Securities and Exchange Commission September 16, 2005 – Federal Register Recent Federal Regulation Documents

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Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5 and 6 Thereto Relating to Proposed Uniform Definition of “Branch Office” Under NASD Rule 3010(g)(2)
Document Number: E5-5034
Type: Notice
Date: 2005-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/16/E5-5034.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 to the Proposed Rule Change Relating to the Amendment of Rule 342 (Offices-Approval, Supervision and Control) To Provide for a Uniform Definition of “Branch Office”
Document Number: E5-5033
Type: Notice
Date: 2005-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/16/E5-5033.html
Joint Industry Plan; Notice of Filing of Joint Amendment No. 16 to the Intermarket Option Linkage Plan Relating to the Definition of Firm Customer Quote Size and Restrictions on Sending Certain Principal Acting as Agent Orders
Document Number: 05-18410
Type: Notice
Date: 2005-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/09/16/05-18410.html
Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date
Document Number: 05-18384
Type: Rule
Date: 2005-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is extending the compliance date for the rule that identifies circumstances under which a broker-dealer's advice is not ``solely incidental to'' its brokerage business or to brokerage services provided to certain accounts and thus subjects the broker-dealer to the Investment Advisers Act of 1940.
https://regulations.justia.com/regulations/fedreg/2005/09/16/05-18384.html
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