<![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/2005/04?registers=between&min-day=1&max-day=30 Tue, 21 May 2024 23:13:21 -0700 Tue, 21 May 2024 23:13:21 -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/2005/04?registers=between&min-day=1&max-day=30 Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to Fees Relating to Merger Spreads and Dividend Spreads https://regulations.justia.com/regulations/fedreg/2005/04/29/E5-2050.html https://regulations.justia.com/regulations/fedreg/2005/04/29/E5-2050.html Fri, 29 Apr 2005 00:00:00 -0700 E5-2050 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-29/pdf/E5-2050.pdf Notice - Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2005/04/29/05-8671.html https://regulations.justia.com/regulations/fedreg/2005/04/29/05-8671.html Fri, 29 Apr 2005 00:00:00 -0700 05-8671 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-29/pdf/05-8671.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/04/29/05-8670.html https://regulations.justia.com/regulations/fedreg/2005/04/29/05-8670.html Fri, 29 Apr 2005 00:00:00 -0700 05-8670 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-29/pdf/05-8670.pdf Notice - Summary of Proposed Committee Agenda of Advisory Committee on Smaller Public Companies https://regulations.justia.com/regulations/fedreg/2005/04/29/05-8622.html https://regulations.justia.com/regulations/fedreg/2005/04/29/05-8622.html Fri, 29 Apr 2005 00:00:00 -0700 05-8622 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-29/pdf/05-8622.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change, and Amendment Nos. 1, 2, and 3 Thereto, by the Boston Stock Exchange, Inc. Relating to the Trading of Market Orders on the Boston Options Exchange https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2044.html https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2044.html Thu, 28 Apr 2005 00:00:00 -0700 E5-2044 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/E5-2044.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. To Modify Pricing for NASD Members Using Nasdaq's Brut Facility https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2043.html https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2043.html Thu, 28 Apr 2005 00:00:00 -0700 E5-2043 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/E5-2043.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Order Approving Proposed Rule Change To Revise Certain Membership Rules Related to the Testing and Orientation Requirements for Nominees of Member Organizations Approved Solely as Clearing Members https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2042.html https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2042.html Thu, 28 Apr 2005 00:00:00 -0700 E5-2042 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/E5-2042.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. To Establish a Unitary Fee Schedule for Distribution of Real Time Data Feed Products Containing Nasdaq Market Center Data https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2041.html https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2041.html Thu, 28 Apr 2005 00:00:00 -0700 E5-2041 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/E5-2041.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend Its Operational Capability Requirement for Membership https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2003.html https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2003.html Thu, 28 Apr 2005 00:00:00 -0700 E5-2003 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/E5-2003.pdf Notice - Self-Regulatory Organizations; Order Approving 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 Misleading https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2002.html https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2002.html Thu, 28 Apr 2005 00:00:00 -0700 E5-2002 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/E5-2002.pdf Proposed Rule - Proposed Amendments to the Rules of Practice and Related Provisions https://regulations.justia.com/regulations/fedreg/2005/04/28/05-8484.html https://regulations.justia.com/regulations/fedreg/2005/04/28/05-8484.html Thu, 28 Apr 2005 00:00:00 -0700 05-8484 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/05-8484.pdf Notice - New England Life Insurance Co., et al., Notice of Application https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1990.html https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1990.html Wed, 27 Apr 2005 00:00:00 -0700 E5-1990 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-27/pdf/E5-1990.pdf Notice - The PNC Financial Services Group, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1988.html https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1988.html Wed, 27 Apr 2005 00:00:00 -0700 E5-1988 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-27/pdf/E5-1988.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change Relating to the Use of Certain Consolidated Tape Association Financial Status Indicator Fields and Related Disclosure Obligations https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1987.html https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1987.html Wed, 27 Apr 2005 00:00:00 -0700 E5-1987 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-27/pdf/E5-1987.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Arbitration Fees https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1986.html https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1986.html Wed, 27 Apr 2005 00:00:00 -0700 E5-1986 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-27/pdf/E5-1986.pdf Notice - In the Matter of Weida Communications, Inc., File No. 500-1; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2005/04/27/05-8515.html https://regulations.justia.com/regulations/fedreg/2005/04/27/05-8515.html Wed, 27 Apr 2005 00:00:00 -0700 05-8515 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-27/pdf/05-8515.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Members Using the New Nasdaq Workstation https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1975.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1975.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1975 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1975.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Types of Securities Eligible for FICC's GCF Repo Service to Include Treasury-Inflation Protected Securities https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1974.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1974.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1974 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1974.pdf Notice - UBS Supplementary Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1973.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1973.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1973 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1973.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Procedures With Respect to Deposits of Cash or Securities With an Escrow Bank for Short Positions in Stock Option or Index Option Contracts https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1972.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1972.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1972 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1972.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Technical Changes That Add or Correct Cross-References in Article VIII, Section 5 of the By-Laws and in Rule 910 https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1971.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1971.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1971 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1971.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Non-Members Using the New Nasdaq Workstation https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1970.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1970.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1970 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1970.pdf Notice - Self-Regulatory Organizations; Order Approving 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 ETFs https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1965.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1965.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1965 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1965.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the SizeQuote Mechanism for the Execution of Large-Sized Orders in Open Outcry https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1964.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1964.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1964 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1964.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/04/26/05-8248.html https://regulations.justia.com/regulations/fedreg/2005/04/26/05-8248.html Tue, 26 Apr 2005 00:00:00 -0700 05-8248 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/05-8248.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendment No. 1 by the American Stock Exchange LLC and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Relating to the Adoption of Generic Listing Standards for Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2005/04/25/E5-1949.html https://regulations.justia.com/regulations/fedreg/2005/04/25/E5-1949.html Mon, 25 Apr 2005 00:00:00 -0700 E5-1949 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-25/pdf/E5-1949.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/25/E5-1948.html https://regulations.justia.com/regulations/fedreg/2005/04/25/E5-1948.html Mon, 25 Apr 2005 00:00:00 -0700 E5-1948 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-25/pdf/E5-1948.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/04/25/05-8249.html https://regulations.justia.com/regulations/fedreg/2005/04/25/05-8249.html Mon, 25 Apr 2005 00:00:00 -0700 05-8249 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-25/pdf/05-8249.pdf Proposed Rule - Definition of Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2005/04/25/05-8158.html https://regulations.justia.com/regulations/fedreg/2005/04/25/05-8158.html Mon, 25 Apr 2005 00:00:00 -0700 05-8158 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-25/pdf/05-8158.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Yield Underlying Participating Securities (YUPS) https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1915.html https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1915.html Fri, 22 Apr 2005 00:00:00 -0700 E5-1915 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-22/pdf/E5-1915.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5, 6 and 7 Thereto by the American Stock Exchange LLC Relating to the Listing and Trading of Trust Issued Receipts Based on a Single Issuer https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1914.html https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1914.html Fri, 22 Apr 2005 00:00:00 -0700 E5-1914 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-22/pdf/E5-1914.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Nasdaq Opening Process for Nasdaq-Listed Stocks https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1913.html https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1913.html Fri, 22 Apr 2005 00:00:00 -0700 E5-1913 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-22/pdf/E5-1913.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Denying Motion for Reconsideration of 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/2005/04/22/E5-1912.html https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1912.html Fri, 22 Apr 2005 00:00:00 -0700 E5-1912 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-22/pdf/E5-1912.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Accelerated Approval to a Proposed Rule Change 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/2005/04/22/E5-1884.html https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1884.html Fri, 22 Apr 2005 00:00:00 -0700 E5-1884 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-22/pdf/E5-1884.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Accelerated Approval to a Proposed Rule Change 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/2005/04/22/E5-1883.html https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1883.html Fri, 22 Apr 2005 00:00:00 -0700 E5-1883 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-22/pdf/E5-1883.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Solicitation of Municipal Securities Business Under MSRB Rule G-38 https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1879.html https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1879.html Thu, 21 Apr 2005 00:00:00 -0700 E5-1879 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-21/pdf/E5-1879.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the Calculation of the National Best Bid or Offer When Another Exchange Is Disconnected From the Intermarket Options Linkage https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1878.html https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1878.html Thu, 21 Apr 2005 00:00:00 -0700 E5-1878 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-21/pdf/E5-1878.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish a Firm Deadline by Which Members of the Government Securities Division Must Satisfy Clearing Fund Deficiencies https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1877.html https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1877.html Thu, 21 Apr 2005 00:00:00 -0700 E5-1877 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-21/pdf/E5-1877.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Make Clear That the Underlying Index Value for Portfolio Depository Receipts and Index Fund Shares Must Be Disseminated Widely by an Appropriate Service https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1876.html https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1876.html Thu, 21 Apr 2005 00:00:00 -0700 E5-1876 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-21/pdf/E5-1876.pdf Rule - Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment https://regulations.justia.com/regulations/fedreg/2005/04/21/05-8013.html https://regulations.justia.com/regulations/fedreg/2005/04/21/05-8013.html Thu, 21 Apr 2005 00:00:00 -0700 05-8013 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-21/pdf/05-8013.pdf Notice - Self-Regulatory Organizations; Order Granting Accelerated Approval to 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) System https://regulations.justia.com/regulations/fedreg/2005/04/20/E5-1860.html https://regulations.justia.com/regulations/fedreg/2005/04/20/E5-1860.html Wed, 20 Apr 2005 00:00:00 -0700 E5-1860 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-20/pdf/E5-1860.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Definition of Research Analyst in Rule 344 (Research Analysts and Supervisory Analysts) and Rule 472 (Communications With the Public) https://regulations.justia.com/regulations/fedreg/2005/04/20/E5-1859.html https://regulations.justia.com/regulations/fedreg/2005/04/20/E5-1859.html Wed, 20 Apr 2005 00:00:00 -0700 E5-1859 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-20/pdf/E5-1859.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance Automated Customer Account Transfer Service To Permit the Automated Notification of Changes to the Broker-Dealer of Record for Applicable Insurance Products https://regulations.justia.com/regulations/fedreg/2005/04/20/E5-1849.html https://regulations.justia.com/regulations/fedreg/2005/04/20/E5-1849.html Wed, 20 Apr 2005 00:00:00 -0700 E5-1849 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-20/pdf/E5-1849.pdf Rule - First-Time Application of International Financial Reporting Standards https://regulations.justia.com/regulations/fedreg/2005/04/20/05-7706.html https://regulations.justia.com/regulations/fedreg/2005/04/20/05-7706.html Wed, 20 Apr 2005 00:00:00 -0700 05-7706 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-20/pdf/05-7706.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Delivery of Customer Agreements Containing Predispute Arbitration Clauses https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1818.html https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1818.html Tue, 19 Apr 2005 00:00:00 -0700 E5-1818 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-19/pdf/E5-1818.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by the New York Stock Exchange, Inc. To Adopt a New Rule (NYSE Rule 401A) Requiring Members and Member Organizations To Respond to Customer Complaints, and Adding Failure To Acknowledge Customer Complaints to the Minor Fine Provisions of NYSE Rule 476A https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1817.html https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1817.html Tue, 19 Apr 2005 00:00:00 -0700 E5-1817 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-19/pdf/E5-1817.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1816.html https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1816.html Tue, 19 Apr 2005 00:00:00 -0700 E5-1816 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-19/pdf/E5-1816.pdf Rule - Certain Broker-Dealers Deemed Not To Be Investment Advisers https://regulations.justia.com/regulations/fedreg/2005/04/19/05-7641.html https://regulations.justia.com/regulations/fedreg/2005/04/19/05-7641.html Tue, 19 Apr 2005 00:00:00 -0700 05-7641 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-19/pdf/05-7641.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Calculating Net Capital Under OCC Rule 307 https://regulations.justia.com/regulations/fedreg/2005/04/18/E5-1807.html https://regulations.justia.com/regulations/fedreg/2005/04/18/E5-1807.html Mon, 18 Apr 2005 00:00:00 -0700 E5-1807 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-18/pdf/E5-1807.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Frequency of Updates from the National Do-Not-Call Registry Pursuant to Rule G-39 https://regulations.justia.com/regulations/fedreg/2005/04/18/E5-1804.html https://regulations.justia.com/regulations/fedreg/2005/04/18/E5-1804.html Mon, 18 Apr 2005 00:00:00 -0700 E5-1804 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-18/pdf/E5-1804.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/18/E5-1802.html https://regulations.justia.com/regulations/fedreg/2005/04/18/E5-1802.html Mon, 18 Apr 2005 00:00:00 -0700 E5-1802 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-18/pdf/E5-1802.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment to Rule G-8, on Recordkeeping, to Add Requirement for Predispute Arbitration Agreements With Customers, and Amendment to Rule A-11, on Indemnification, to Delete Obsolete References to Arbitrators https://regulations.justia.com/regulations/fedreg/2005/04/18/05-7650.html https://regulations.justia.com/regulations/fedreg/2005/04/18/05-7650.html Mon, 18 Apr 2005 00:00:00 -0700 05-7650 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-18/pdf/05-7650.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Adjusting the Implementation Date of Previously Adopted PCXE Listing Fees for Exchange-Traded Funds and Closed-End Funds https://regulations.justia.com/regulations/fedreg/2005/04/18/05-7644.html https://regulations.justia.com/regulations/fedreg/2005/04/18/05-7644.html Mon, 18 Apr 2005 00:00:00 -0700 05-7644 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-18/pdf/05-7644.pdf Notice - Issuer Delisting; Notice of Application of E-Z-EM, Inc. To Withdraw Its Common Stock, $.10 Par Value, From Listing and Registration on the American Stock Exchange LLC File No. 1-11479 https://regulations.justia.com/regulations/fedreg/2005/04/18/05-7639.html https://regulations.justia.com/regulations/fedreg/2005/04/18/05-7639.html Mon, 18 Apr 2005 00:00:00 -0700 05-7639 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-18/pdf/05-7639.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change to Establish a Comprehensive Standard of Care and Limitation of Liability to its Members https://regulations.justia.com/regulations/fedreg/2005/04/15/Z5-1566.html https://regulations.justia.com/regulations/fedreg/2005/04/15/Z5-1566.html Fri, 15 Apr 2005 00:00:00 -0700 Z5-1566 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-15/pdf/Z5-1566.pdf Notice - Options Price Reporting Authority; Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Clarify How the Requirements of the OPRA Plan Pertaining to Vendors Apply to Persons Who Redistribute OPRA Data Over the Internet https://regulations.justia.com/regulations/fedreg/2005/04/15/E5-1786.html https://regulations.justia.com/regulations/fedreg/2005/04/15/E5-1786.html Fri, 15 Apr 2005 00:00:00 -0700 E5-1786 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-15/pdf/E5-1786.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to NASD Rules 4510(a) and 4520(a) to Clarify Rule Language Regarding Entry and Application Fees for Issuers Listed on a National Securities Exchange That Transfer Their Listing to Nasdaq https://regulations.justia.com/regulations/fedreg/2005/04/15/E5-1785.html https://regulations.justia.com/regulations/fedreg/2005/04/15/E5-1785.html Fri, 15 Apr 2005 00:00:00 -0700 E5-1785 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-15/pdf/E5-1785.pdf Notice - Self-Regulatory Organizations; Order Approving 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 Session https://regulations.justia.com/regulations/fedreg/2005/04/15/E5-1784.html https://regulations.justia.com/regulations/fedreg/2005/04/15/E5-1784.html Fri, 15 Apr 2005 00:00:00 -0700 E5-1784 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-15/pdf/E5-1784.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Pilot Period to Increase Position and Exercise Limits for Equity Options and Establishing a Reverse Collar Hedge Exemption https://regulations.justia.com/regulations/fedreg/2005/04/15/E5-1783.html https://regulations.justia.com/regulations/fedreg/2005/04/15/E5-1783.html Fri, 15 Apr 2005 00:00:00 -0700 E5-1783 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-15/pdf/E5-1783.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Relating to Trading Options on Full and Reduced Values of the ISE 250 Index, the ISE 100 Index and the ISE 50 Index, Including Long-Term Options https://regulations.justia.com/regulations/fedreg/2005/04/15/C5-6743.html https://regulations.justia.com/regulations/fedreg/2005/04/15/C5-6743.html Fri, 15 Apr 2005 00:00:00 -0700 C5-6743 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-15/pdf/C5-6743.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/04/15/05-7746.html https://regulations.justia.com/regulations/fedreg/2005/04/15/05-7746.html Fri, 15 Apr 2005 00:00:00 -0700 05-7746 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-15/pdf/05-7746.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/14/E5-1760.html https://regulations.justia.com/regulations/fedreg/2005/04/14/E5-1760.html Thu, 14 Apr 2005 00:00:00 -0700 E5-1760 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-14/pdf/E5-1760.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the Chicago Board Options Exchange, Incorporated Relating to Back-up Trading Arrangements https://regulations.justia.com/regulations/fedreg/2005/04/14/E5-1758.html https://regulations.justia.com/regulations/fedreg/2005/04/14/E5-1758.html Thu, 14 Apr 2005 00:00:00 -0700 E5-1758 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-14/pdf/E5-1758.pdf Notice - John Hancock Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2005/04/14/05-7602.html https://regulations.justia.com/regulations/fedreg/2005/04/14/05-7602.html Thu, 14 Apr 2005 00:00:00 -0700 05-7602 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-14/pdf/05-7602.pdf Notice - John Hancock Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2005/04/14/05-7496.html https://regulations.justia.com/regulations/fedreg/2005/04/14/05-7496.html Thu, 14 Apr 2005 00:00:00 -0700 05-7496 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-14/pdf/05-7496.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1748.html https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1748.html Wed, 13 Apr 2005 00:00:00 -0700 E5-1748 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1748.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut Facility https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1747.html https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1747.html Wed, 13 Apr 2005 00:00:00 -0700 E5-1747 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1747.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Modify the Pricing for Non-NASD Members Using Nasdaq's Brut Facility https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1746.html https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1746.html Wed, 13 Apr 2005 00:00:00 -0700 E5-1746 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1746.pdf Notice - John Hancock Life Insurance Company (U.S.A.), et al., Notice of Application https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1745.html https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1745.html Wed, 13 Apr 2005 00:00:00 -0700 E5-1745 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1745.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Stock Exchange Relating to the Exchange's Regulatory Transaction Fee https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1744.html https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1744.html Wed, 13 Apr 2005 00:00:00 -0700 E5-1744 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1744.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the National Association of Securities Dealers, Inc. Seeking to Modify the Nasdaq Market Center Execution Service to Add an Optional Routing Feature https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1743.html https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1743.html Wed, 13 Apr 2005 00:00:00 -0700 E5-1743 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1743.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by the American Stock Exchange LLC To Require Members To Complete Systems Training and To Include Violations of This Requirement in Its Minor Rule Violation Plan https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1742.html https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1742.html Wed, 13 Apr 2005 00:00:00 -0700 E5-1742 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1742.pdf Notice - MetLife Investors Insurance Company, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1737.html https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1737.html Wed, 13 Apr 2005 00:00:00 -0700 E5-1737 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1737.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1736.html https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1736.html Wed, 13 Apr 2005 00:00:00 -0700 E5-1736 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1736.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval to Proposed Rule Change, and Amendments No. 1 and 2 Thereto, Relating to Revisions to Amex Rule 21, Appointment of Floor Officials https://regulations.justia.com/regulations/fedreg/2005/04/13/05-7435.html https://regulations.justia.com/regulations/fedreg/2005/04/13/05-7435.html Wed, 13 Apr 2005 00:00:00 -0700 05-7435 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/05-7435.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 Thereto By the Chicago Board Options Exchange, Incorporated To Amend Rules Relating Margin Treatment on Stock Transactions Effected By an Options Market Maker To Hedge Options Positions https://regulations.justia.com/regulations/fedreg/2005/04/13/05-7375.html https://regulations.justia.com/regulations/fedreg/2005/04/13/05-7375.html Wed, 13 Apr 2005 00:00:00 -0700 05-7375 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/05-7375.pdf Rule - Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations https://regulations.justia.com/regulations/fedreg/2005/04/13/05-7366.html https://regulations.justia.com/regulations/fedreg/2005/04/13/05-7366.html Wed, 13 Apr 2005 00:00:00 -0700 05-7366 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/05-7366.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change Relating to Floor Official Conflicts of Interest https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1697.html https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1697.html Tue, 12 Apr 2005 00:00:00 -0700 E5-1697 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-12/pdf/E5-1697.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Annual Membership Fees Payable by Electronic Access Members of the Exchange https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1696.html https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1696.html Tue, 12 Apr 2005 00:00:00 -0700 E5-1696 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-12/pdf/E5-1696.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1695.html https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1695.html Tue, 12 Apr 2005 00:00:00 -0700 E5-1695 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-12/pdf/E5-1695.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1673.html https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1673.html Tue, 12 Apr 2005 00:00:00 -0700 E5-1673 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-12/pdf/E5-1673.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1672.html https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1672.html Tue, 12 Apr 2005 00:00:00 -0700 E5-1672 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-12/pdf/E5-1672.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1671.html https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1671.html Tue, 12 Apr 2005 00:00:00 -0700 E5-1671 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-12/pdf/E5-1671.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1669.html https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1669.html Tue, 12 Apr 2005 00:00:00 -0700 E5-1669 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-12/pdf/E5-1669.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1668.html https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1668.html Tue, 12 Apr 2005 00:00:00 -0700 E5-1668 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-12/pdf/E5-1668.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1666.html https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1666.html Tue, 12 Apr 2005 00:00:00 -0700 E5-1666 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-12/pdf/E5-1666.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1665.html https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1665.html Tue, 12 Apr 2005 00:00:00 -0700 E5-1665 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-12/pdf/E5-1665.pdf Notice - In the Matter of Bio-Heal Laboratories, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2005/04/12/05-7414.html https://regulations.justia.com/regulations/fedreg/2005/04/12/05-7414.html Tue, 12 Apr 2005 00:00:00 -0700 05-7414 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-12/pdf/05-7414.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/12/05-7301.html https://regulations.justia.com/regulations/fedreg/2005/04/12/05-7301.html Tue, 12 Apr 2005 00:00:00 -0700 05-7301 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-12/pdf/05-7301.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to Specialist Liability for Failure To Send a Report to an Order-Providing Member https://regulations.justia.com/regulations/fedreg/2005/04/11/E5-1663.html https://regulations.justia.com/regulations/fedreg/2005/04/11/E5-1663.html Mon, 11 Apr 2005 00:00:00 -0700 E5-1663 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-11/pdf/E5-1663.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/04/11/E5-1662.html https://regulations.justia.com/regulations/fedreg/2005/04/11/E5-1662.html Mon, 11 Apr 2005 00:00:00 -0700 E5-1662 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-11/pdf/E5-1662.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/04/11/05-7300.html https://regulations.justia.com/regulations/fedreg/2005/04/11/05-7300.html Mon, 11 Apr 2005 00:00:00 -0700 05-7300 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-11/pdf/05-7300.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, and Amendment No. 1 Thereto, by the Chicago Board Options Exchange, Incorporated Relating to the Appointment of the Chairman and Members of CBOE's Regulatory Oversight Committee https://regulations.justia.com/regulations/fedreg/2005/04/08/E5-1621.html https://regulations.justia.com/regulations/fedreg/2005/04/08/E5-1621.html Fri, 08 Apr 2005 00:00:00 -0700 E5-1621 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-08/pdf/E5-1621.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/04/08/05-7186.html https://regulations.justia.com/regulations/fedreg/2005/04/08/05-7186.html Fri, 08 Apr 2005 00:00:00 -0700 05-7186 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-08/pdf/05-7186.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1601.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1601.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1601 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1601.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 Relating to a Fee Cap for Options Dividend Spread Transactions https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1600.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1600.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1600 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1600.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. To Extend for Additional Four Months Its Pilot Program Permitting a Floor Broker To Use an Exchange Authorized and Provided Portable Telephone on the Exchange Floor https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1599.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1599.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1599 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1599.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of 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/2005/04/07/E5-1591.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1591.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1591 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1591.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1590.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1590.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1590 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1590.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1589.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1589.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1589 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1589.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1588.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1588.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1588 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1588.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of 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/2005/04/07/E5-1587.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1587.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1587 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1587.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1586.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1586.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1586 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1586.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1585.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1585.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1585 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1585.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Chicago Stock Exchange, Inc. To Clarify That Specialists May Not Charge Commissions With Respect to the Execution of CHXpress Orders https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1584.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1584.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1584 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1584.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1583.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1583.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1583 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1583.pdf Notice - Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to the Hybrid Opening System https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1582.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1582.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1582 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1582.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Granting Approval of Proposed Supplement to the Options Disclosure Document Regarding Volatility Options https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1581.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1581.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1581 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1581.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto To Require Specialists To Use and Maintain a Back-Up Automatic Quote System in ANTE Classes https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1580.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1580.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1580 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1580.pdf Notice - Self-Regulatory Organizations; National Stock Exchange; Order Approving Proposed Rule Change Relating to Non-Member Give-Ups https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1579.html https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1579.html Thu, 07 Apr 2005 00:00:00 -0700 E5-1579 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/E5-1579.pdf Notice - In the Matter of Homeland Security Network, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2005/04/07/05-7025.html https://regulations.justia.com/regulations/fedreg/2005/04/07/05-7025.html Thu, 07 Apr 2005 00:00:00 -0700 05-7025 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-07/pdf/05-7025.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish a Comprehensive Standard of Care and Limitation of Liability to Its Members https://regulations.justia.com/regulations/fedreg/2005/04/06/E5-1566.html https://regulations.justia.com/regulations/fedreg/2005/04/06/E5-1566.html Wed, 06 Apr 2005 00:00:00 -0700 E5-1566 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-06/pdf/E5-1566.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the National Association of Securities Dealers, Inc. To Provide Limited Compensation for Losses Due to Malfunctions of the Order-Execution Systems of the Nasdaq Market Center or Nasdaq's Brut Facility https://regulations.justia.com/regulations/fedreg/2005/04/06/E5-1555.html https://regulations.justia.com/regulations/fedreg/2005/04/06/E5-1555.html Wed, 06 Apr 2005 00:00:00 -0700 E5-1555 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-06/pdf/E5-1555.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Disclosure and Consent Requirements When Trading on a Net Basis With Customers https://regulations.justia.com/regulations/fedreg/2005/04/06/E5-1554.html https://regulations.justia.com/regulations/fedreg/2005/04/06/E5-1554.html Wed, 06 Apr 2005 00:00:00 -0700 E5-1554 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-06/pdf/E5-1554.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Streaming Quote Trader Fees https://regulations.justia.com/regulations/fedreg/2005/04/06/E5-1553.html https://regulations.justia.com/regulations/fedreg/2005/04/06/E5-1553.html Wed, 06 Apr 2005 00:00:00 -0700 E5-1553 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-06/pdf/E5-1553.pdf Notice - PNM Resources, Inc.; Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/04/06/E5-1552.html https://regulations.justia.com/regulations/fedreg/2005/04/06/E5-1552.html Wed, 06 Apr 2005 00:00:00 -0700 E5-1552 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-06/pdf/E5-1552.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Relating to Trading Options on Full and Reduced Values of the ISE 250 Index, the ISE 100 Index and the ISE 50 Index, Including Long-Term Options https://regulations.justia.com/regulations/fedreg/2005/04/06/05-6743.html https://regulations.justia.com/regulations/fedreg/2005/04/06/05-6743.html Wed, 06 Apr 2005 00:00:00 -0700 05-6743 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-06/pdf/05-6743.pdf Notice - Pepco Holdings, Inc.; Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/04/05/E5-1533.html https://regulations.justia.com/regulations/fedreg/2005/04/05/E5-1533.html Tue, 05 Apr 2005 00:00:00 -0700 E5-1533 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-05/pdf/E5-1533.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the American Stock Exchange LLC To Trade the streetTRACKS® Gold Shares Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2005/04/05/E5-1532.html https://regulations.justia.com/regulations/fedreg/2005/04/05/E5-1532.html Tue, 05 Apr 2005 00:00:00 -0700 E5-1532 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-05/pdf/E5-1532.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Stock Exchange, Incorporated Relating to Participant Fees and Credits. https://regulations.justia.com/regulations/fedreg/2005/04/05/E5-1531.html https://regulations.justia.com/regulations/fedreg/2005/04/05/E5-1531.html Tue, 05 Apr 2005 00:00:00 -0700 E5-1531 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-05/pdf/E5-1531.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the International Securities Exchange, Inc. Relating to Procedures for the Allocation of Market Maker Appointments https://regulations.justia.com/regulations/fedreg/2005/04/05/E5-1515.html https://regulations.justia.com/regulations/fedreg/2005/04/05/E5-1515.html Tue, 05 Apr 2005 00:00:00 -0700 E5-1515 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-05/pdf/E5-1515.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish an Electronic Pledge System Through Which Clearing Members May Deposit Securities With Banks Acting as Agents for OCC To Meet Margin and Clearing Fund Requirements https://regulations.justia.com/regulations/fedreg/2005/04/05/E5-1514.html https://regulations.justia.com/regulations/fedreg/2005/04/05/E5-1514.html Tue, 05 Apr 2005 00:00:00 -0700 E5-1514 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-05/pdf/E5-1514.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2005/04/05/05-6740.html https://regulations.justia.com/regulations/fedreg/2005/04/05/05-6740.html Tue, 05 Apr 2005 00:00:00 -0700 05-6740 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-05/pdf/05-6740.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Relating to Taping Rule “Opt Out” and Exemption Provisions https://regulations.justia.com/regulations/fedreg/2005/04/04/E5-1479.html https://regulations.justia.com/regulations/fedreg/2005/04/04/E5-1479.html Mon, 04 Apr 2005 00:00:00 -0700 E5-1479 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-04/pdf/E5-1479.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Change the Minimum Margin Deficiency Call Amount for Participants in Its Mortgage-Backed Securities Division https://regulations.justia.com/regulations/fedreg/2005/04/04/E5-1476.html https://regulations.justia.com/regulations/fedreg/2005/04/04/E5-1476.html Mon, 04 Apr 2005 00:00:00 -0700 E5-1476 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-04/pdf/E5-1476.pdf Notice - Self-Regulatory Organizations; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. Relating to NYSE Liquidity QuoteSM https://regulations.justia.com/regulations/fedreg/2005/04/04/E5-1475.html https://regulations.justia.com/regulations/fedreg/2005/04/04/E5-1475.html Mon, 04 Apr 2005 00:00:00 -0700 E5-1475 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-04/pdf/E5-1475.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Change the Notice Period Required for the Closing of Participant Accounts or Withdrawing From Membership in Its Mortgage-Backed Securities Division https://regulations.justia.com/regulations/fedreg/2005/04/01/E5-1457.html https://regulations.justia.com/regulations/fedreg/2005/04/01/E5-1457.html Fri, 01 Apr 2005 00:00:00 -0800 E5-1457 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-01/pdf/E5-1457.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change To Revise Fees for Low Volume Tender Offers https://regulations.justia.com/regulations/fedreg/2005/04/01/05-6482.html https://regulations.justia.com/regulations/fedreg/2005/04/01/05-6482.html Fri, 01 Apr 2005 00:00:00 -0800 05-6482 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-01/pdf/05-6482.pdf Rule - Staff Accounting Bulletin No. 107 https://regulations.justia.com/regulations/fedreg/2005/04/01/05-6457.html https://regulations.justia.com/regulations/fedreg/2005/04/01/05-6457.html Fri, 01 Apr 2005 00:00:00 -0800 05-6457 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-01/pdf/05-6457.pdf