Securities and Exchange Commission May 2005 – Federal Register Recent Federal Regulation Documents

Results 51 - 100 of 110
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Seek Permanent Approval of the Pilot Relating to the Allocation Policy for Trading of Exchange-Traded Funds on an Unlisted Trading Privileges Basis (NYSE Rule 103B)
Document Number: E5-2383
Type: Notice
Date: 2005-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/13/E5-2383.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Disclaimer of Warranties by SIG Indices, LLLP and by Standard and Poor's
Document Number: E5-2382
Type: Notice
Date: 2005-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/13/E5-2382.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Order Granting Accelerated Approval of Amendment Nos. 2, 3, 4, and 5 Thereto Relating to the Pricing of Block and Facilitation Trades
Document Number: E5-2381
Type: Notice
Date: 2005-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/13/E5-2381.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Rule 918-ANTE(a)(4) Regarding Closing Rotations
Document Number: E5-2380
Type: Notice
Date: 2005-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/13/E5-2380.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to the Collection of Fees for Services Provided by Other Entities
Document Number: E5-2376
Type: Notice
Date: 2005-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/13/E5-2376.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Collecting of Fees for Services Provided by Other Entities
Document Number: E5-2375
Type: Notice
Date: 2005-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/13/E5-2375.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Establish a Comprehensive Standard of Care and Limitation of Liability to Its Members
Document Number: E5-2374
Type: Notice
Date: 2005-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/13/E5-2374.html
Sunshine Act Meeting
Document Number: 05-9678
Type: Notice
Date: 2005-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/13/05-9678.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating To Establishing a Sponsored Membership Program
Document Number: E5-2352
Type: Notice
Date: 2005-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/12/E5-2352.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Granting Approval to Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Relating to Procedures for the Allocation of Options on Index-Based Products
Document Number: E5-2350
Type: Notice
Date: 2005-05-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/12/E5-2350.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the New York Stock Exchange, Inc. Relating to Elimination of Exchange Rules 499 and 501A
Document Number: E5-2307
Type: Notice
Date: 2005-05-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/11/E5-2307.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and No. 2 Relating to a Dividend Spread Transaction Fee Cap
Document Number: E5-2306
Type: Notice
Date: 2005-05-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/11/E5-2306.html
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Price Improvement Period Under the Rules of the Boston Options Exchange Facility
Document Number: E5-2298
Type: Notice
Date: 2005-05-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/11/E5-2298.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Approval of Proposed Rule Change Relating to Taping Rule “Opt Out” and Exemption Provisions
Document Number: 05-9388
Type: Notice
Date: 2005-05-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/11/05-9388.html
Issuer Delisting; Notice of Application of Centrue Financial Corporation To Withdraw Its Common Stock, $.01 Par Value, and Preferred Share Purchase Rights, From Listing and Registration on the American Stock Exchange LLC File No. 1-15025
Document Number: E5-2269
Type: Notice
Date: 2005-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/10/E5-2269.html
Self-Regulatory Organizations; Notice of Application of Equitable Resources, Inc. To Withdraw Its Common Stock, No Par Value, From Listing and Registration on the Philadelphia Stock Exchange, Inc. File No. 1-03551
Document Number: E5-2266
Type: Notice
Date: 2005-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/10/E5-2266.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Timely Notification of Significant Events That Effect a Change in Control of a Member or Could Have a Substantial Impact on a Member's Business or Financial Condition
Document Number: E5-2240
Type: Notice
Date: 2005-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/10/E5-2240.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc. Amending Its Marketing Fee Relating to Remote Market-Makers
Document Number: E5-2239
Type: Notice
Date: 2005-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/10/E5-2239.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Establish a Confirmation and Matching Service for Over-The-Counter U.S. Equity Options Transactions
Document Number: E5-2238
Type: Notice
Date: 2005-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/10/E5-2238.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Exchange Fees and Charges
Document Number: E5-2223
Type: Notice
Date: 2005-05-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/09/E5-2223.html
Sunshine Act Meeting
Document Number: 05-9257
Type: Notice
Date: 2005-05-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/09/05-9257.html
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 Index(sm)
Document Number: E5-2213
Type: Notice
Date: 2005-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/06/E5-2213.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes by the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. Relating to an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Employed by Non-Member Foreign Affiliates Who Contribute to the Preparation of Member Research Reports
Document Number: E5-2212
Type: Notice
Date: 2005-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/06/E5-2212.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Document Number: E5-2211
Type: Notice
Date: 2005-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/06/E5-2211.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Revisions to the Implementation Date of the ANTE System
Document Number: E5-2210
Type: Notice
Date: 2005-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/06/E5-2210.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the Chicago Stock Exchange, Inc. Relating to Participant Fees and Credits
Document Number: E5-2205
Type: Notice
Date: 2005-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/06/E5-2205.html
Self-Regulatory Organizations; New York Stock Exchange, Inc; Notice of Filing of a Proposed Rule Change To Remove Incorrect Reference in Its Rule Relating to Failure To Honor an Arbitration Award
Document Number: E5-2203
Type: Notice
Date: 2005-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/06/E5-2203.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E5-2202
Type: Notice
Date: 2005-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On September 1, 2001, applicant transferred its assets to corresponding series of J.P. Morgan Mutual Fund Trust and J.P. Morgan Institutional Funds, based on net asset value. All expenses incurred in connection with the reorganization were paid by J.P. Morgan Chase & Co., applicant's investment adviser. Filing Dates: The application was filed on April 5, 2005, and amended on April 13, 2005. Applicant's Address: J.P. Morgan Investment Management Inc., 522 Fifth Ave., New York, NY 10036.
https://regulations.justia.com/regulations/fedreg/2005/05/06/E5-2202.html
Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. To Modify the Pricing for Non-NASD Members Using Nasdaq's Brut Facility
Document Number: E5-2201
Type: Notice
Date: 2005-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/06/E5-2201.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, by the Philadelphia Stock Exchange, Inc. Relating to the Elimination of the Prohibition Against the Entry of Multiple Orders in an Option Within Any 15-Second Period for an Account or Accounts of the Same Beneficial Owner
Document Number: E5-2200
Type: Notice
Date: 2005-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/06/E5-2200.html
Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. Relating to the Deletion of Obsolete or Unnecessary Rules
Document Number: E5-2199
Type: Notice
Date: 2005-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/06/E5-2199.html
Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-2198
Type: Notice
Date: 2005-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/06/E5-2198.html
Issuer Delisting; Notice of Application of Top Image Systems Ltd. To Withdraw Its Ordinary Shares, .04 NIS Par Value, From Listing and Registration on the Boston Stock Exchange, Inc., File No. 1-14552
Document Number: E5-2197
Type: Notice
Date: 2005-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/06/E5-2197.html
Sunshine Act Meeting
Document Number: 05-9076
Type: Notice
Date: 2005-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/05/05-9076.html
UBS Supplementary Trust, et al.; Notice of Application
Document Number: Z5-1973
Type: Notice
Date: 2005-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/04/Z5-1973.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. Relating to the Calculation of the National Best Bid or Offer When Another Exchange is Disconnected From the Intermarket Option Linkage
Document Number: E5-2170
Type: Notice
Date: 2005-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/04/E5-2170.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Its Original Financial Listing Standards Pilot Program
Document Number: E5-2169
Type: Notice
Date: 2005-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/04/E5-2169.html
Edward D. Jones & Co., L.P.; Notice of Application
Document Number: E5-2167
Type: Notice
Date: 2005-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/04/E5-2167.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Relating to Certain Amendments to the Restated Certificate of Incorporation and the By-Laws of The Nasdaq Stock Market, Inc.
Document Number: E5-2166
Type: Notice
Date: 2005-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/04/E5-2166.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval 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 Obligations
Document Number: E5-2165
Type: Notice
Date: 2005-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/04/E5-2165.html
Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-2148
Type: Notice
Date: 2005-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/04/E5-2148.html
Regulations for the Safe Transport of Radioactive Material; Solicitation of Comments on Proposed Changes
Document Number: C5-8371
Type: Proposed Rule
Date: 2005-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions, Nuclear Regulatory Commission
https://regulations.justia.com/regulations/fedreg/2005/05/04/C5-8371.html
Sunshine Act Meeting
Document Number: 05-9019
Type: Notice
Date: 2005-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/04/05-9019.html
Order Making Fiscal Year 2006 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b) and 31(c) of the Securities Exchange Act of 1934
Document Number: 05-8916
Type: Notice
Date: 2005-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/04/05-8916.html
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
Document Number: Z5-1878
Type: Notice
Date: 2005-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/03/Z5-1878.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Chicago Board Options Exchange, Incorporated Relating to Customer Portfolio and Cross-Margining Requirements
Document Number: E5-2127
Type: Notice
Date: 2005-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/03/E5-2127.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade ETFs Based on the Dow Jones STOXX 50 and the Dow Jones EURO STOXX 50 Indexes Pursuant to Unlisted Trading Privileges
Document Number: E5-2126
Type: Notice
Date: 2005-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/03/E5-2126.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto By the American Stock Exchange LLC Relating to When Floor Official Approval for a Transaction in a High-Priced Security Is Necessary
Document Number: E5-2125
Type: Notice
Date: 2005-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/03/E5-2125.html
Self-Regulatory Organizations; Order Approving Proposed Rule Change By the Boston Stock Exchange, Inc. Relating to Remote Floor Brokers
Document Number: E5-2120
Type: Notice
Date: 2005-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/03/E5-2120.html
Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the International Securities Exchange, Inc. To List and Trade Options on Various Russell Indexes
Document Number: E5-2114
Type: Notice
Date: 2005-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/05/03/E5-2114.html
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