<![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/2005/09/16?registers=between Sun, 29 Dec 2024 09:46:02 -0800 Sun, 29 Dec 2024 09:46:02 -0800 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/2005/09/16?registers=between Notice - 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) https://regulations.justia.com/regulations/fedreg/2005/09/16/E5-5034.html https://regulations.justia.com/regulations/fedreg/2005/09/16/E5-5034.html Fri, 16 Sep 2005 00:00:00 -0700 E5-5034 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-16/pdf/E5-5034.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2005/09/16/E5-5033.html https://regulations.justia.com/regulations/fedreg/2005/09/16/E5-5033.html Fri, 16 Sep 2005 00:00:00 -0700 E5-5033 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-16/pdf/E5-5033.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2005/09/16/05-18410.html https://regulations.justia.com/regulations/fedreg/2005/09/16/05-18410.html Fri, 16 Sep 2005 00:00:00 -0700 05-18410 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-16/pdf/05-18410.pdf Rule - Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date https://regulations.justia.com/regulations/fedreg/2005/09/16/05-18384.html https://regulations.justia.com/regulations/fedreg/2005/09/16/05-18384.html Fri, 16 Sep 2005 00:00:00 -0700 05-18384 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-09-16/pdf/05-18384.pdf