<![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/2005/03/21?registers=between Sun, 29 Dec 2024 09:38:34 -0800 Sun, 29 Dec 2024 09:38:34 -0800 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/2005/03/21?registers=between Notice - Burnham Investors Trust, et al., Notice of Application https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1213.html https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1213.html Mon, 21 Mar 2005 00:00:00 -0800 E5-1213 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1213.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Annual Compliance Meetings https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1212.html https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1212.html Mon, 21 Mar 2005 00:00:00 -0800 E5-1212 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1212.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated To Adopt an Inactivity Fee To Be Charged Against Remote Market-Makers That Fail To Commence Quoting in Their Appointed Classes https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1211.html https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1211.html Mon, 21 Mar 2005 00:00:00 -0800 E5-1211 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1211.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto Relating to Position Limits and Exercise Limits https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1210.html https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1210.html Mon, 21 Mar 2005 00:00:00 -0800 E5-1210 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1210.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend the Criteria Used To Place Members on Surveillance Status and To Eliminate Member and Applicant Financial Responsibility and Operational Capability Questionnaires https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1209.html https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1209.html Mon, 21 Mar 2005 00:00:00 -0800 E5-1209 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1209.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated To Amend CBOE Rule 8.4 To Remove the Physical Trading Crowd Appointment Alternative for Remote Market-Makers and To Create an “A+” Tier Consisting of the Two Most Actively-Traded Products on the Exchange https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1208.html https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1208.html Mon, 21 Mar 2005 00:00:00 -0800 E5-1208 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1208.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC Relating to the Use of Certain Consolidated Tape Association Financial Status Indicator Fields and Related Disclosure Obligations https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1204.html https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1204.html Mon, 21 Mar 2005 00:00:00 -0800 E5-1204 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1204.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. Relating to Arbitration Fees https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1203.html https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1203.html Mon, 21 Mar 2005 00:00:00 -0800 E5-1203 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1203.pdf