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

Results 51 - 100 of 175
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving Proposed Rule Change, and Amendments No. 1, 2, 3, and 4 Thereto, Relating to the Composition of the Board of Directors and Executive Committee of Boston Options Exchange Regulation LLC
Document Number: E5-3274
Type: Notice
Date: 2005-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/24/E5-3274.html
Sunshine Act Meetings
Document Number: 05-12647
Type: Notice
Date: 2005-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/24/05-12647.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto To Amend NASD Arbitration Rules for Customer Disputes
Document Number: E5-3268
Type: Notice
Date: 2005-06-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/23/E5-3268.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto to Amend NASD Arbitration Rules for Mediation Proceedings
Document Number: E5-3267
Type: Notice
Date: 2005-06-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/23/E5-3267.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendments Nos. 1, 2, 3, and 4 Thereto to Amend NASD Arbitration Rules for Industry Disputes
Document Number: E5-3266
Type: Notice
Date: 2005-06-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/23/E5-3266.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Regarding a New Order Type for the Pre-Market Trading Session
Document Number: E5-3265
Type: Notice
Date: 2005-06-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/23/E5-3265.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend for an Additional Two-Year Period NASD's Authority Under the Cease and Desist Pilot Program
Document Number: E5-3264
Type: Notice
Date: 2005-06-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/23/E5-3264.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change to Incorporate the Brut System Book Feed Into the TotalView Entitlement
Document Number: E5-3263
Type: Notice
Date: 2005-06-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/23/E5-3263.html
Self-Regulatory Organizations; New York Stock Exchange, Inc., Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Relating to Amendments to Exchange Rule 607
Document Number: E5-3262
Type: Notice
Date: 2005-06-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/23/E5-3262.html
Business Men's Assurance Company of America, et al.; Notice of Application
Document Number: E5-3257
Type: Notice
Date: 2005-06-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/23/E5-3257.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes
Document Number: E5-3238
Type: Notice
Date: 2005-06-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/22/E5-3238.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Nasdaq Market Center Rules for Trade Reporting of Exchange-Listed Securities
Document Number: E5-3220
Type: Notice
Date: 2005-06-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/22/E5-3220.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Providing an Electronic, Auditable Means of Receiving Orders and Cancels to Those Orders
Document Number: E5-3219
Type: Notice
Date: 2005-06-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/22/E5-3219.html
Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-3218
Type: Notice
Date: 2005-06-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/22/E5-3218.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend NASD Rule 7090 To Modify the Annual Listing and Administrative Fees
Document Number: E5-3196
Type: Notice
Date: 2005-06-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/21/E5-3196.html
Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to Calculating Net Capital Under OCC Rule 307
Document Number: E5-3195
Type: Notice
Date: 2005-06-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/21/E5-3195.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Split Price Priority
Document Number: E5-3194
Type: Notice
Date: 2005-06-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/21/E5-3194.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change to Create the ModelView Entitlement
Document Number: E5-3193
Type: Notice
Date: 2005-06-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/21/E5-3193.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Text of NASD Trade Reporting Rules to Reflect the Implementation of SR-NASD-2003-159
Document Number: E5-3192
Type: Notice
Date: 2005-06-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/21/E5-3192.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Retroactive Amendment of Exchange Rule 640(a) Pertaining to the Continuing Education Regulatory Element Requirement
Document Number: E5-3191
Type: Notice
Date: 2005-06-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/21/E5-3191.html
Issuer Delisting; Notice of Application of Kimberly-Clark Corporation To Withdraw Its Common Stock, $1.25 Par Value, Per Share, From Listing and Registration on the Pacific Exchange, Inc.
Document Number: E5-3185
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3185.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 DJIA BuyWrite Index(sm)
Document Number: E5-3184
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3184.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Establishing a Directed Order Process
Document Number: E5-3179
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3179.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 thereto Relating to Quotes in Nasdaq UTP Stocks To Be Disseminated by Amex Specialists Before 9:30 a.m.
Document Number: E5-3178
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3178.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Designated Primary Market-Maker Participation Entitlement for Orders Specifying a Preferred DPM
Document Number: E5-3163
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3163.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Fee Cap for Options Merger Spread Transactions
Document Number: E5-3158
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3158.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change, and Amendment No. 1 Thereto, 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: E5-3157
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3157.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 4, 5, 6, and 7 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 8 Thereto to Amend Its Original and Continued Quantitative Listing Standards
Document Number: E5-3156
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3156.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Impose a New Licensing Fee in Connection With the Firm-Related Equity Option and Index Option Fee Cap
Document Number: E5-3155
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3155.html
Issuer Delisting; Notice of Application of Renasant Corporation To Withdraw its Common Stock, $5.00 Par Value, From Listing and Registration on the American Stock Exchange LLC
Document Number: E5-3154
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3154.html
Issuer Delisting; Notice of Application of Pioneer Railcorp To Withdraw Its Class A Common Stock, $.001 Par Value, From Listing and Registration on the Chicago Stock Exchange, Inc.
Document Number: E5-3153
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3153.html
Issuer Delisting; Notice of Application of Fab Industries, Inc. To Withdraw Its Common Stock, $.20 Par Value, From Listing and Registration on the American Stock Exchange LLC
Document Number: E5-3152
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3152.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rescinding the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration
Document Number: E5-3151
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3151.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Terms of Index Option Contracts Listed on the Exchange
Document Number: E5-3150
Type: Notice
Date: 2005-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/20/E5-3150.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to Trading Rules on the Hybrid System for Index Options and Options on ETFs
Document Number: E5-3128
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3128.html
Submission for OMB Review; Comment Request
Document Number: E5-3127
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3127.html
Submission for OMB Review; Comment Request
Document Number: E5-3126
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3126.html
Submission for OMB Review; Comment Request
Document Number: E5-3125
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3125.html
Submission for OMB Review; Comment Request
Document Number: E5-3121
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3121.html
Submission for OMB Review; Comment Request
Document Number: E5-3120
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3120.html
Proposed Collection; Comment Request
Document Number: E5-3119
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3119.html
Submission for OMB Review; Comment Request
Document Number: E5-3118
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3118.html
Submission for OMB Review; Comment Request
Document Number: E5-3117
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3117.html
Submission for OMB Review; Comment Request
Document Number: E5-3116
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3116.html
Submission for OMB Review; Comment Request
Document Number: E5-3107
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3107.html
Submission for OMB Review; Comment Request
Document Number: E5-3106
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3106.html
Submission for OMB Review; Comment Request
Document Number: E5-3105
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3105.html
Submission for OMB Review; Comment Request
Document Number: E5-3104
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3104.html
Submission for OMB Review; Comment Request
Document Number: E5-3103
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3103.html
Submission for OMB Review; Comment Request
Document Number: E5-3102
Type: Notice
Date: 2005-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/06/17/E5-3102.html
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