356.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change to Increase Position Limits and Exercise Limits for Options on Standard and Poor's Depositary Receipts (SPDRs®) https://regulations.justia.com/regulations/fedreg/2005/01/31/E5-353.html https://regulations.justia.com/regulations/fedreg/2005/01/31/E5-353.html Mon, 31 Jan 2005 00:00:00 -0800 E5-353 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-31/pdf/E5-353.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC Relating to Options Transaction Fees in Connection With the Standard & Poor's Depositary Receipts https://regulations.justia.com/regulations/fedreg/2005/01/31/E5-352.html https://regulations.justia.com/regulations/fedreg/2005/01/31/E5-352.html Mon, 31 Jan 2005 00:00:00 -0800 E5-352 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-31/pdf/E5-352.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc., To Establish Rules Governing the Operation of Nasdaq's Brut Facility https://regulations.justia.com/regulations/fedreg/2005/01/31/05-1697.html https://regulations.justia.com/regulations/fedreg/2005/01/31/05-1697.html Mon, 31 Jan 2005 00:00:00 -0800 05-1697 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-31/pdf/05-1697.pdf Notice - Self-Regulatory Organizations; Order Approving a Proposed Rule Change and Amendments No. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 3, 4, 5, 6, and 7 Thereto by the Pacific Exchange, Inc. To Require the Immediate Display of Customer Limit Orders https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-327.html https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-327.html Fri, 28 Jan 2005 00:00:00 -0800 E5-327 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-28/pdf/E5-327.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc., Relating to Exchange Fees and Charges https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-326.html https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-326.html Fri, 28 Jan 2005 00:00:00 -0800 E5-326 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-28/pdf/E5-326.pdf Notice - Self-Regulatory Organizations; the Pacific Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 2 Thereto by the Pacific Exchange, Inc., Relating to the Exchange's Rules Under Its Minor Rule Plan and Recommended Fine Schedule https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-325.html https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-325.html Fri, 28 Jan 2005 00:00:00 -0800 E5-325 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-28/pdf/E5-325.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendments No. 1 and 2 Thereto To Require the Immediate Display of Customer Options Limit Orders https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-324.html https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-324.html Fri, 28 Jan 2005 00:00:00 -0800 E5-324 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-28/pdf/E5-324.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc., Relating To Imposing a New Licensing Fee in Connection With the Firm-Related Equity Option and Index Option Fee Cap https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-323.html https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-323.html Fri, 28 Jan 2005 00:00:00 -0800 E5-323 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-28/pdf/E5-323.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-322.html https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-322.html Fri, 28 Jan 2005 00:00:00 -0800 E5-322 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-28/pdf/E5-322.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-321.html https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-321.html Fri, 28 Jan 2005 00:00:00 -0800 E5-321 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-28/pdf/E5-321.pdf Notice - Self Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to Section 13 of Schedule A to the NASD By-Laws (Review Charge for Advertisement, Sales Literature, and Other Such Material Filed With or Submitted to NASD) https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-320.html https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-320.html Fri, 28 Jan 2005 00:00:00 -0800 E5-320 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-28/pdf/E5-320.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Amend Exchange Rule 104 to Require Specialists To Yield Orally-Consummated Proprietary Trades to Later-Arriving System Orders https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-319.html https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-319.html Fri, 28 Jan 2005 00:00:00 -0800 E5-319 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-28/pdf/E5-319.pdf Notice - Self-Regulatory Organizations; Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto by the Chicago Board Options Exchange, Inc. To Require the Immediate Display of Customer Limit Orders https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-318.html https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-318.html Fri, 28 Jan 2005 00:00:00 -0800 E5-318 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-28/pdf/E5-318.pdf Notice - Self-Regulatory Organizations; Order Approving a Proposed Rule Change and Amendments No. 1, 2, 3, 4, 5, and 6 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 7 and 8 Thereto by the American Stock Exchange LLC To Require the Immediate Display of Customer Options Limit Orders https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-317.html https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-317.html Fri, 28 Jan 2005 00:00:00 -0800 E5-317 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-28/pdf/E5-317.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Application and Continuing Membership Standards of the Government Securities Division and the Mortgage-Backed Securities Division https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-316.html https://regulations.justia.com/regulations/fedreg/2005/01/28/E5-316.html Fri, 28 Jan 2005 00:00:00 -0800 E5-316 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-28/pdf/E5-316.pdf Notice - Self-Regulatory Organization; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 by the Pacific Exchange, Inc. Relating to Trading, Either by Listing or Pursuant to Unlisted Trading Privileges, Commodity-Based Trust Shares and Trading, Pursuant to Unlisted Trading Privileges, iShares® COMEX Gold Trust https://regulations.justia.com/regulations/fedreg/2005/01/27/E5-311.html https://regulations.justia.com/regulations/fedreg/2005/01/27/E5-311.html Thu, 27 Jan 2005 00:00:00 -0800 E5-311 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-27/pdf/E5-311.pdf Notice - AIG SunAmerica Asset Management Corp., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/01/27/E5-310.html https://regulations.justia.com/regulations/fedreg/2005/01/27/E5-310.html Thu, 27 Jan 2005 00:00:00 -0800 E5-310 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-27/pdf/E5-310.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/01/27/E5-308.html https://regulations.justia.com/regulations/fedreg/2005/01/27/E5-308.html Thu, 27 Jan 2005 00:00:00 -0800 E5-308 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-27/pdf/E5-308.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/01/27/05-1579.html https://regulations.justia.com/regulations/fedreg/2005/01/27/05-1579.html Thu, 27 Jan 2005 00:00:00 -0800 05-1579 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-27/pdf/05-1579.pdf Notice - Self-Regulatory Organizations; Order Granting Approval of Proposed Rule Change and Amendment Nos. 2, 3 and 4 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 by the American Stock Exchange LLC Relating to the Listing and Trading of the iShares® COMEX Gold Trust https://regulations.justia.com/regulations/fedreg/2005/01/26/E5-283.html https://regulations.justia.com/regulations/fedreg/2005/01/26/E5-283.html Wed, 26 Jan 2005 00:00:00 -0800 E5-283 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-26/pdf/E5-283.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc., Amending Its Marketing Fee https://regulations.justia.com/regulations/fedreg/2005/01/26/E5-282.html https://regulations.justia.com/regulations/fedreg/2005/01/26/E5-282.html Wed, 26 Jan 2005 00:00:00 -0800 E5-282 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-26/pdf/E5-282.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Market Maker Quote Obligations Under the Rules of the Boston Options Exchange Facility https://regulations.justia.com/regulations/fedreg/2005/01/26/E5-281.html https://regulations.justia.com/regulations/fedreg/2005/01/26/E5-281.html Wed, 26 Jan 2005 00:00:00 -0800 E5-281 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-26/pdf/E5-281.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to System-Assisted Quotation Services https://regulations.justia.com/regulations/fedreg/2005/01/26/E5-280.html https://regulations.justia.com/regulations/fedreg/2005/01/26/E5-280.html Wed, 26 Jan 2005 00:00:00 -0800 E5-280 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-26/pdf/E5-280.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Proposed Changes to Exchange Rules 440F (“Public Short Sale Transactions Effected on the Exchange”) and 440G (“Transactions in Stocks and Warrants for the Accounts of Members, Allied Members and Member Organizations”) https://regulations.justia.com/regulations/fedreg/2005/01/26/E5-279.html https://regulations.justia.com/regulations/fedreg/2005/01/26/E5-279.html Wed, 26 Jan 2005 00:00:00 -0800 E5-279 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-26/pdf/E5-279.pdf Notice - Self Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 thereto Relating to the Listing and Trading of Contingent Principal Protected Notes Linked to the Performance of the Russell 2000 https://regulations.justia.com/regulations/fedreg/2005/01/26/E5-278.html https://regulations.justia.com/regulations/fedreg/2005/01/26/E5-278.html Wed, 26 Jan 2005 00:00:00 -0800 E5-278 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-26/pdf/E5-278.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Position Limits and Exercise Limits for Options on Standard and Poor's Depositary Receipts https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-257.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-257.html Mon, 24 Jan 2005 00:00:00 -0800 E5-257 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-257.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Position Limits and Exercise Limits for Options on Standard and Poor's Depositary Receipts® https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-256.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-256.html Mon, 24 Jan 2005 00:00:00 -0800 E5-256 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-256.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Position Limits and Exercise Limits for Options on Standard and Poor's Depositary Receipts® https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-255.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-255.html Mon, 24 Jan 2005 00:00:00 -0800 E5-255 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-255.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Granting Approval to Proposed Rule Change To Amend PCXE Rule 4.5 To Require All Financial/Operations Principals of PCXE ETP Firms to Successfully Complete the Series 27 Examination and To Add PCXE Rule 6.18(d) To Require All Compliance Supervisors of PCXE ETP Firms To Successfully Complete the Series 24 Examination https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-254.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-254.html Mon, 24 Jan 2005 00:00:00 -0800 E5-254 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-254.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change To Increase Position Limits and Exercise Limits for Options on Standard and Poor's Depositary Receipts https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-253.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-253.html Mon, 24 Jan 2005 00:00:00 -0800 E5-253 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-253.pdf Notice - Proposed Collection; Comment Request; Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549 https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-252.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-252.html Mon, 24 Jan 2005 00:00:00 -0800 E5-252 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-252.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Membership Standards Required of Insurance Companies https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-219.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-219.html Mon, 24 Jan 2005 00:00:00 -0800 E5-219 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-219.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Clarify Certain Sections of the Loss Allocation Rule of its Government Securities Division https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-218.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-218.html Mon, 24 Jan 2005 00:00:00 -0800 E5-218 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-218.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendments No. 1 and 2 Thereto by the Philadelphia Stock Exchange, Inc. Relating To Adopting Phlx Rule 1017, Openings in Options, on a Permanent Basis https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-217.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-217.html Mon, 24 Jan 2005 00:00:00 -0800 E5-217 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-217.pdf Notice - Self-Regulatory Organizations; Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Amendment of the Fee Schedule to Revise Fees for Certain Services Provided by DTC https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-216.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-216.html Mon, 24 Jan 2005 00:00:00 -0800 E5-216 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-216.pdf Notice - Self-Regulatory Organizations; Notice of Extension of the Comment Period for the Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-215.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-215.html Mon, 24 Jan 2005 00:00:00 -0800 E5-215 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-215.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc., Relating to Fees for Transactions in Options on the Standard & Poor's Depository Receipts® https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-214.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-214.html Mon, 24 Jan 2005 00:00:00 -0800 E5-214 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-214.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated To Extend a Pilot Program and Eliminate the Rule Prohibiting Electronically Generated and Communicated Orders https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-213.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-213.html Mon, 24 Jan 2005 00:00:00 -0800 E5-213 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-213.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Instant Liquidity Access Rules https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-212.html https://regulations.justia.com/regulations/fedreg/2005/01/24/E5-212.html Mon, 24 Jan 2005 00:00:00 -0800 E5-212 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-24/pdf/E5-212.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to the Proposed Rule Change by the International Securities Exchange, Inc., Relating to Proposed Amendments to Its Certificate of Incorporation and Constitution and ISE Rule 303 https://regulations.justia.com/regulations/fedreg/2005/01/21/E5-198.html https://regulations.justia.com/regulations/fedreg/2005/01/21/E5-198.html Fri, 21 Jan 2005 00:00:00 -0800 E5-198 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-21/pdf/E5-198.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Electronic Audit Trail for Orders in Options Overlying the Standard and Poor's Depositary Receipts https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-194.html https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-194.html Wed, 19 Jan 2005 00:00:00 -0800 E5-194 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-19/pdf/E5-194.pdf Notice - Self-Regulatory Organizations; Order Granting Approval to a Proposed Rule Change by the National Stock Exchange To Eliminate the “CBOE Exerciser Member” Membership Class, To Eliminate the Exchange's Special Nominating Committee, and To Remove Certain Special Restrictions on Changes to Certain NSX By-Laws and Rules https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-193.html https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-193.html Wed, 19 Jan 2005 00:00:00 -0800 E5-193 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-19/pdf/E5-193.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Electronic Order Capture System or Electronic Tablet Entry Requirements https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-178.html https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-178.html Wed, 19 Jan 2005 00:00:00 -0800 E5-178 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-19/pdf/E5-178.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Frequency of Updates From the National Do-Not-Call Registry https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-177.html https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-177.html Wed, 19 Jan 2005 00:00:00 -0800 E5-177 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-19/pdf/E5-177.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Increasing the Firm-Related Equity Option and Index Option Comparison and Transaction Cap https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-176.html https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-176.html Wed, 19 Jan 2005 00:00:00 -0800 E5-176 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-19/pdf/E5-176.pdf Notice - Wachovia Corporation, et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-175.html https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-175.html Wed, 19 Jan 2005 00:00:00 -0800 E5-175 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-19/pdf/E5-175.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretive Reminder Notice Regarding Rule G-17, on Disclosure of Material Facts-Disclosure of Original Issue Discount Bonds https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-174.html https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-174.html Wed, 19 Jan 2005 00:00:00 -0800 E5-174 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-19/pdf/E5-174.pdf Notice - Self-Regulatory Organizations; Notice of a Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Changes to Rule 3360 in Light of the SEC Regulation SHO https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-173.html https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-173.html Wed, 19 Jan 2005 00:00:00 -0800 E5-173 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-19/pdf/E5-173.pdf Notice - Consolidated Tape Association; Notice of Filing of the Seventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Fifth Substantive Amendment to the Restated Consolidated Quotation Plan https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-172.html https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-172.html Wed, 19 Jan 2005 00:00:00 -0800 E5-172 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-19/pdf/E5-172.pdf Notice - Self-Regulatory Organizations; Emerging Markets Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Establish Procedures for Exiting Open Fail Positions Prior to Dissolution https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-171.html https://regulations.justia.com/regulations/fedreg/2005/01/19/E5-171.html Wed, 19 Jan 2005 00:00:00 -0800 E5-171 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-19/pdf/E5-171.pdf Rule - Asset-Backed Securities https://regulations.justia.com/regulations/fedreg/2005/01/19/C5-53.html https://regulations.justia.com/regulations/fedreg/2005/01/19/C5-53.html Wed, 19 Jan 2005 00:00:00 -0800 C5-53 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-01-19/pdf/C5-53.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Relating to Changes to Membership Requirements https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-161.html https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-161.html Tue, 18 Jan 2005 00:00:00 -0800 E5-161 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-18/pdf/E5-161.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Membership Requirements https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-160.html https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-160.html Tue, 18 Jan 2005 00:00:00 -0800 E5-160 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-18/pdf/E5-160.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change, and Amendment No. 1 Thereto, by the Pacific Exchange, Inc. Relating To Changing the Opening Time and the Commencement of the Opening Auction on the Archipelago Exchange https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-159.html https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-159.html Tue, 18 Jan 2005 00:00:00 -0800 E5-159 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-18/pdf/E5-159.pdf Notice - Issuer Delisting; Notice of Application of Corautus Genetics Inc. to Withdraw Its Common Stock, $.001 Par Value, From Listing and Registration on the American Stock Exchange LLC File No. 1-15833 https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-155.html https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-155.html Tue, 18 Jan 2005 00:00:00 -0800 E5-155 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-18/pdf/E5-155.pdf Notice - Issuer Delisting; Notice of Application of Edison International to Withdraw Its Common Stock, No Par Value, and Rights to Purchase Series A Junior Participating Cumulative Preferred Stock, No Par Value, From Listing and Registration on the Pacific Exchange, Inc. File No. 1-09936 https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-154.html https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-154.html Tue, 18 Jan 2005 00:00:00 -0800 E5-154 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-18/pdf/E5-154.pdf Notice - Issuer Delisting; Notice of Application of Southern California Edison Company to Withdraw Its Cumulative Preferred Stock, 4.08% Series, 4.24% Series, 4.32% Series, and 4.78% Series, $25 Par Value, From Listing and Registration on the Pacific Exchange, Inc. File No. 1-02313 https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-153.html https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-153.html Tue, 18 Jan 2005 00:00:00 -0800 E5-153 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-18/pdf/E5-153.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Eliminate Entry and Application Fees for Exchange-Listed Issuers Transferring Listings to Nasdaq https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-152.html https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-152.html Tue, 18 Jan 2005 00:00:00 -0800 E5-152 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-18/pdf/E5-152.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Establish Fees for Companies With a Dual Listing on the New York Stock Exchange and Nasdaq https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-151.html https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-151.html Tue, 18 Jan 2005 00:00:00 -0800 E5-151 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-18/pdf/E5-151.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc. Relating to Allocations of Securities https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-150.html https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-150.html Tue, 18 Jan 2005 00:00:00 -0800 E5-150 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-18/pdf/E5-150.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc., Establishing Fees for Transactions in Options on the Standard & Poor's Depository Receipts® https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-149.html https://regulations.justia.com/regulations/fedreg/2005/01/18/E5-149.html Tue, 18 Jan 2005 00:00:00 -0800 E5-149 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-18/pdf/E5-149.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by American Stock Exchange LLC Relating to the Amendment of Exchange Rule 153 and Amendment No. 1 Thereto https://regulations.justia.com/regulations/fedreg/2005/01/18/C4-27969.html https://regulations.justia.com/regulations/fedreg/2005/01/18/C4-27969.html Tue, 18 Jan 2005 00:00:00 -0800 C4-27969 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-18/pdf/C4-27969.pdf Proposed Rule - Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization https://regulations.justia.com/regulations/fedreg/2005/01/18/05-886.html https://regulations.justia.com/regulations/fedreg/2005/01/18/05-886.html Tue, 18 Jan 2005 00:00:00 -0800 05-886 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2005-01-18/pdf/05-886.pdf 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 Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-130.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-130.html Thu, 13 Jan 2005 00:00:00 -0800 E5-130 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-130.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by the Chicago Board Options Exchange, Inc., Relating to the Systematizing of Orders in Connection With the Requirement To Design and Implement a Consolidated Options Audit Trail System https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-128.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-128.html Thu, 13 Jan 2005 00:00:00 -0800 E5-128 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-128.pdf Notice - Self-Regulatory Organizations; Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by American Stock Exchange LLC Relating to the Amendment of Exchange Rule 153 https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-127.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-127.html Thu, 13 Jan 2005 00:00:00 -0800 E5-127 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-127.pdf Notice - Self-Regulatory Organizations; Order Granting Accelerated Approval of Proposed Rule Change by Pacific Exchange, Inc., Relating to the Implementation of a New Order Audit Trail System https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-126.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-126.html Thu, 13 Jan 2005 00:00:00 -0800 E5-126 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-126.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated, Relating to a Delay of the Operative Period for Rule 6.45A(c)(iii) https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-124.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-124.html Thu, 13 Jan 2005 00:00:00 -0800 E5-124 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-124.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by the Philadelphia Stock Exchange, Inc. and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 2, 3, 4 and 5 Relating to the Options Floor Broker Management System https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-123.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-123.html Thu, 13 Jan 2005 00:00:00 -0800 E5-123 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-123.pdf Notice - Self Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Fees for Filing Documents Pursuant to NASD Rule 2710 (Corporate Financing Rule-Underwriting Terms and Arrangements) https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-118.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-118.html Thu, 13 Jan 2005 00:00:00 -0800 E5-118 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-118.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Conforming Change in Rule 1106(a)(3) https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-117.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-117.html Thu, 13 Jan 2005 00:00:00 -0800 E5-117 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-117.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC To Reduce Options Transaction Fees for Exchange Specialists and Registered Options Traders https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-116.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-116.html Thu, 13 Jan 2005 00:00:00 -0800 E5-116 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-116.pdf Notice - Options Price Reporting Authority; Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Guideline 2 of the Capacity Guidelines Adopted in Accordance With the Plan https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-115.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-115.html Thu, 13 Jan 2005 00:00:00 -0800 E5-115 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-115.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Odd-Lots in Nasdaq Securities https://regulations.justia.com/regulations/fedreg/2005/01/13/C5-79.html https://regulations.justia.com/regulations/fedreg/2005/01/13/C5-79.html Thu, 13 Jan 2005 00:00:00 -0800 C5-79 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/C5-79.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. To Amend the Exchange's Rule Relating to its Regulatory Transaction Fee https://regulations.justia.com/regulations/fedreg/2005/01/13/C4-28669.html https://regulations.justia.com/regulations/fedreg/2005/01/13/C4-28669.html Thu, 13 Jan 2005 00:00:00 -0800 C4-28669 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/C4-28669.pdf Notice - Issuer Delisting; Notice of Application of Premier Farnell Plc To Withdraw Its Ordinary Shares, (5 pence each) (“Ordinary Shares”), Its $1.35 and 89.2p Cumulative Convertible Redeemable Preference Shares (£1 each) (“Preference Shares”), and the American Depositary Shares Representing the Ordinary Shares and Preference Shares, From Listing and Registration on the New York Stock Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2005/01/13/05-704.html https://regulations.justia.com/regulations/fedreg/2005/01/13/05-704.html Thu, 13 Jan 2005 00:00:00 -0800 05-704 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/05-704.pdf Notice - Self-Regulatory Organizations; Order Approving a Proposed Rule Change and Amendments No. 1 and No. 2 Thereto by the American Stock Exchange LLC Relating to Revisions to Amex Rule 111 https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-90.html https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-90.html Wed, 12 Jan 2005 00:00:00 -0800 E5-90 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-12/pdf/E5-90.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting and Compliance Engine (“TRACE”) Fees and Implementation Date of Stage Two of Dissemination of TRACE Transaction Information https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-89.html https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-89.html Wed, 12 Jan 2005 00:00:00 -0800 E5-89 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-12/pdf/E5-89.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Suspension of the Specialist's and Registered Traders' Transaction Charges for the Trading of Nasdaq-100 Index Tracking Stock® https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-74.html https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-74.html Wed, 12 Jan 2005 00:00:00 -0800 E5-74 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-12/pdf/E5-74.pdf Notice - Issuer Delisting; Notice of Application of microHelix, Inc., To Withdraw Its Common Stock, No Par Value, and Class B Warrants (To Purchase One Share of Common Stock), From Listing and Registration on the Boston Stock Exchange, Inc., File No. 1-16781 https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-73.html https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-73.html Wed, 12 Jan 2005 00:00:00 -0800 E5-73 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-12/pdf/E5-73.pdf Notice - Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to Exchange Rule 17.10(d)-Review of Decision Not To Initiate Charges https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-72.html https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-72.html Wed, 12 Jan 2005 00:00:00 -0800 E5-72 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-12/pdf/E5-72.pdf Notice - Issuer Delisting; Notice of Application of the Procter & Gamble Company To Withdraw Its Common Stock, $1.00 Par Value, From Listing and Registration on the National Stock Exchange https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-70.html https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-70.html Wed, 12 Jan 2005 00:00:00 -0800 E5-70 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-12/pdf/E5-70.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Institute Fines for Late Payment of Cash Obligations and Margin and To Institute Informal Hearing Procedures for Fine Disputes https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-68.html https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-68.html Wed, 12 Jan 2005 00:00:00 -0800 E5-68 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-12/pdf/E5-68.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 by the Chicago Board Options Exchange, Incorporated Relating to the SizeQuote Mechanism https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-67.html https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-67.html Wed, 12 Jan 2005 00:00:00 -0800 E5-67 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-12/pdf/E5-67.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Extension of the Suspension of Customer Transaction Charges for the Trading of Nasdaq-100 Index Tracking Stock® https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-66.html https://regulations.justia.com/regulations/fedreg/2005/01/12/E5-66.html Wed, 12 Jan 2005 00:00:00 -0800 E5-66 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-12/pdf/E5-66.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No.1 Thereto Relating to the Customer Large Trade Discount Program https://regulations.justia.com/regulations/fedreg/2005/01/12/05-592.html https://regulations.justia.com/regulations/fedreg/2005/01/12/05-592.html Wed, 12 Jan 2005 00:00:00 -0800 05-592 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-12/pdf/05-592.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”); National Fuel Gas Company (70-10273) https://regulations.justia.com/regulations/fedreg/2005/01/11/E5-59.html https://regulations.justia.com/regulations/fedreg/2005/01/11/E5-59.html Tue, 11 Jan 2005 00:00:00 -0800 E5-59 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-11/pdf/E5-59.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. to Extend the Effective Date of Amendments, Approved Pursuant to File No. SR-NYSE-2002-36, From December 17, 2004 to January 31, 2005 To Conform With the Effective Date of Corresponding Rule Amendments Filed by the National Association of Securities Dealers, Inc. (“NASD”) https://regulations.justia.com/regulations/fedreg/2005/01/11/E5-56.html https://regulations.justia.com/regulations/fedreg/2005/01/11/E5-56.html Tue, 11 Jan 2005 00:00:00 -0800 E5-56 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-11/pdf/E5-56.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/01/11/E5-50.html https://regulations.justia.com/regulations/fedreg/2005/01/11/E5-50.html Tue, 11 Jan 2005 00:00:00 -0800 E5-50 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-11/pdf/E5-50.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change To Implement Phase II of the IMS Service https://regulations.justia.com/regulations/fedreg/2005/01/11/E5-47.html https://regulations.justia.com/regulations/fedreg/2005/01/11/E5-47.html Tue, 11 Jan 2005 00:00:00 -0800 E5-47 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-11/pdf/E5-47.pdf Notice - IDS Life Insurance Company, et al., Notice of Application https://regulations.justia.com/regulations/fedreg/2005/01/11/E5-42.html https://regulations.justia.com/regulations/fedreg/2005/01/11/E5-42.html Tue, 11 Jan 2005 00:00:00 -0800 E5-42 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-11/pdf/E5-42.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. To Eliminate the Maximum Order Delivery Size Over the AUTOM System https://regulations.justia.com/regulations/fedreg/2005/01/11/E5-41.html https://regulations.justia.com/regulations/fedreg/2005/01/11/E5-41.html Tue, 11 Jan 2005 00:00:00 -0800 E5-41 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-11/pdf/E5-41.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/01/11/05-463.html https://regulations.justia.com/regulations/fedreg/2005/01/11/05-463.html Tue, 11 Jan 2005 00:00:00 -0800 05-463 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-11/pdf/05-463.pdf Notice - Neuberger Berman Equity Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/01/10/E5-38.html https://regulations.justia.com/regulations/fedreg/2005/01/10/E5-38.html Mon, 10 Jan 2005 00:00:00 -0800 E5-38 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-10/pdf/E5-38.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/01/10/05-464.html https://regulations.justia.com/regulations/fedreg/2005/01/10/05-464.html Mon, 10 Jan 2005 00:00:00 -0800 05-464 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-10/pdf/05-464.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Establish the Minimum Quotation Increment for the BRUT ECN System https://regulations.justia.com/regulations/fedreg/2005/01/10/05-396.html https://regulations.justia.com/regulations/fedreg/2005/01/10/05-396.html Mon, 10 Jan 2005 00:00:00 -0800 05-396 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-10/pdf/05-396.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend Rules Relating to the Participants Fund Deposit Requirements of Its Mortgage-Backed Securities Division https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-32.html https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-32.html Fri, 07 Jan 2005 00:00:00 -0800 E5-32 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/E5-32.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Phase-In of PCX Plus https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-26.html https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-26.html Fri, 07 Jan 2005 00:00:00 -0800 E5-26 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/E5-26.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Accelerated Approval to Proposed Rule Change Relating to Concentration Limit Listing Standards in Phlx Rule 1009A https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-25.html https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-25.html Fri, 07 Jan 2005 00:00:00 -0800 E5-25 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/E5-25.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Amending Phlx Rule 1072 in View of Commission Regulation SHO https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-24.html https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-24.html Fri, 07 Jan 2005 00:00:00 -0800 E5-24 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/E5-24.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-23.html https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-23.html Fri, 07 Jan 2005 00:00:00 -0800 E5-23 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/E5-23.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Stock Exchange, Incorporated Relating to Short Sales of Securities https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-22.html https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-22.html Fri, 07 Jan 2005 00:00:00 -0800 E5-22 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/E5-22.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the New York Stock Exchange, Inc. To Amend Exchange Rules Relating to the Return of Membership Certificates, Notice and Return of Exchange-Issued Identification Cards, and Minor Violations of Rules https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-21.html https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-21.html Fri, 07 Jan 2005 00:00:00 -0800 E5-21 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/E5-21.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to Regulation SHO https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-20.html https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-20.html Fri, 07 Jan 2005 00:00:00 -0800 E5-20 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/E5-20.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Regulatory Reporting Transmission Agreements With Self-Regulatory Organizations https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-19.html https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-19.html Fri, 07 Jan 2005 00:00:00 -0800 E5-19 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/E5-19.pdf Notice - Principal Life Insurance Company, et al.; https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-18.html https://regulations.justia.com/regulations/fedreg/2005/01/07/E5-18.html Fri, 07 Jan 2005 00:00:00 -0800 E5-18 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/E5-18.pdf Notice - Establishing a Docket for the Development of Plasma Standards Public Workshop; Notice https://regulations.justia.com/regulations/fedreg/2005/01/07/C4-28655.html https://regulations.justia.com/regulations/fedreg/2005/01/07/C4-28655.html Fri, 07 Jan 2005 00:00:00 -0800 C4-28655 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/C4-28655.pdf Proposed Rule - Regulation NMS https://regulations.justia.com/regulations/fedreg/2005/01/07/C4-27934.html https://regulations.justia.com/regulations/fedreg/2005/01/07/C4-27934.html Fri, 07 Jan 2005 00:00:00 -0800 C4-27934 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/C4-27934.pdf Rule - Asset-Backed Securities https://regulations.justia.com/regulations/fedreg/2005/01/07/05-53.html https://regulations.justia.com/regulations/fedreg/2005/01/07/05-53.html Fri, 07 Jan 2005 00:00:00 -0800 05-53 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/05-53.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to Short Sales https://regulations.justia.com/regulations/fedreg/2005/01/07/05-309.html https://regulations.justia.com/regulations/fedreg/2005/01/07/05-309.html Fri, 07 Jan 2005 00:00:00 -0800 05-309 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-07/pdf/05-309.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/01/05/05-175.html https://regulations.justia.com/regulations/fedreg/2005/01/05/05-175.html Wed, 05 Jan 2005 00:00:00 -0800 05-175 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-05/pdf/05-175.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/01/05/05-174.html https://regulations.justia.com/regulations/fedreg/2005/01/05/05-174.html Wed, 05 Jan 2005 00:00:00 -0800 05-174 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-05/pdf/05-174.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2005/01/05/05-129.html https://regulations.justia.com/regulations/fedreg/2005/01/05/05-129.html Wed, 05 Jan 2005 00:00:00 -0800 05-129 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-05/pdf/05-129.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Transaction Fees in Connection With the iShares® FTSE/Xinhua China 25 Index Fund https://regulations.justia.com/regulations/fedreg/2005/01/05/05-128.html https://regulations.justia.com/regulations/fedreg/2005/01/05/05-128.html Wed, 05 Jan 2005 00:00:00 -0800 05-128 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-05/pdf/05-128.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/01/05/05-127.html https://regulations.justia.com/regulations/fedreg/2005/01/05/05-127.html Wed, 05 Jan 2005 00:00:00 -0800 05-127 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-05/pdf/05-127.pdf Notice - Self-Regulatory Organizations, National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Regarding Minor Modifications to the Nasdaq Opening Process for Nasdaq-Listed Stocks https://regulations.justia.com/regulations/fedreg/2005/01/05/05-126.html https://regulations.justia.com/regulations/fedreg/2005/01/05/05-126.html Wed, 05 Jan 2005 00:00:00 -0800 05-126 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-05/pdf/05-126.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule and Amendment No. 1 Amending Bylaws https://regulations.justia.com/regulations/fedreg/2005/01/04/E4-3923.html https://regulations.justia.com/regulations/fedreg/2005/01/04/E4-3923.html Tue, 04 Jan 2005 00:00:00 -0800 E4-3923 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-04/pdf/E4-3923.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, incorporated; Notice of Filing and Immediate Effectiveness of Extension of Pilot Rule Change Relating to Transactions in Certain Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2005/01/04/05-81.html https://regulations.justia.com/regulations/fedreg/2005/01/04/05-81.html Tue, 04 Jan 2005 00:00:00 -0800 05-81 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-04/pdf/05-81.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendment Nos. 1 and No. 2 by the International Securities Exchange, Inc., Relating to the Listing and Trading of Options on the S&P 1000 Index https://regulations.justia.com/regulations/fedreg/2005/01/04/05-80.html https://regulations.justia.com/regulations/fedreg/2005/01/04/05-80.html Tue, 04 Jan 2005 00:00:00 -0800 05-80 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-04/pdf/05-80.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Odd-Lots in Nasdaq Securities https://regulations.justia.com/regulations/fedreg/2005/01/04/05-79.html https://regulations.justia.com/regulations/fedreg/2005/01/04/05-79.html Tue, 04 Jan 2005 00:00:00 -0800 05-79 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-04/pdf/05-79.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Relating to Amendments to Exchange Rule 633, 634, and 635 https://regulations.justia.com/regulations/fedreg/2005/01/04/05-78.html https://regulations.justia.com/regulations/fedreg/2005/01/04/05-78.html Tue, 04 Jan 2005 00:00:00 -0800 05-78 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-04/pdf/05-78.pdf Notice - Self-Regulatory Organizations; Order Approving a Proposed Rule Change, and Amendment Nos. 1, 2 and 3 Thereto, by National Association of Securities Dealers, Inc. Relating to Divestiture of Its Interest in the American Stock Exchange LLC https://regulations.justia.com/regulations/fedreg/2005/01/03/E4-3907.html https://regulations.justia.com/regulations/fedreg/2005/01/03/E4-3907.html Mon, 03 Jan 2005 00:00:00 -0800 E4-3907 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-03/pdf/E4-3907.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating To Split Price Priority https://regulations.justia.com/regulations/fedreg/2005/01/03/04-28671.html https://regulations.justia.com/regulations/fedreg/2005/01/03/04-28671.html Mon, 03 Jan 2005 00:00:00 -0800 04-28671 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-03/pdf/04-28671.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto To Amend the Exchange's Guaranteed Participation Rule Relating to Facilitation and Crossing Transactions https://regulations.justia.com/regulations/fedreg/2005/01/03/04-28670.html https://regulations.justia.com/regulations/fedreg/2005/01/03/04-28670.html Mon, 03 Jan 2005 00:00:00 -0800 04-28670 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-03/pdf/04-28670.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. To Amend the Exchange's Rule Relating to its Regulatory Transaction Fee https://regulations.justia.com/regulations/fedreg/2005/01/03/04-28669.html https://regulations.justia.com/regulations/fedreg/2005/01/03/04-28669.html Mon, 03 Jan 2005 00:00:00 -0800 04-28669 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-03/pdf/04-28669.pdf Notice - Self Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Approval to Proposed Rule Change Modifying the Other Securities Fee Schedule https://regulations.justia.com/regulations/fedreg/2005/01/03/04-27942.html https://regulations.justia.com/regulations/fedreg/2005/01/03/04-27942.html Mon, 03 Jan 2005 00:00:00 -0800 04-27942 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-03/pdf/04-27942.pdf