<![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/2005/03/03?registers=between Thu, 23 May 2024 11:34:22 -0700 Thu, 23 May 2024 11:34:22 -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/2005/03/03?registers=between Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-853.html https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-853.html Thu, 03 Mar 2005 00:00:00 -0800 E5-853 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-853.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-851.html https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-851.html Thu, 03 Mar 2005 00:00:00 -0800 E5-851 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-851.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes by the National Association of Securities Dealers, Inc. To Provide an Exemption From the Research Analyst Qualification Examination for Certain Associated Persons Who Prepare Technical Research Reports and the New York Stock Exchange, Inc. Relating to an Alternative Qualification Standard for the Research Analyst Qualification Examination Requirement for Technical Analysts https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-850.html https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-850.html Thu, 03 Mar 2005 00:00:00 -0800 E5-850 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-850.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Requirements for Listing Stock Index Warrants https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-849.html https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-849.html Thu, 03 Mar 2005 00:00:00 -0800 E5-849 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-849.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange, Inc., Relating to Listing Standards for Options on Narrow-Based Securities Indexes https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-848.html https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-848.html Thu, 03 Mar 2005 00:00:00 -0800 E5-848 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-848.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by the Boston Stock Exchange, Inc., Relating to the Reporting of Riskless Principal Transactions https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-847.html https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-847.html Thu, 03 Mar 2005 00:00:00 -0800 E5-847 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-847.pdf Notice - Self-Regulatory Organizations; Order Granting Approval 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/2005/03/03/E5-846.html https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-846.html Thu, 03 Mar 2005 00:00:00 -0800 E5-846 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-846.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the American Stock Exchange LLC Relating to an Obvious Error Rule for Trades on the Exchange in Equity Securities https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-845.html https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-845.html Thu, 03 Mar 2005 00:00:00 -0800 E5-845 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-845.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto by the American Stock Exchange LLC To Adopt Obvious Error Rules for Options Transactions https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-844.html https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-844.html Thu, 03 Mar 2005 00:00:00 -0800 E5-844 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-844.pdf Notice - Self-Regulatory Organizations; Emerging Markets Clearing Corporation; Notice of Withdrawal of a Proposed Rule Change To Amend Its Rules With Regard to the Imposition of Fines Upon Its Members https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-842.html https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-842.html Thu, 03 Mar 2005 00:00:00 -0800 E5-842 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-842.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Order Setting Aside Earlier Order Issued by Delegated Authority and Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to an Interpretation of Paragraph (b) of Article Fifth of Its Certificate of Incorporation and an Amendment to Rule 3.16(b) https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-833.html https://regulations.justia.com/regulations/fedreg/2005/03/03/E5-833.html Thu, 03 Mar 2005 00:00:00 -0800 E5-833 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-833.pdf