Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2005/03?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-04T21:42:09-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2005/03/31/E5-1411.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402005-03-31T00:00:00-08:002005-03-31T00:00:00-08:00E5-1411Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-31/pdf/E5-1411.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/31/E5-1410.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the Boston Stock Exchange, Inc. To Trade the streetTRACKS ® Gold Shares Pursuant to Unlisted Trading Privileges2005-03-31T00:00:00-08:002005-03-31T00:00:00-08:00E5-1410Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-31/pdf/E5-1410.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/31/E5-1409.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Inc. Relating to Participant Fees and Credits2005-03-31T00:00:00-08:002005-03-31T00:00:00-08:00E5-1409Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-31/pdf/E5-1409.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/31/E5-1408.htmlNotice - Self-Regulatory Organizations; Order Granting Accelerated Approval to a Proposed Rule Change and Amendments No. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 3 and 4 to the Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to Market-Maker Quoting Obligations and Market-Maker Appointments2005-03-31T00:00:00-08:002005-03-31T00:00:00-08:00E5-1408Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-31/pdf/E5-1408.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/30/E5-1396.htmlNotice - Proposed Collection; Comment Request2005-03-30T00:00:00-08:002005-03-30T00:00:00-08:00E5-1396Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-30/pdf/E5-1396.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/30/E5-1395.htmlNotice - Issuer Delisting; Notice of Application of Dynamex Inc. To Withdraw Its Common Stock, $.01 par value, From Listing and Registration on the American Stock Exchange LLC File No. 1-150012005-03-30T00:00:00-08:002005-03-30T00:00:00-08:00E5-1395Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-30/pdf/E5-1395.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/30/E5-1394.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Fees Applicable to Remote Streaming Quote Traders2005-03-30T00:00:00-08:002005-03-30T00:00:00-08:00E5-1394Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-30/pdf/E5-1394.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/30/E5-1393.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. Relating to the Listing and Trading of Leveraged Index Return Notes Linked to the Dow Jones Industrial Average2005-03-30T00:00:00-08:002005-03-30T00:00:00-08:00E5-1393Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-30/pdf/E5-1393.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/30/E5-1392.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing and Trading of Notes Linked to the Performance of the CBOE S&P 500 BuyWrite IndexSM2005-03-30T00:00:00-08:002005-03-30T00:00:00-08:00E5-1392Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-30/pdf/E5-1392.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/30/E5-1391.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Dissemination of Order Imbalances in Tape A and Tape B Securities Admitted to Unlisted Trading Privileges in the Same Manner as Order Imbalances in Tape C Securities Admitted to Unlisted Trading Privileges2005-03-30T00:00:00-08:002005-03-30T00:00:00-08:00E5-1391Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-30/pdf/E5-1391.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/30/E5-1390.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the International Securities Exchange, Inc., Relating to the Elimination of the Restriction on Electronically Generated Orders2005-03-30T00:00:00-08:002005-03-30T00:00:00-08:00E5-1390Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-30/pdf/E5-1390.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/30/05-6358.htmlNotice - Lonisson Communications Corporation; Order of Suspension of Trading2005-03-30T00:00:00-08:002005-03-30T00:00:00-08:0005-6358Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-30/pdf/05-6358.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/30/05-6357.htmlNotice - Tempo Financial Corporation; Order of Suspension of Trading2005-03-30T00:00:00-08:002005-03-30T00:00:00-08:0005-6357Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-30/pdf/05-6357.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/30/05-6356.htmlNotice - Urban Transfer Systems, Inc.; Order of Suspension of Trading2005-03-30T00:00:00-08:002005-03-30T00:00:00-08:0005-6356Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-30/pdf/05-6356.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/30/05-6355.htmlNotice - STB Chip Corporation; Order of Suspension of Trading2005-03-30T00:00:00-08:002005-03-30T00:00:00-08:0005-6355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-30/pdf/05-6355.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/29/E5-1385.htmlNotice - Self-Regulatory Organizations; Order Granting Approval to Proposed Rule Change To Amend Rule 4350(n) and IM-4350-7 To Conform the Time Frame for the Disclosure of a Waiver to a Company's Code of Conduct to the Time Frame Required for Similar Disclosure by the Commission's Form 8-K2005-03-29T00:00:00-08:002005-03-29T00:00:00-08:00E5-1385Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-29/pdf/E5-1385.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/29/E5-1384.htmlNotice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by the Philadelphia Stock Exchange, Inc. and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Relating to an Amendment to Its By-Laws To Replace an On-Floor Equity Governor Position With an On-Floor Philadelphia Board of Trade Governor Position2005-03-29T00:00:00-08:002005-03-29T00:00:00-08:00E5-1384Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-29/pdf/E5-1384.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/29/E5-1383.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, by the Boston Stock Exchange, Inc. Relating to the Price Improvement Period Under the Rules of the Boston Options Exchange Facility2005-03-29T00:00:00-08:002005-03-29T00:00:00-08:00E5-1383Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-29/pdf/E5-1383.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/29/E5-1382.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change To Modify the Assessment Process for Late Submissions of Collateral Made Through the GCF Repo Service and To Increase the Types of Securities Available To Satisfy Collateral Allocation Obligations2005-03-29T00:00:00-08:002005-03-29T00:00:00-08:00E5-1382Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-29/pdf/E5-1382.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/29/E5-1381.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Amend the Rules of the Mortgage-Backed Securities Division To Impose Fines on Members for Violations of Minimum Financial Standards and To Modify the Penalty Assessment Process for Failures of Members To Submit Requisite Financial Reports on a Timely Basis2005-03-29T00:00:00-08:002005-03-29T00:00:00-08:00E5-1381Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-29/pdf/E5-1381.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/29/E5-1380.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendments No. 1 and No. 2 by the International Securities Exchange, Inc., Relating to Trading Options on Reduced Values of the NYSE U.S. 100 Index, the NYSE International 100 Index, the NYSE World Leaders Index, and the NYSE TMT Index, Including Long-Term Options2005-03-29T00:00:00-08:002005-03-29T00:00:00-08:00E5-1380Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-29/pdf/E5-1380.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/29/E5-1377.htmlNotice - Issuer Delisting; Notice of Application of Hythiam, Inc. to Withdraw its Common Stock, $.0001 par value, From Listing and Registration on the American Stock Exchange LLC File No. 1-319322005-03-29T00:00:00-08:002005-03-29T00:00:00-08:00E5-1377Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-29/pdf/E5-1377.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/28/E5-1366.htmlNotice - Proposed Collection; Comment Request2005-03-28T00:00:00-08:002005-03-28T00:00:00-08:00E5-1366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-28/pdf/E5-1366.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/28/E5-1365.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated To Extend a Pilot Program Relating to Margin Requirements for Certain Complex Options Spreads2005-03-28T00:00:00-08:002005-03-28T00:00:00-08:00E5-1365Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-28/pdf/E5-1365.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/28/E5-1336.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Establishment of a Money-Only Settlement Service2005-03-28T00:00:00-08:002005-03-28T00:00:00-08:00E5-1336Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-28/pdf/E5-1336.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/28/E5-1335.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendments No. 1 and 2 Thereto Requiring Electronic Filing of Form U4 and Form U5 by ETP Holders Through the CRD2005-03-28T00:00:00-08:002005-03-28T00:00:00-08:00E5-1335Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-28/pdf/E5-1335.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/28/E5-1334.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Requiring Electronic Filing of Form U4 and Form U5 by OTP Holders and OTP Firms Through the CRD2005-03-28T00:00:00-08:002005-03-28T00:00:00-08:00E5-1334Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-28/pdf/E5-1334.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/28/05-6100.htmlNotice - Advisory Committee on Smaller Public Companies2005-03-28T00:00:00-08:002005-03-28T00:00:00-08:0005-6100Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-28/pdf/05-6100.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/25/Z5-1132.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5, 6, and 7 Thereto by the New York Stock Exchange, Inc., To Amend Its Original and Continued Quantitative Listing Standards2005-03-25T00:00:00-08:002005-03-25T00:00:00-08:00Z5-1132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-25/pdf/Z5-1132.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/25/E5-1305.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2005-03-25T00:00:00-08:002005-03-25T00:00:00-08:00E5-1305Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-25/pdf/E5-1305.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/25/E5-1304.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Remote Market Makers' Ability To Be Reappointed Options Issues2005-03-25T00:00:00-08:002005-03-25T00:00:00-08:00E5-1304Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-25/pdf/E5-1304.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/25/E5-1303.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Amendments to the Bylaws of PCX Holdings, Inc.2005-03-25T00:00:00-08:002005-03-25T00:00:00-08:00E5-1303Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-25/pdf/E5-1303.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/25/05-5986.htmlNotice - Sunshine Act Meetings2005-03-25T00:00:00-08:002005-03-25T00:00:00-08:0005-5986Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-25/pdf/05-5986.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/24/E5-1295.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Matching of Certain Incoming Orders With Certain Phlx Existing Orders2005-03-24T00:00:00-08:002005-03-24T00:00:00-08:00E5-1295Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-24/pdf/E5-1295.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/24/E5-1294.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. Relating to the Deletion of Obsolete or Unnecessary Rules2005-03-24T00:00:00-08:002005-03-24T00:00:00-08:00E5-1294Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-24/pdf/E5-1294.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/24/E5-1293.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto of the New York Stock Exchange, Inc. Relating to Arbitration2005-03-24T00:00:00-08:002005-03-24T00:00:00-08:00E5-1293Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-24/pdf/E5-1293.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/24/E5-1292.htmlNotice - Consolidated Tape Association; Order Approving the Seventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Fifth Substantive Amendment to the Restated Consolidated Quotation Plan2005-03-24T00:00:00-08:002005-03-24T00:00:00-08:00E5-1292Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-24/pdf/E5-1292.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/24/E5-1291.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change, and Amendments No. 1, 2, 3 and 4 Thereto, by the Boston Stock Exchange, Inc. Relating to the Composition of the Board of Directors and Executive Committee of Boston Options Exchange Regulation LLC2005-03-24T00:00:00-08:002005-03-24T00:00:00-08:00E5-1291Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-24/pdf/E5-1291.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/23/E5-1257.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Relating to Membership Requirements2005-03-23T00:00:00-08:002005-03-23T00:00:00-08:00E5-1257Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-23/pdf/E5-1257.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/23/E5-1256.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to the Nasdaq Opening Process for Nasdaq-Listed Stocks2005-03-23T00:00:00-08:002005-03-23T00:00:00-08:00E5-1256Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-23/pdf/E5-1256.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/23/E5-1255.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to the Nasdaq Opening Process for Nasdaq-Listed Stocks2005-03-23T00:00:00-08:002005-03-23T00:00:00-08:00E5-1255Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-23/pdf/E5-1255.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/23/E5-1254.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange Inc.; Notice of Filing of Proposed Rule Change To Eliminate Rule 496 and To Amend the Listed Company Manual Relating to Transfer Agents2005-03-23T00:00:00-08:002005-03-23T00:00:00-08:00E5-1254Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-23/pdf/E5-1254.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/22/E5-1247.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Regarding Q Orders2005-03-22T00:00:00-08:002005-03-22T00:00:00-08:00E5-1247Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-22/pdf/E5-1247.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/22/E5-1234.htmlNotice - Submission for OMB Review; Comment Request2005-03-22T00:00:00-08:002005-03-22T00:00:00-08:00E5-1234Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-22/pdf/E5-1234.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1213.htmlNotice - Burnham Investors Trust, et al., Notice of Application2005-03-21T00:00:00-08:002005-03-21T00:00:00-08:00E5-1213Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1213.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1212.htmlNotice - 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 Meetings2005-03-21T00:00:00-08:002005-03-21T00:00:00-08:00E5-1212Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1212.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1211.htmlNotice - 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 Classes2005-03-21T00:00:00-08:002005-03-21T00:00:00-08:00E5-1211Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1211.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1210.htmlNotice - 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 Limits2005-03-21T00:00:00-08:002005-03-21T00:00:00-08:00E5-1210Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1210.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1209.htmlNotice - 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 Questionnaires2005-03-21T00:00:00-08:002005-03-21T00:00:00-08:00E5-1209Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1209.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1208.htmlNotice - 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 Exchange2005-03-21T00:00:00-08:002005-03-21T00:00:00-08:00E5-1208Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1208.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1204.htmlNotice - 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 Obligations2005-03-21T00:00:00-08:002005-03-21T00:00:00-08:00E5-1204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1204.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1203.htmlNotice - 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 Fees2005-03-21T00:00:00-08:002005-03-21T00:00:00-08:00E5-1203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1203.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/18/E5-1185.htmlNotice - Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendments No. 1 and 2 Thereto by the Chicago Board Options Exchange, Incorporated Relating to the Introduction of Remote Market-Makers2005-03-18T00:00:00-08:002005-03-18T00:00:00-08:00E5-1185Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-18/pdf/E5-1185.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/18/E5-1184.htmlNotice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing of an Amended Proposed Rule Change Relating to Trade Submission Requirements and Pre-Netting2005-03-18T00:00:00-08:002005-03-18T00:00:00-08:00E5-1184Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-18/pdf/E5-1184.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/18/E5-1183.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Granting Approval of Proposed Rule Change Relating to Primary Only Orders2005-03-18T00:00:00-08:002005-03-18T00:00:00-08:00E5-1183Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-18/pdf/E5-1183.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/18/05-5463.htmlNotice - Sunshine Act Meeting2005-03-18T00:00:00-08:002005-03-18T00:00:00-08:0005-5463Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-18/pdf/05-5463.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/18/05-5318.htmlRule - Mutual Fund Redemption Fees2005-03-18T00:00:00-08:002005-03-18T00:00:00-08:0005-5318Rulehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-18/pdf/05-5318.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/17/E5-1166.htmlNotice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)2005-03-17T00:00:00-08:002005-03-17T00:00:00-08:00E5-1166Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-17/pdf/E5-1166.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/17/E5-1165.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing of Proposed Rule Change To Revise Certain Membership Rules Related to the Testing and Orientation Requirements for Nominees of Member Organizations Approved Solely as Clearing Members2005-03-17T00:00:00-08:002005-03-17T00:00:00-08:00E5-1165Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-17/pdf/E5-1165.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/17/E5-1164.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Its Operational Capability Requirement for Membership2005-03-17T00:00:00-08:002005-03-17T00:00:00-08:00E5-1164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-17/pdf/E5-1164.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/17/E5-1163.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend the Membership Standards Required of Insurance Companies2005-03-17T00:00:00-08:002005-03-17T00:00:00-08:00E5-1163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-17/pdf/E5-1163.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/17/E5-1161.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc., and the National Association of Securities Dealers, Inc., To Prohibit Participation by a Research Analyst in a Road Show Related to an Investment Banking Services Transaction and To Require Certain Communications About an Investment Banking Services Transaction To Be Fair, Balanced and Not Misleading2005-03-17T00:00:00-08:002005-03-17T00:00:00-08:00E5-1161Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-17/pdf/E5-1161.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/16/E5-1157.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Allow NASD, on a Pilot Basis, To Review Denial of Access Complaints Related to the Alternative Display Facility2005-03-16T00:00:00-08:002005-03-16T00:00:00-08:00E5-1157Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-16/pdf/E5-1157.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/16/E5-1156.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Clarify Certain Sections of the Loss Allocation Rule of Its Government Securities Division2005-03-16T00:00:00-08:002005-03-16T00:00:00-08:00E5-1156Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-16/pdf/E5-1156.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/16/E5-1155.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Provide Interpretive Guidance to Members Regarding the Criteria Used To Place Members on Surveillance Status2005-03-16T00:00:00-08:002005-03-16T00:00:00-08:00E5-1155Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-16/pdf/E5-1155.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/16/E5-1153.htmlNotice - 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 Transaction Fees for Options on the Mini-Nasdaq-100 Index and Options on the Nasdaq-100 Index2005-03-16T00:00:00-08:002005-03-16T00:00:00-08:00E5-1153Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-16/pdf/E5-1153.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/16/E5-1143.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving a Proposed Rule Change Relating to Clearing Member Trade Assignment Processing2005-03-16T00:00:00-08:002005-03-16T00:00:00-08:00E5-1143Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-16/pdf/E5-1143.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/16/E5-1141.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated Relating to Listing Standards for Options on Narrow-Based Security Indexes2005-03-16T00:00:00-08:002005-03-16T00:00:00-08:00E5-1141Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-16/pdf/E5-1141.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/16/E5-1133.htmlNotice - The Brazilian Equity Fund, Inc., et al.; Notice of Application2005-03-16T00:00:00-08:002005-03-16T00:00:00-08:00E5-1133Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-16/pdf/E5-1133.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/16/E5-1132.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5, 6, and 7 Thereto by the New York Stock Exchange, Inc., To Amend Its Original and Continued Quantitative Listing Standards2005-03-16T00:00:00-08:002005-03-16T00:00:00-08:00E5-1132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-16/pdf/E5-1132.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/16/E5-1131.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to System Changes to the Exchange's Automated Options Market (AUTOM) System2005-03-16T00:00:00-08:002005-03-16T00:00:00-08:00E5-1131Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-16/pdf/E5-1131.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/16/E5-1130.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to Split Price Priority2005-03-16T00:00:00-08:002005-03-16T00:00:00-08:00E5-1130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-16/pdf/E5-1130.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/16/E5-1129.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Relating to TRACE Market Data Fees2005-03-16T00:00:00-08:002005-03-16T00:00:00-08:00E5-1129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-16/pdf/E5-1129.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/16/05-5267.htmlNotice - Sunshine Act Meeting2005-03-16T00:00:00-08:002005-03-16T00:00:00-08:0005-5267Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-16/pdf/05-5267.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/15/E5-1119.htmlNotice - Issuer Delisting; Notice of Application of Grupo Imsa, S.A. de C.V. To Withdraw Its American Depositary Shares (Represented by American Depositary Receipts (Each Representing Nine Equity Units, Each of Which Consists of Three Series B Shares, No Par Value, and Two Series C Shares, No Par Value), From Listing and Registration on the New York Stock Exchange, Inc.2005-03-15T00:00:00-08:002005-03-15T00:00:00-08:00E5-1119Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-15/pdf/E5-1119.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/15/E5-1118.htmlNotice - Issuer Delisting; Notice of Application of Perficient, Inc. To Withdraw Its Common Stock, $.001 Par Value, From Listing and Registration on the Boston Stock Exchange, Inc.2005-03-15T00:00:00-08:002005-03-15T00:00:00-08:00E5-1118Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-15/pdf/E5-1118.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/15/E5-1117.htmlNotice - Issuer Delisting; Notice of Application of Vitran Corporation Inc., To Withdraw Its Common Stock, No Par Value, From Listing and Registration on the American Stock Exchange LLC2005-03-15T00:00:00-08:002005-03-15T00:00:00-08:00E5-1117Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-15/pdf/E5-1117.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/15/E5-1116.htmlNotice - Issuer Delisting; Notice of Application of Earl Scheib, Inc. To Withdraw Its Capital Stock, $1.00 Par Value, From Listing and Registration on the American Stock Exchange LLC2005-03-15T00:00:00-08:002005-03-15T00:00:00-08:00E5-1116Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-15/pdf/E5-1116.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/15/E5-1115.htmlNotice - Issuer Delisting; Notice of Application of DynTek, Inc. To Withdraw Its Common Stock, $.0001 par value, and Series A Convertible Preferred Stock and Warrants, From Listing and Registration on the Boston Stock Exchange, Inc.2005-03-15T00:00:00-08:002005-03-15T00:00:00-08:00E5-1115Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-15/pdf/E5-1115.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/15/E5-1104.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Adopt an Additional Mark-Up Policy for Transactions in Debt Securities Except Municipal Securities2005-03-15T00:00:00-08:002005-03-15T00:00:00-08:00E5-1104Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-15/pdf/E5-1104.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/15/E5-1103.htmlNotice - Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendment No. 1 Thereto by National Association of Securities Dealers, Inc. Relating to the Random Selection of Arbitrators by the Neutral List Selection System2005-03-15T00:00:00-08:002005-03-15T00:00:00-08:00E5-1103Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-15/pdf/E5-1103.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/15/E5-1102.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Amend the Application and Continuing Membership Standards of the Government Securities Division and the Mortgage-Backed Securities Division2005-03-15T00:00:00-08:002005-03-15T00:00:00-08:00E5-1102Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-15/pdf/E5-1102.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/15/E5-1101.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Amend NYSE Rule 104 Regarding the Requirement That Specialists Obtain Floor Official Approval for Destabilizing Dealer Account Transactions in ETFs2005-03-15T00:00:00-08:002005-03-15T00:00:00-08:00E5-1101Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-15/pdf/E5-1101.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/15/E5-1100.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Eliminating Its Floor Brokerage Transaction Fee2005-03-15T00:00:00-08:002005-03-15T00:00:00-08:00E5-1100Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-15/pdf/E5-1100.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/14/Z5-800.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SIG Indices, LLLP2005-03-14T00:00:00-08:002005-03-14T00:00:00-08:00Z5-800Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-14/pdf/Z5-800.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/14/E5-1063.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to a New Customers' Lien Account2005-03-14T00:00:00-08:002005-03-14T00:00:00-08:00E5-1063Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-14/pdf/E5-1063.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/14/E5-1062.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Unsegregation of Long Option Positions2005-03-14T00:00:00-08:002005-03-14T00:00:00-08:00E5-1062Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-14/pdf/E5-1062.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/14/E5-1061.htmlNotice - Submission for OMB Review; Comment Request2005-03-14T00:00:00-08:002005-03-14T00:00:00-08:00E5-1061Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-14/pdf/E5-1061.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/14/E5-1060.htmlNotice - Submission for OMB Review; Comment Request2005-03-14T00:00:00-08:002005-03-14T00:00:00-08:00E5-1060Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-14/pdf/E5-1060.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/14/E5-1059.htmlNotice - Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks From the Definition of “Broker” Under Section 3(a)(4) of the Securities Exchange Act of 19342005-03-14T00:00:00-08:002005-03-14T00:00:00-08:00E5-1059Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-14/pdf/E5-1059.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/14/E5-1058.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Discontinuation of the Nasdaq PostData Pilot Program2005-03-14T00:00:00-08:002005-03-14T00:00:00-08:00E5-1058Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-14/pdf/E5-1058.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/14/E5-1057.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Rescind a Type of Order Known as an Institutional XPress ® Order Through Amendments to Exchange Rules 13, 60 and 722005-03-14T00:00:00-08:002005-03-14T00:00:00-08:00E5-1057Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-14/pdf/E5-1057.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/14/E5-1056.htmlNotice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to a Proposal To Adopt a New IM-10308 on Mediators Serving as Arbitrators2005-03-14T00:00:00-08:002005-03-14T00:00:00-08:00E5-1056Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-14/pdf/E5-1056.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/14/E5-1052.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Establish Rules Governing the Operation of Nasdaq's Brut Facility2005-03-14T00:00:00-08:002005-03-14T00:00:00-08:00E5-1052Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-14/pdf/E5-1052.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/14/E5-1051.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the International Securities Exchange, Inc., Relating to the Nomination of Its Class B Directors Pursuant to Its Amended and Restated Constitution2005-03-14T00:00:00-08:002005-03-14T00:00:00-08:00E5-1051Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-14/pdf/E5-1051.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/14/C5-4177.htmlNotice - Intent to Prepare a Joint Supplemental Environmental Impact Statement/Supplemental Environmental Impact Report for the San Luis Rey River Flood Control Project, Operations and Maintenance Plan; San Diego County, CA2005-03-14T00:00:00-08:002005-03-14T00:00:00-08:00C5-4177Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-14/pdf/C5-4177.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/14/05-4946.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 14 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc.2005-03-14T00:00:00-08:002005-03-14T00:00:00-08:0005-4946Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-14/pdf/05-4946.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/11/E5-1023.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Position Limits and Exercise Limits2005-03-11T00:00:00-08:002005-03-11T00:00:00-08:00E5-1023Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-11/pdf/E5-1023.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/11/E5-1022.htmlNotice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Foreign Hearing Locations2005-03-11T00:00:00-08:002005-03-11T00:00:00-08:00E5-1022Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-11/pdf/E5-1022.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/11/E5-1021.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 thereto by the American Stock Exchange LLC Relating to Revisions to the ANTE Roll-Out Schedule2005-03-11T00:00:00-08:002005-03-11T00:00:00-08:00E5-1021Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-11/pdf/E5-1021.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/11/E5-1020.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Split Price Priority2005-03-11T00:00:00-08:002005-03-11T00:00:00-08:00E5-1020Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-11/pdf/E5-1020.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/11/E5-1019.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Position Limits and Exercise Limits on the Boston Options Exchange Facility2005-03-11T00:00:00-08:002005-03-11T00:00:00-08:00E5-1019Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-11/pdf/E5-1019.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/11/E5-1018.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Position Limits and Exercise Limits2005-03-11T00:00:00-08:002005-03-11T00:00:00-08:00E5-1018Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-11/pdf/E5-1018.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/10/E5-1012.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Relating to Transactions in Certain Exchange-Traded Funds2005-03-10T00:00:00-08:002005-03-10T00:00:00-08:00E5-1012Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-10/pdf/E5-1012.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/09/E5-984.htmlNotice - Joint Industry Plan; Order Extending for One Year the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc., and to Extend Certain Exemptive Relief2005-03-09T00:00:00-08:002005-03-09T00:00:00-08:00E5-984Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-09/pdf/E5-984.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/09/E5-983.htmlNotice - Order Regarding Review of FASB Accounting Support Fee for Calendar Year 2005 Under the Sarbanes-Oxley Act of 20022005-03-09T00:00:00-08:002005-03-09T00:00:00-08:00E5-983Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-09/pdf/E5-983.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/09/E5-982.htmlNotice - Order Approving Public Company Accounting Oversight Board Revised Budget and Annual Accounting Support Fee for Calendar Year 20052005-03-09T00:00:00-08:002005-03-09T00:00:00-08:00E5-982Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-09/pdf/E5-982.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/09/E5-977.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to PCXE Rules 4.5 and 6.18(d), Relating to Compliance Date for the Series 24 and Series 27 Examination Requirements for ETP Holders2005-03-09T00:00:00-08:002005-03-09T00:00:00-08:00E5-977Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-09/pdf/E5-977.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/09/E5-976.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Fees for Data Provided to Streaming Quote Traders Trading Options on the Exchange's Electronic Trading Platform, Phlx XL2005-03-09T00:00:00-08:002005-03-09T00:00:00-08:00E5-976Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-09/pdf/E5-976.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/09/E5-975.htmlNotice - Issuer Delisting; Notice of Application of Ryder System, Inc. To Withdraw Its Common Stock, $.50 par value, From Listing and Registration on the Chicago Stock Exchange, Incorporated2005-03-09T00:00:00-08:002005-03-09T00:00:00-08:00E5-975Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-09/pdf/E5-975.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/09/05-4781.htmlNotice - Sunshine Act Meetings2005-03-09T00:00:00-08:002005-03-09T00:00:00-08:0005-4781Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-09/pdf/05-4781.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/E5-972.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Open-Ended Funds Depository Eligible2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:00E5-972Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/E5-972.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/E5-971.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Establish a Set Up Fee for Open-Ended Mutual Funds2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:00E5-971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/E5-971.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/E5-970.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC to Require Members to Complete Systems Training2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:00E5-970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/E5-970.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/E5-969.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Position Limits and Exercise Limits2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:00E5-969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/E5-969.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/E5-968.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Procedures for Handling ITS Commitments in the Auto-Ex System2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:00E5-968Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/E5-968.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/E5-967.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise its Cross-Margining Agreement With The Clearing Corporation2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:00E5-967Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/E5-967.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/E5-966.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendments Nos. 1, 2, and 3 by the Pacific Exchange, Inc., Relating to Adjournments of a Hearing Within Three Business Days of a Scheduled Hearing Session2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:00E5-966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/E5-966.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/E5-936.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Chicago Stock Exchange, Incorporated to Trade the streetTRACKS® Gold Shares Pursuant to Unlisted Trading Privileges2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:00E5-936Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/E5-936.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/E5-935.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the American Stock Exchange LLC Relating to Revisions to Amex Rule 21, Appointment of Floor Officials2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:00E5-935Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/E5-935.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/E5-934.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval to Proposed Rule Change Relating to Exchange Rule 17.10(d)-Review of Decision Not To Initiate Charges2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:00E5-934Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/E5-934.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/E5-933.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Clearly Erroneous Executions on the Archipelago Exchange2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:00E5-933Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/E5-933.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/E5-932.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Position Limits and Exercise Limits2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:00E5-932Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/E5-932.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/E5-931.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Deletion of Certain Obsolete or Unnecessary Rules2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:00E5-931Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/E5-931.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/05-4576.htmlNotice - Sunshine Act Meeting2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:0005-4576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/05-4576.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/08/05-4450.htmlRule - Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Non-Accelerated Filers and Foreign Private Issuers2005-03-08T00:00:00-08:002005-03-08T00:00:00-08:0005-4450Rulehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-08/pdf/05-4450.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/07/E5-915.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc., To Adopt New Rule 401A (“Customer Complaints”), and an Amendment to Rule 476A (“Imposition of Fines for Minor Violations of Rules”), Adding Rule 401A to the List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A2005-03-07T00:00:00-08:002005-03-07T00:00:00-08:00E5-915Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-07/pdf/E5-915.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/07/05-4446.htmlNotice - In the Matter of CMKM Diamonds, Inc., a/k/a Casavant Mining Kimberlite International, Inc.; Order of Suspension of Trading2005-03-07T00:00:00-08:002005-03-07T00:00:00-08:0005-4446Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-07/pdf/05-4446.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/07/05-4393.htmlNotice - Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Pub. L. 94-409, that the Securities and Exchange Commission will hold the following meeting during the week of March 7, 2005:2005-03-07T00:00:00-08:002005-03-07T00:00:00-08:0005-4393Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-07/pdf/05-4393.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/07/05-4293.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Clarifying Members' Obligations To Report Cancelled Trades2005-03-07T00:00:00-08:002005-03-07T00:00:00-08:0005-4293Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-07/pdf/05-4293.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/E5-900.htmlNotice - Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendments No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 by the New York Stock Exchange, Inc. Relating to Appointments to the NYSE's Board of Arbitration and Other Changes to the NYSE's Arbitration Program2005-03-04T00:00:00-08:002005-03-04T00:00:00-08:00E5-900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-900.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/E5-899.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Floor Official Conflicts of Interest2005-03-04T00:00:00-08:002005-03-04T00:00:00-08:00E5-899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-899.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/E5-898.htmlNotice - 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 Member Firm Guarantee2005-03-04T00:00:00-08:002005-03-04T00:00:00-08:00E5-898Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-898.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/E5-897.htmlNotice - Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendment No. 2 and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 3 and 5 by the Chicago Board Options Exchange, Inc. Relating to the Trading of Complex Orders on the CBOE Hybrid System2005-03-04T00:00:00-08:002005-03-04T00:00:00-08:00E5-897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-897.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/E5-880.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. To Trade the streetTRACKS® Gold Shares Pursuant to Unlisted Trading Privileges2005-03-04T00:00:00-08:002005-03-04T00:00:00-08:00E5-880Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-880.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/E5-879.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending Section 507 of the Amex Company Guide To Conform the Definition of a “Large” Dividend to the Threshold Specified in Section 521 of the Company Guide2005-03-04T00:00:00-08:002005-03-04T00:00:00-08:00E5-879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-879.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/E5-878.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees Applicable to Linkage P and P/A Orders2005-03-04T00:00:00-08:002005-03-04T00:00:00-08:00E5-878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-878.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/E5-877.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC Relating to Fees for Transactions in Options on the Nasdaq 100 Index (NDX) and Mini-Nasdaq 100 Index (MNX)2005-03-04T00:00:00-08:002005-03-04T00:00:00-08:00E5-877Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-877.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/E5-876.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Listing Standards for Options on Narrow-Based Indexes2005-03-04T00:00:00-08:002005-03-04T00:00:00-08:00E5-876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-876.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/E5-875.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to the Adoption of Generic Listing Standards for Index-Linked Securities2005-03-04T00:00:00-08:002005-03-04T00:00:00-08:00E5-875Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-875.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/E5-874.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to Exchange Fees for Reduced-Value Options on the Russell 2000 Index2005-03-04T00:00:00-08:002005-03-04T00:00:00-08:00E5-874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-874.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/E5-873.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Regarding Procedures for Denying Listing on Nasdaq2005-03-04T00:00:00-08:002005-03-04T00:00:00-08:00E5-873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-873.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/05-4215.htmlProposed Rule - Point of Sale Disclosure Requirements and Confirmation Requirements for Transactions in Mutual Funds, College Savings Plans, and Certain Other Securities, and Amendments to the Registration Form for Mutual Funds2005-03-04T00:00:00-08:002005-03-04T00:00:00-08:0005-4215Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/05-4215.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/04/05-4214.htmlNotice - Order Making Fiscal 2005 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 19342005-03-04T00:00:00-08:002005-03-04T00:00:00-08:0005-4214Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/05-4214.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/03/E5-853.htmlNotice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)2005-03-03T00:00:00-08:002005-03-03T00:00:00-08:00E5-853Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-853.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/03/E5-851.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402005-03-03T00:00:00-08:002005-03-03T00:00:00-08:00E5-851Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-851.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/03/E5-850.htmlNotice - 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 Analysts2005-03-03T00:00:00-08:002005-03-03T00:00:00-08:00E5-850Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-850.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/03/E5-849.htmlNotice - 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 Warrants2005-03-03T00:00:00-08:002005-03-03T00:00:00-08:00E5-849Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-849.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/03/E5-848.htmlNotice - 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 Indexes2005-03-03T00:00:00-08:002005-03-03T00:00:00-08:00E5-848Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-848.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/03/E5-847.htmlNotice - 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 Transactions2005-03-03T00:00:00-08:002005-03-03T00:00:00-08:00E5-847Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-847.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/03/E5-846.htmlNotice - 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”)2005-03-03T00:00:00-08:002005-03-03T00:00:00-08:00E5-846Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-846.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/03/E5-845.htmlNotice - 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 Securities2005-03-03T00:00:00-08:002005-03-03T00:00:00-08:00E5-845Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-845.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/03/E5-844.htmlNotice - 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 Transactions2005-03-03T00:00:00-08:002005-03-03T00:00:00-08:00E5-844Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-844.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/03/E5-842.htmlNotice - 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 Members2005-03-03T00:00:00-08:002005-03-03T00:00:00-08:00E5-842Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-842.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/03/E5-833.htmlNotice - 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)2005-03-03T00:00:00-08:002005-03-03T00:00:00-08:00E5-833Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-03/pdf/E5-833.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/02/E5-828.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to FOCD Forms Due Date2005-03-02T00:00:00-08:002005-03-02T00:00:00-08:00E5-828Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-02/pdf/E5-828.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/02/E5-827.htmlNotice - Boston Safe Advisors, Inc., et al.; Notice of Application and Temporary Order2005-03-02T00:00:00-08:002005-03-02T00:00:00-08:00E5-827Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-02/pdf/E5-827.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/02/E5-826.htmlNotice - Parkland Management Company, L.L.C.; Notice of Application2005-03-02T00:00:00-08:002005-03-02T00:00:00-08:00E5-826Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-02/pdf/E5-826.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/02/E5-825.htmlNotice - Goldman, Sachs & Co., et al.; Notice of Application and Temporary Order2005-03-02T00:00:00-08:002005-03-02T00:00:00-08:00E5-825Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-02/pdf/E5-825.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/01/E5-808.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Fees for Late FOCD Forms2005-03-01T00:00:00-08:002005-03-01T00:00:00-08:00E5-808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-01/pdf/E5-808.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/01/E5-807.htmlNotice - 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 Limits2005-03-01T00:00:00-08:002005-03-01T00:00:00-08:00E5-807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-01/pdf/E5-807.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/01/E5-801.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto by the Chicago Board Options Exchange, Incorporated Relating to Market-Maker Quoting and Market-Maker Appointments2005-03-01T00:00:00-08:002005-03-01T00:00:00-08:00E5-801Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-01/pdf/E5-801.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/01/E5-800.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SIG Indices, LLLP2005-03-01T00:00:00-08:002005-03-01T00:00:00-08:00E5-800Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-01/pdf/E5-800.pdfhttps://regulations.justia.com/regulations/fedreg/2005/03/01/05-3995.htmlNotice - Sunshine Act Meetings2005-03-01T00:00:00-08:002005-03-01T00:00:00-08:0005-3995Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-03-01/pdf/05-3995.pdf