Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2005/09?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-01T12:03:04-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5334.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2, 3, and 4 Thereto, Relating to NASD's Direct Authority for the Activities Related to or in Support of Trading in Over-the-Counter Equity Securities2005-09-30T00:00:00-07:002005-09-30T00:00:00-07:00E5-5334Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/E5-5334.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5328.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment No. 2 Thereto Relating to the Removal of Unreliable Quotes From the Exchange's Determination of the National Best Bid or Offer2005-09-30T00:00:00-07:002005-09-30T00:00:00-07:00E5-5328Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/E5-5328.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5327.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed New Listing Fees2005-09-30T00:00:00-07:002005-09-30T00:00:00-07:00E5-5327Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/E5-5327.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5326.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Exchange's Determination of the National Best Bid or Offer When Another Exchange Is Disconnected From the Intermarket Option Linkage2005-09-30T00:00:00-07:002005-09-30T00:00:00-07:00E5-5326Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/E5-5326.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5325.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Requirement that Registered Options Traders May Only Sign on to Auto-Ex for ETFs Traded by the Same or Adjoining Specialists and Shall Sign on to Auto-Ex for a Maximum of Fifteen ETFs2005-09-30T00:00:00-07:002005-09-30T00:00:00-07:00E5-5325Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/E5-5325.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5324.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Exchange's Preferred Designated Primary Market-Maker Program2005-09-30T00:00:00-07:002005-09-30T00:00:00-07:00E5-5324Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/E5-5324.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/30/05-19698.htmlNotice - Sunshine Act Meeting2005-09-30T00:00:00-07:002005-09-30T00:00:00-07:0005-19698Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/05-19698.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/30/05-19315.htmlRule - Adoption of Updated EDGAR Filer Manual2005-09-30T00:00:00-07:002005-09-30T00:00:00-07:0005-19315Rulehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/05-19315.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/29/E5-5314.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to the Proposed Rule Change To Amend the Certificate of Incorporation of PCX Holdings, Inc., PCX Rules, and the Bylaws of Archipelago Holdings, Inc. in Relation to the Acquisition of PCX Holdings by Archipelago Holdings2005-09-29T00:00:00-07:002005-09-29T00:00:00-07:00E5-5314Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/E5-5314.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/29/E5-5313.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Rename The Nasdaq SmallCap Market2005-09-29T00:00:00-07:002005-09-29T00:00:00-07:00E5-5313Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/E5-5313.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/29/E5-5312.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment to Rule A-8(a), on Adoption of Proposed Rules and Submission to Commission2005-09-29T00:00:00-07:002005-09-29T00:00:00-07:00E5-5312Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/E5-5312.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/29/05-19498.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Relating to Market-Maker Access to the Hybrid Automatic Execution System2005-09-29T00:00:00-07:002005-09-29T00:00:00-07:0005-19498Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/05-19498.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/29/05-19497.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change Concerning Solicitation and Coordination of Payments to Political Parties and Question and Answer Guidance on Supervisory Procedures Related to Rule G-37(d) on Indirect Violations2005-09-29T00:00:00-07:002005-09-29T00:00:00-07:0005-19497Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/05-19497.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/29/05-19496.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to Order Matching at the Opening in PACE2005-09-29T00:00:00-07:002005-09-29T00:00:00-07:0005-19496Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/05-19496.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/29/05-19495.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Options Transaction Fees2005-09-29T00:00:00-07:002005-09-29T00:00:00-07:0005-19495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/05-19495.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/29/05-19427.htmlProposed Rule - Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports2005-09-29T00:00:00-07:002005-09-29T00:00:00-07:0005-19427Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/05-19427.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/29/05-19426.htmlRule - Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Companies That Are Not Accelerated Filers2005-09-29T00:00:00-07:002005-09-29T00:00:00-07:0005-19426Rulehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/05-19426.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5309.htmlNotice - Issuer Delisting; Notice of Application of Deere & Company To Withdraw Its Common Stock, $1.00 Par Value, From Listing and Registration on the Chicago Stock Exchange, Inc.2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5309Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5309.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5308.htmlNotice - Issuer Delisting; Notice of Application of The Black & Decker Corporation To Withdraw Its Common Stock, $.50 Par Value, From Listing and Registration on the Pacific Exchange, Inc.2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5308Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5308.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5307.htmlNotice - Issuer Delisting; Notice of Application of American Express Company To Withdraw Its Common Stock, $.20 Par Value, From Listing and Registration on the Boston Stock Exchange, Inc.2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5307Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5307.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5305.htmlNotice - Issuer Delisting; Notice of Application of American Express Company To Withdraw Its Common Stock, $.20 Par Value, From Listing and Registration on the Chicago Stock Exchange, Inc.2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5305Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5305.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5252.htmlNotice - Submission for OMB Review; Comment Request2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5252.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5251.htmlNotice - Submission for OMB Review; Comment Request2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5251Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5251.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5250.htmlNotice - Submission for OMB Review; Comment Request2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5250Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5250.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5249.htmlNotice - Submission for OMB Review; Comment Request2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5249Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5249.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5248.htmlNotice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5248Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5248.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5247.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Establishment of a Portfolio Crossing Service2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5247Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5247.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5246.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for OCC's Theoretical Profit/Loss File2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5246Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5246.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5245.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise an Administrative CBOE Membership Rule2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5245Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5245.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5244.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to Rules 282 (Mandatory Buy-In), 284 (Procedure for Closing Defaulted Contract), 289 (Must Receive Delivery), and 290 (Defaulting Party May Deliver After Notice of Intention To Close)2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5244Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5244.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5243.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Relating to Exposure Periods in the Facilitation and Solicited Order Mechanisms2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:00E5-5243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5243.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/28/05-19499.htmlNotice - Sunshine Act Meeting2005-09-28T00:00:00-07:002005-09-28T00:00:00-07:0005-19499Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/05-19499.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/27/E5-5182.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Marketing Fee Assessed on Options on DIAMONDS (“DIA”)2005-09-27T00:00:00-07:002005-09-27T00:00:00-07:00E5-5182Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-27/pdf/E5-5182.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/27/E5-5175.htmlNotice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)2005-09-27T00:00:00-07:002005-09-27T00:00:00-07:00E5-5175Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-27/pdf/E5-5175.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/27/05-19316.htmlNotice - Sunshine Act Meeting2005-09-27T00:00:00-07:002005-09-27T00:00:00-07:0005-19316Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-27/pdf/05-19316.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5173.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change to Provide for a 10-Day Notice Requirement Before a Party Issues a Subpoena to a Non-Party for Pre-Hearing Discovery2005-09-26T00:00:00-07:002005-09-26T00:00:00-07:00E5-5173Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-26/pdf/E5-5173.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5172.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Mutual Fund Commission Settlement Service2005-09-26T00:00:00-07:002005-09-26T00:00:00-07:00E5-5172Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-26/pdf/E5-5172.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5171.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to the New Canadian-Link Service2005-09-26T00:00:00-07:002005-09-26T00:00:00-07:00E5-5171Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-26/pdf/E5-5171.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5170.htmlNotice - Self-Regulatory Organizations; American Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Options Licensing Fees for Spade Defense Index Option2005-09-26T00:00:00-07:002005-09-26T00:00:00-07:00E5-5170Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-26/pdf/E5-5170.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5169.htmlNotice - Self-Regulatory Organizations; American Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Options Licensing Fees for Certain Vanguard ETF Options2005-09-26T00:00:00-07:002005-09-26T00:00:00-07:00E5-5169Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-26/pdf/E5-5169.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/23/05-19041.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Changes to Listed Company Manual Section 902.00 Regarding Listing Fees2005-09-23T00:00:00-07:002005-09-23T00:00:00-07:0005-19041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-23/pdf/05-19041.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/23/05-19035.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2005-09-23T00:00:00-07:002005-09-23T00:00:00-07:0005-19035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-23/pdf/05-19035.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/22/05-19030.htmlNotice - Sunshine Act Meetings2005-09-22T00:00:00-07:002005-09-22T00:00:00-07:0005-19030Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-19030.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/22/05-18940.htmlNotice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)2005-09-22T00:00:00-07:002005-09-22T00:00:00-07:0005-18940Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18940.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/22/05-18939.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Suspension of Transaction Charges for Specialist Orders in the Nasdaq-100 Tracking Stock® (QQQQ)2005-09-22T00:00:00-07:002005-09-22T00:00:00-07:0005-18939Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18939.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/22/05-18899.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, and 3 Thereto by the Philadelphia Stock Exchange, Inc. Relating to the Adoption of New Rules That Would Establish an Automated Opening System on the Exchange2005-09-22T00:00:00-07:002005-09-22T00:00:00-07:0005-18899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18899.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/22/05-18898.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding Enhancements to the Nasdaq Market Center Pegged Order Functionality2005-09-22T00:00:00-07:002005-09-22T00:00:00-07:0005-18898Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18898.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/22/05-18897.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Establish Fee and Notice Requirements for Substitution Listing Events and To Provide Additional Transparency for Changes Requiring a Record-keeping Fee2005-09-22T00:00:00-07:002005-09-22T00:00:00-07:0005-18897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18897.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/22/05-18896.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Expand DTC's Inventory Management System2005-09-22T00:00:00-07:002005-09-22T00:00:00-07:0005-18896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18896.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/22/05-18895.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations2005-09-22T00:00:00-07:002005-09-22T00:00:00-07:0005-18895Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18895.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/21/05-18817.htmlNotice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)2005-09-21T00:00:00-07:002005-09-21T00:00:00-07:0005-18817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18817.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/21/05-18768.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Modification of the Definition of Firm Customer Quote Size and the Removal of Certain Restrictions on Sending Secondary P/A Orders Under the Linkage Plan2005-09-21T00:00:00-07:002005-09-21T00:00:00-07:0005-18768Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18768.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/21/05-18767.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Changes to NASD Rule 3110 and IM-31102005-09-21T00:00:00-07:002005-09-21T00:00:00-07:0005-18767Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18767.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/21/05-18766.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Add Exchange Rule 123G Prohibiting Trade Shredding2005-09-21T00:00:00-07:002005-09-21T00:00:00-07:0005-18766Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18766.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/21/05-18765.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify, Consolidate, and Clarify Financial Responsibility and Operational Capability Rules2005-09-21T00:00:00-07:002005-09-21T00:00:00-07:0005-18765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18765.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/21/05-18764.htmlNotice - Submission for OMB Review; Comment Request2005-09-21T00:00:00-07:002005-09-21T00:00:00-07:0005-18764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18764.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/21/05-18763.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company, Fixed Income Clearing Corporation, and National Securities Clearing Corporation; Order Approving Proposed Rule Change To Establish a Fine for Members Failing To Conduct Connectivity Testing2005-09-21T00:00:00-07:002005-09-21T00:00:00-07:0005-18763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18763.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/21/05-18762.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. To Create a New Order Type-Passive Liquidity Orders-for Use in the ArcaEx Trading Facility of the PCX2005-09-21T00:00:00-07:002005-09-21T00:00:00-07:0005-18762Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18762.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/21/05-18761.htmlNotice - Securities Exchange Act of 1934 and Investment Company Act of 1940; Order Under Section 17a and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Company Act and Certain Rules Thereunder2005-09-21T00:00:00-07:002005-09-21T00:00:00-07:0005-18761Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18761.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18816.htmlNotice - Sunshine Act Meeting Federal Register2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18816.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18674.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Duration of CBOE Rule 6.45A(b) Pertaining to Orders Represented in Open Outcry2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18674Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18674.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18673.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the Definition of Firm Customer Quote Size and the Removal of Certain Restrictions on Sending Secondary Principal Acting as Agent Orders Pursuant to the Linkage Plan2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18673.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18672.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Definition of Firm Customer Quote Size in the Linkage Plan2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18672Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18672.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18671.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Definition of Firm Customer Quote Size and the Removal of Certain Restrictions on Sending Principal Acting as Agent (P/A) Orders Through the Linkage2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18671Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18671.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18670.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to the Definition of Firm Customer Quote Size in the Linkage Plan2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18670Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18670.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18669.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the Definition of Firm Customer Quote Size and Limitations on Sending of Multiple P/A Orders on the Boston Options Exchange2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18669Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18669.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18668.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish an Insurance Program as Part of the Profile Modification System Feature of Its Direct Registration System2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18668Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18668.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18667.htmlNotice - Securities Exchange Act of 1934; Release No. 52426/September 14, 2005; In the Matter of: The National Association of Securities Dealers, Incorporated; Order of Summary Abrogation2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18667Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18667.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18666.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To Amend NYSE Rule 123C (Market on the Close Policy and Expiration Procedures) To Eliminate the Requirement To Publish Pre-Opening Market Order Imbalances on Expiration Fridays2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18666Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18666.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18623.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto To Amend the Exchange's Trade-Through and Locked Markets Rules2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18623.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18622.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving a Proposed Rule Change and Amendments No. 1 and 3 Thereto To Amend the Exchange's Trade-Through and Locked Markets Rules2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18622Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18622.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18621.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto To Amend the Exchange's Trade-Through and Locked Markets Rules2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18621Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18621.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18620.htmlNotice - Joint Industry Plan; Order Approving Amendment No. 15 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to a “Trade and Ship” Exception to the Definition of “Trade-Through” and a “Book and Ship” Exception to the Locked Markets Provision2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18620Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18620.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18619.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Exchange's Transaction Fees and Tape a Revenue Sharing Program for Electronically Routed Cross Trades2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18619Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18619.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18618.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Amend the Exchange's Trade-Through and Locked Markets Rules2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18618Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18618.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18617.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto To Amend the Exchange's Trade-Through and Locked Markets Rules2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18617Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18617.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18616.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving a Proposed Rule Change To Amend the Exchange's Trade-Through and Locked Markets Rules2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18616Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18616.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18615.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving Proposed Rule Change Relating to a Proposal To Transfer a Portion of Its Ownership Interest in Boston Options Exchange Facility2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18615Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18615.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18614.htmlNotice - Applied Materials, Inc.; Notice of Application2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18614Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18614.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18613.htmlNotice - Submission for OMB Review; Comment Request2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18613Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18613.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/20/05-18612.htmlNotice - Peter Kiewit Sons', Inc. and Kiewit Investment Fund LLLP; Notice of Application2005-09-20T00:00:00-07:002005-09-20T00:00:00-07:0005-18612Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18612.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/19/E5-5093.htmlNotice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)2005-09-19T00:00:00-07:002005-09-19T00:00:00-07:00E5-5093Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-19/pdf/E5-5093.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/19/05-18665.htmlNotice - Sunshine Act Meeting2005-09-19T00:00:00-07:002005-09-19T00:00:00-07:0005-18665Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-19/pdf/05-18665.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/19/05-18550.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Establish a Process for the Waiver, Deferral, or Rebate of Listing Fees for Certain Closed-End Funds2005-09-19T00:00:00-07:002005-09-19T00:00:00-07:0005-18550Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-19/pdf/05-18550.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/16/E5-5034.htmlNotice - 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)2005-09-16T00:00:00-07:002005-09-16T00:00:00-07:00E5-5034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-16/pdf/E5-5034.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/16/E5-5033.htmlNotice - 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”2005-09-16T00:00:00-07:002005-09-16T00:00:00-07:00E5-5033Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-16/pdf/E5-5033.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/16/05-18410.htmlNotice - 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 Orders2005-09-16T00:00:00-07:002005-09-16T00:00:00-07:0005-18410Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-16/pdf/05-18410.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/16/05-18384.htmlRule - Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date2005-09-16T00:00:00-07:002005-09-16T00:00:00-07:0005-18384Rulehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-16/pdf/05-18384.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5028.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Scope and Update the Description of the Security Position Reports Service2005-09-15T00:00:00-07:002005-09-15T00:00:00-07:00E5-5028Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-15/pdf/E5-5028.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5027.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rule 8.4 Relating to Remote Market-Maker Appointments2005-09-15T00:00:00-07:002005-09-15T00:00:00-07:00E5-5027Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-15/pdf/E5-5027.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5026.htmlNotice - Tuxis Corporation; Notice of Application2005-09-15T00:00:00-07:002005-09-15T00:00:00-07:00E5-5026Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-15/pdf/E5-5026.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5025.htmlNotice - Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks From the Definition of “Broker” Under Section 3(a)(4) of the Securities Exchange Act of 19342005-09-15T00:00:00-07:002005-09-15T00:00:00-07:00E5-5025Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-15/pdf/E5-5025.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/15/05-18311.htmlNotice - Marshall Funds, Inc., et al.; Notice of Application2005-09-15T00:00:00-07:002005-09-15T00:00:00-07:0005-18311Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-15/pdf/05-18311.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5013.htmlNotice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)2005-09-14T00:00:00-07:002005-09-14T00:00:00-07:00E5-5013Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5013.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5012.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Deletion of Superseded Corporate Governance Standards (Sections 303.00, 303.01, and 303.02 of the Listed Company Manual)2005-09-14T00:00:00-07:002005-09-14T00:00:00-07:00E5-5012Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5012.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5011.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obligations of Lead Market Makers2005-09-14T00:00:00-07:002005-09-14T00:00:00-07:00E5-5011Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5011.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5010.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Automated Customer Account Transfer Service Rules and Procedures2005-09-14T00:00:00-07:002005-09-14T00:00:00-07:00E5-5010Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5010.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5009.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Interpretation of the Definition of “Insurance Company” Under Its Rules and Procedures2005-09-14T00:00:00-07:002005-09-14T00:00:00-07:00E5-5009Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5009.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5008.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Interpretation of NYSE Rule 311 (“Formation and Approval of Member Organizations”) Codifying Certain Qualification Requirements for Criteria for Dual- or Multi-Designation of Principal Executive Officers2005-09-14T00:00:00-07:002005-09-14T00:00:00-07:00E5-5008Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5008.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5007.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Amend Rule 352 Concerning Guarantees and Sharing in Accounts2005-09-14T00:00:00-07:002005-09-14T00:00:00-07:00E5-5007Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5007.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5006.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto Requiring Its Participants To Provide Electronic Mail Addresses to the Exchange2005-09-14T00:00:00-07:002005-09-14T00:00:00-07:00E5-5006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5006.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5005.htmlNotice - Eaton Vance Senior Income Trust, et al.; Notice of Application2005-09-14T00:00:00-07:002005-09-14T00:00:00-07:00E5-5005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5005.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5004.htmlNotice - Issuer Delisting; Notice of Application of N.V. Koninklijke Nederlandsche Petroleum Maatschappij (English Translation, Royal Dutch Petroleum Company) To Withdraw Its Ordinary Shares, Par Value 0.56 Euro, From Listing and Registration on the New York Stock Exchange, Inc.2005-09-14T00:00:00-07:002005-09-14T00:00:00-07:00E5-5004Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5004.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4980.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Clarify the Listing Standards Applicable to Companies in Bankruptcy Proceedings2005-09-13T00:00:00-07:002005-09-13T00:00:00-07:00E5-4980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-13/pdf/E5-4980.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4979.htmlNotice - 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 Allow Members To Report Certain Trades in Exchange-Listed Securities Through the Execution Services of the Nasdaq Market Center2005-09-13T00:00:00-07:002005-09-13T00:00:00-07:00E5-4979Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-13/pdf/E5-4979.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4978.htmlNotice - Submission for OMB Review; Comment Request2005-09-13T00:00:00-07:002005-09-13T00:00:00-07:00E5-4978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-13/pdf/E5-4978.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4977.htmlNotice - Submission for OMB Review; Comment Request2005-09-13T00:00:00-07:002005-09-13T00:00:00-07:00E5-4977Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-13/pdf/E5-4977.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/12/E5-4949.htmlNotice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Customer Margin Requirements for Security Futures2005-09-12T00:00:00-07:002005-09-12T00:00:00-07:00E5-4949Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-12/pdf/E5-4949.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/12/E5-4948.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change Relating to the Assignment of Securities to Specialists2005-09-12T00:00:00-07:002005-09-12T00:00:00-07:00E5-4948Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-12/pdf/E5-4948.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/12/05-18005.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Pilot Program on Dividend Spread and Merger Spread Fee Caps Until March 1, 20062005-09-12T00:00:00-07:002005-09-12T00:00:00-07:0005-18005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-12/pdf/05-18005.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4928.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Modify Rate Schedule Retroactively To January 1, 2002 To Cap the Fees on Multiple Options Issues Transfers2005-09-09T00:00:00-07:002005-09-09T00:00:00-07:00E5-4928Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/E5-4928.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4927.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Create an Enterprise License Fee for the TotalView Entitlement2005-09-09T00:00:00-07:002005-09-09T00:00:00-07:00E5-4927Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/E5-4927.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4926.htmlNotice - 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 Allow Members To Report Certain Trades in Exchange-Listed Securities Through the Execution Services of the Nasdaq Market Center2005-09-09T00:00:00-07:002005-09-09T00:00:00-07:00E5-4926Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/E5-4926.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4921.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Pilot Program Applicable to Option Strategy Executions until March 1, 20062005-09-09T00:00:00-07:002005-09-09T00:00:00-07:00E5-4921Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/E5-4921.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4920.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Automating the Execution of Elected Stop Orders and CAP-DI Orders and Converted CAP-DI Orders2005-09-09T00:00:00-07:002005-09-09T00:00:00-07:00E5-4920Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/E5-4920.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4919.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to Market Order Auction2005-09-09T00:00:00-07:002005-09-09T00:00:00-07:00E5-4919Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/E5-4919.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/09/05-17996.htmlNotice - Sunshine Act Meeting2005-09-09T00:00:00-07:002005-09-09T00:00:00-07:0005-17996Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/05-17996.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/09/05-17991.htmlNotice - Order of Suspension of Trading2005-09-09T00:00:00-07:002005-09-09T00:00:00-07:0005-17991Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/05-17991.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/09/05-17954.htmlNotice - Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis2005-09-09T00:00:00-07:002005-09-09T00:00:00-07:0005-17954Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/05-17954.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4886.htmlNotice - Fifth Third Funds, et al.; Notice of Application2005-09-08T00:00:00-07:002005-09-08T00:00:00-07:00E5-4886Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-08/pdf/E5-4886.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4885.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Pilot Programs Applicable to Fee Caps for Dividend Spread and Merger Spread Transactions Until March 1, 20062005-09-08T00:00:00-07:002005-09-08T00:00:00-07:00E5-4885Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-08/pdf/E5-4885.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4876.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Approval of Proposed Rule Changes Relating to Direct Communication Between Parties and Arbitrators2005-09-08T00:00:00-07:002005-09-08T00:00:00-07:00E5-4876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-08/pdf/E5-4876.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4875.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Relating to the Modified ROS Opening Procedure2005-09-08T00:00:00-07:002005-09-08T00:00:00-07:00E5-4875Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-08/pdf/E5-4875.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4874.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend on a Pilot Basis Rules Concerning Bond Mutual Fund Volatility Ratings2005-09-08T00:00:00-07:002005-09-08T00:00:00-07:00E5-4874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-08/pdf/E5-4874.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4873.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Price Improvement Mechanism2005-09-08T00:00:00-07:002005-09-08T00:00:00-07:00E5-4873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-08/pdf/E5-4873.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/07/E5-4855.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving Proposed Rule Change, and Amendments No. 1 and 2 Thereto, Relating to Sending Principal Orders Via the Intermarket Options Linkage2005-09-07T00:00:00-07:002005-09-07T00:00:00-07:00E5-4855Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-07/pdf/E5-4855.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/07/E5-4854.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Contingency Trading Procedures2005-09-07T00:00:00-07:002005-09-07T00:00:00-07:00E5-4854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-07/pdf/E5-4854.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/07/E5-4850.htmlNotice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)2005-09-07T00:00:00-07:002005-09-07T00:00:00-07:00E5-4850Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-07/pdf/E5-4850.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/07/05-17707.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change, and Amendment No. 1 Thereto Establishing a De Minimis2005-09-07T00:00:00-07:002005-09-07T00:00:00-07:0005-17707Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-07/pdf/05-17707.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4839.htmlNotice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)2005-09-06T00:00:00-07:002005-09-06T00:00:00-07:00E5-4839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/E5-4839.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4835.htmlNotice - Joint Industry Plan; Order Approving Amendment No. 17 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Modifying the 80/20 Test for Determining Limitations on Principal Order Access to Linkage2005-09-06T00:00:00-07:002005-09-06T00:00:00-07:00E5-4835Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/E5-4835.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4834.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change Establishing a De Minimis Exception to the 80/20 Test2005-09-06T00:00:00-07:002005-09-06T00:00:00-07:00E5-4834Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/E5-4834.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4833.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving Proposed Rule Change Establishing a De Minimis Exception to the 80/20 Test Relating to Linkage Trades on the Boston Options Exchange2005-09-06T00:00:00-07:002005-09-06T00:00:00-07:00E5-4833Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/E5-4833.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4831.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Order Approving a Proposed Rule Change Relating to the 80/20 Test of the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage2005-09-06T00:00:00-07:002005-09-06T00:00:00-07:00E5-4831Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/E5-4831.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4830.htmlNotice - Self-Regulatory Organizations; International Stock Exchange, Inc.; Order Approving Proposed Rule Change Establishing a De Minimis Exception to the 80/20 Test2005-09-06T00:00:00-07:002005-09-06T00:00:00-07:00E5-4830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/E5-4830.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/06/05-17660.htmlNotice - Sunshine Act Meeting2005-09-06T00:00:00-07:002005-09-06T00:00:00-07:0005-17660Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/05-17660.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4828.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Relating to the Reporting of Data to Clearing Firms by Correspondent Firms2005-09-02T00:00:00-07:002005-09-02T00:00:00-07:00E5-4828Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4828.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4827.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to Complex Orders2005-09-02T00:00:00-07:002005-09-02T00:00:00-07:00E5-4827Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4827.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4807.htmlNotice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)2005-09-02T00:00:00-07:002005-09-02T00:00:00-07:00E5-4807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4807.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4806.htmlNotice - First Trust Exchange-Traded Fund, et al.; Notice of Application2005-09-02T00:00:00-07:002005-09-02T00:00:00-07:00E5-4806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4806.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4805.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to Insurance Processing Service and Revisions to Fee Schedule2005-09-02T00:00:00-07:002005-09-02T00:00:00-07:00E5-4805Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4805.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4804.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange; Order Granting Approval to Proposed Rule Change Relating to Trade Shredding2005-09-02T00:00:00-07:002005-09-02T00:00:00-07:00E5-4804Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4804.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4803.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Regarding Procedures for Denying Listing on Nasdaq2005-09-02T00:00:00-07:002005-09-02T00:00:00-07:00E5-4803Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4803.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/02/05-17593.htmlNotice - Bancorp International Group, Inc. File No. 500-1; Order of Suspension of Trading2005-09-02T00:00:00-07:002005-09-02T00:00:00-07:0005-17593Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/05-17593.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/01/E5-4789.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402005-09-01T00:00:00-07:002005-09-01T00:00:00-07:00E5-4789Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-01/pdf/E5-4789.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/01/E5-4788.htmlNotice - Harris Insight Funds Trust, et al., Notice of Application2005-09-01T00:00:00-07:002005-09-01T00:00:00-07:00E5-4788Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-01/pdf/E5-4788.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/01/E5-4773.htmlNotice - Submission for OMB Review; Comment Request2005-09-01T00:00:00-07:002005-09-01T00:00:00-07:00E5-4773Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-01/pdf/E5-4773.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/01/E5-4772.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to Amex Rules 26 and 272005-09-01T00:00:00-07:002005-09-01T00:00:00-07:00E5-4772Noticehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-01/pdf/E5-4772.pdfhttps://regulations.justia.com/regulations/fedreg/2005/09/01/05-17531.htmlRule - Regulation NMS2005-09-01T00:00:00-07:002005-09-01T00:00:00-07:0005-17531Rulehttp://www.gpo.gov/fdsys/pkg/FR-2005-09-01/pdf/05-17531.pdf