<![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?registers=between&min-day=1&max-day=30 Wed, 01 May 2024 07:34:41 -0700 Wed, 01 May 2024 07:34:41 -0700 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?registers=between&min-day=1&max-day=30 Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5334.html https://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5334.html Fri, 30 Sep 2005 00:00:00 -0700 E5-5334 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/E5-5334.pdf Notice - 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 Offer https://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5328.html https://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5328.html Fri, 30 Sep 2005 00:00:00 -0700 E5-5328 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/E5-5328.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed New Listing Fees https://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5327.html https://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5327.html Fri, 30 Sep 2005 00:00:00 -0700 E5-5327 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/E5-5327.pdf Notice - 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 Linkage https://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5326.html https://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5326.html Fri, 30 Sep 2005 00:00:00 -0700 E5-5326 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/E5-5326.pdf Notice - 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 ETFs https://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5325.html https://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5325.html Fri, 30 Sep 2005 00:00:00 -0700 E5-5325 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/E5-5325.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5324.html https://regulations.justia.com/regulations/fedreg/2005/09/30/E5-5324.html Fri, 30 Sep 2005 00:00:00 -0700 E5-5324 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/E5-5324.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/09/30/05-19698.html https://regulations.justia.com/regulations/fedreg/2005/09/30/05-19698.html Fri, 30 Sep 2005 00:00:00 -0700 05-19698 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/05-19698.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2005/09/30/05-19315.html https://regulations.justia.com/regulations/fedreg/2005/09/30/05-19315.html Fri, 30 Sep 2005 00:00:00 -0700 05-19315 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-09-30/pdf/05-19315.pdf Notice - 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 Holdings https://regulations.justia.com/regulations/fedreg/2005/09/29/E5-5314.html https://regulations.justia.com/regulations/fedreg/2005/09/29/E5-5314.html Thu, 29 Sep 2005 00:00:00 -0700 E5-5314 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/E5-5314.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Rename The Nasdaq SmallCap Market https://regulations.justia.com/regulations/fedreg/2005/09/29/E5-5313.html https://regulations.justia.com/regulations/fedreg/2005/09/29/E5-5313.html Thu, 29 Sep 2005 00:00:00 -0700 E5-5313 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/E5-5313.pdf Notice - 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 Commission https://regulations.justia.com/regulations/fedreg/2005/09/29/E5-5312.html https://regulations.justia.com/regulations/fedreg/2005/09/29/E5-5312.html Thu, 29 Sep 2005 00:00:00 -0700 E5-5312 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/E5-5312.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2005/09/29/05-19498.html https://regulations.justia.com/regulations/fedreg/2005/09/29/05-19498.html Thu, 29 Sep 2005 00:00:00 -0700 05-19498 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/05-19498.pdf Notice - 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 Violations https://regulations.justia.com/regulations/fedreg/2005/09/29/05-19497.html https://regulations.justia.com/regulations/fedreg/2005/09/29/05-19497.html Thu, 29 Sep 2005 00:00:00 -0700 05-19497 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/05-19497.pdf Notice - 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 PACE https://regulations.justia.com/regulations/fedreg/2005/09/29/05-19496.html https://regulations.justia.com/regulations/fedreg/2005/09/29/05-19496.html Thu, 29 Sep 2005 00:00:00 -0700 05-19496 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/05-19496.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Options Transaction Fees https://regulations.justia.com/regulations/fedreg/2005/09/29/05-19495.html https://regulations.justia.com/regulations/fedreg/2005/09/29/05-19495.html Thu, 29 Sep 2005 00:00:00 -0700 05-19495 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/05-19495.pdf Proposed Rule - Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports https://regulations.justia.com/regulations/fedreg/2005/09/29/05-19427.html https://regulations.justia.com/regulations/fedreg/2005/09/29/05-19427.html Thu, 29 Sep 2005 00:00:00 -0700 05-19427 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/05-19427.pdf Rule - Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Companies That Are Not Accelerated Filers https://regulations.justia.com/regulations/fedreg/2005/09/29/05-19426.html https://regulations.justia.com/regulations/fedreg/2005/09/29/05-19426.html Thu, 29 Sep 2005 00:00:00 -0700 05-19426 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-09-29/pdf/05-19426.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5309.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5309.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5309 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5309.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5308.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5308.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5308 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5308.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5307.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5307.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5307 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5307.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5305.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5305.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5305 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5305.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5252.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5252.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5252 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5252.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5251.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5251.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5251 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5251.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5250.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5250.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5250 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5250.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5249.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5249.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5249 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5249.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5248.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5248.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5248 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5248.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5247.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5247.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5247 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5247.pdf Notice - 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 File https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5246.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5246.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5246 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5246.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise an Administrative CBOE Membership Rule https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5245.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5245.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5245 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5245.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5244.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5244.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5244 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5244.pdf Notice - 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 Mechanisms https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5243.html https://regulations.justia.com/regulations/fedreg/2005/09/28/E5-5243.html Wed, 28 Sep 2005 00:00:00 -0700 E5-5243 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/E5-5243.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/09/28/05-19499.html https://regulations.justia.com/regulations/fedreg/2005/09/28/05-19499.html Wed, 28 Sep 2005 00:00:00 -0700 05-19499 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-28/pdf/05-19499.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2005/09/27/E5-5182.html https://regulations.justia.com/regulations/fedreg/2005/09/27/E5-5182.html Tue, 27 Sep 2005 00:00:00 -0700 E5-5182 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-27/pdf/E5-5182.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/09/27/E5-5175.html https://regulations.justia.com/regulations/fedreg/2005/09/27/E5-5175.html Tue, 27 Sep 2005 00:00:00 -0700 E5-5175 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-27/pdf/E5-5175.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/09/27/05-19316.html https://regulations.justia.com/regulations/fedreg/2005/09/27/05-19316.html Tue, 27 Sep 2005 00:00:00 -0700 05-19316 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-27/pdf/05-19316.pdf Notice - 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 Discovery https://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5173.html https://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5173.html Mon, 26 Sep 2005 00:00:00 -0700 E5-5173 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-26/pdf/E5-5173.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5172.html https://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5172.html Mon, 26 Sep 2005 00:00:00 -0700 E5-5172 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-26/pdf/E5-5172.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to the New Canadian-Link Service https://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5171.html https://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5171.html Mon, 26 Sep 2005 00:00:00 -0700 E5-5171 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-26/pdf/E5-5171.pdf Notice - 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 Option https://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5170.html https://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5170.html Mon, 26 Sep 2005 00:00:00 -0700 E5-5170 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-26/pdf/E5-5170.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5169.html https://regulations.justia.com/regulations/fedreg/2005/09/26/E5-5169.html Mon, 26 Sep 2005 00:00:00 -0700 E5-5169 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-26/pdf/E5-5169.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2005/09/23/05-19041.html https://regulations.justia.com/regulations/fedreg/2005/09/23/05-19041.html Fri, 23 Sep 2005 00:00:00 -0700 05-19041 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-23/pdf/05-19041.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2005/09/23/05-19035.html https://regulations.justia.com/regulations/fedreg/2005/09/23/05-19035.html Fri, 23 Sep 2005 00:00:00 -0700 05-19035 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-23/pdf/05-19035.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2005/09/22/05-19030.html https://regulations.justia.com/regulations/fedreg/2005/09/22/05-19030.html Thu, 22 Sep 2005 00:00:00 -0700 05-19030 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-19030.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18940.html https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18940.html Thu, 22 Sep 2005 00:00:00 -0700 05-18940 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18940.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18939.html https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18939.html Thu, 22 Sep 2005 00:00:00 -0700 05-18939 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18939.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18899.html https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18899.html Thu, 22 Sep 2005 00:00:00 -0700 05-18899 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18899.pdf Notice - 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 Functionality https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18898.html https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18898.html Thu, 22 Sep 2005 00:00:00 -0700 05-18898 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18898.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18897.html https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18897.html Thu, 22 Sep 2005 00:00:00 -0700 05-18897 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18897.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Expand DTC's Inventory Management System https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18896.html https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18896.html Thu, 22 Sep 2005 00:00:00 -0700 05-18896 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18896.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18895.html https://regulations.justia.com/regulations/fedreg/2005/09/22/05-18895.html Thu, 22 Sep 2005 00:00:00 -0700 05-18895 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-22/pdf/05-18895.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18817.html https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18817.html Wed, 21 Sep 2005 00:00:00 -0700 05-18817 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18817.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18768.html https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18768.html Wed, 21 Sep 2005 00:00:00 -0700 05-18768 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18768.pdf Notice - 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-3110 https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18767.html https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18767.html Wed, 21 Sep 2005 00:00:00 -0700 05-18767 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18767.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Add Exchange Rule 123G Prohibiting Trade Shredding https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18766.html https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18766.html Wed, 21 Sep 2005 00:00:00 -0700 05-18766 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18766.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18765.html https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18765.html Wed, 21 Sep 2005 00:00:00 -0700 05-18765 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18765.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18764.html https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18764.html Wed, 21 Sep 2005 00:00:00 -0700 05-18764 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18764.pdf Notice - 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 Testing https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18763.html https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18763.html Wed, 21 Sep 2005 00:00:00 -0700 05-18763 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18763.pdf Notice - 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 PCX https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18762.html https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18762.html Wed, 21 Sep 2005 00:00:00 -0700 05-18762 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18762.pdf Notice - 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 Thereunder https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18761.html https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18761.html Wed, 21 Sep 2005 00:00:00 -0700 05-18761 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18761.pdf Notice - Sunshine Act Meeting Federal Register https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18816.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18816.html Tue, 20 Sep 2005 00:00:00 -0700 05-18816 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18816.pdf Notice - 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 Outcry https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18674.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18674.html Tue, 20 Sep 2005 00:00:00 -0700 05-18674 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18674.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18673.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18673.html Tue, 20 Sep 2005 00:00:00 -0700 05-18673 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18673.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18672.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18672.html Tue, 20 Sep 2005 00:00:00 -0700 05-18672 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18672.pdf Notice - 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 Linkage https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18671.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18671.html Tue, 20 Sep 2005 00:00:00 -0700 05-18671 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18671.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18670.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18670.html Tue, 20 Sep 2005 00:00:00 -0700 05-18670 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18670.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18669.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18669.html Tue, 20 Sep 2005 00:00:00 -0700 05-18669 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18669.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18668.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18668.html Tue, 20 Sep 2005 00:00:00 -0700 05-18668 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18668.pdf Notice - 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 Abrogation https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18667.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18667.html Tue, 20 Sep 2005 00:00:00 -0700 05-18667 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18667.pdf Notice - 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 Fridays https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18666.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18666.html Tue, 20 Sep 2005 00:00:00 -0700 05-18666 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18666.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18623.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18623.html Tue, 20 Sep 2005 00:00:00 -0700 05-18623 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18623.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18622.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18622.html Tue, 20 Sep 2005 00:00:00 -0700 05-18622 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18622.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18621.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18621.html Tue, 20 Sep 2005 00:00:00 -0700 05-18621 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18621.pdf Notice - 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 Provision https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18620.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18620.html Tue, 20 Sep 2005 00:00:00 -0700 05-18620 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18620.pdf Notice - 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 Trades https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18619.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18619.html Tue, 20 Sep 2005 00:00:00 -0700 05-18619 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18619.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Amend the Exchange's Trade-Through and Locked Markets Rules https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18618.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18618.html Tue, 20 Sep 2005 00:00:00 -0700 05-18618 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18618.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18617.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18617.html Tue, 20 Sep 2005 00:00:00 -0700 05-18617 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18617.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving a Proposed Rule Change To Amend the Exchange's Trade-Through and Locked Markets Rules https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18616.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18616.html Tue, 20 Sep 2005 00:00:00 -0700 05-18616 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18616.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18615.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18615.html Tue, 20 Sep 2005 00:00:00 -0700 05-18615 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18615.pdf Notice - Applied Materials, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18614.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18614.html Tue, 20 Sep 2005 00:00:00 -0700 05-18614 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18614.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18613.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18613.html Tue, 20 Sep 2005 00:00:00 -0700 05-18613 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18613.pdf Notice - Peter Kiewit Sons', Inc. and Kiewit Investment Fund LLLP; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18612.html https://regulations.justia.com/regulations/fedreg/2005/09/20/05-18612.html Tue, 20 Sep 2005 00:00:00 -0700 05-18612 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-20/pdf/05-18612.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/09/19/E5-5093.html https://regulations.justia.com/regulations/fedreg/2005/09/19/E5-5093.html Mon, 19 Sep 2005 00:00:00 -0700 E5-5093 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-19/pdf/E5-5093.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/09/19/05-18665.html https://regulations.justia.com/regulations/fedreg/2005/09/19/05-18665.html Mon, 19 Sep 2005 00:00:00 -0700 05-18665 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-19/pdf/05-18665.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2005/09/19/05-18550.html https://regulations.justia.com/regulations/fedreg/2005/09/19/05-18550.html Mon, 19 Sep 2005 00:00:00 -0700 05-18550 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-19/pdf/05-18550.pdf 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 Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5028.html https://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5028.html Thu, 15 Sep 2005 00:00:00 -0700 E5-5028 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-15/pdf/E5-5028.pdf Notice - 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 Appointments https://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5027.html https://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5027.html Thu, 15 Sep 2005 00:00:00 -0700 E5-5027 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-15/pdf/E5-5027.pdf Notice - Tuxis Corporation; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5026.html https://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5026.html Thu, 15 Sep 2005 00:00:00 -0700 E5-5026 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-15/pdf/E5-5026.pdf Notice - 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 1934 https://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5025.html https://regulations.justia.com/regulations/fedreg/2005/09/15/E5-5025.html Thu, 15 Sep 2005 00:00:00 -0700 E5-5025 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-15/pdf/E5-5025.pdf Notice - Marshall Funds, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/09/15/05-18311.html https://regulations.justia.com/regulations/fedreg/2005/09/15/05-18311.html Thu, 15 Sep 2005 00:00:00 -0700 05-18311 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-15/pdf/05-18311.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5013.html https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5013.html Wed, 14 Sep 2005 00:00:00 -0700 E5-5013 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5013.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5012.html https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5012.html Wed, 14 Sep 2005 00:00:00 -0700 E5-5012 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5012.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obligations of Lead Market Makers https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5011.html https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5011.html Wed, 14 Sep 2005 00:00:00 -0700 E5-5011 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5011.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5010.html https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5010.html Wed, 14 Sep 2005 00:00:00 -0700 E5-5010 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5010.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5009.html https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5009.html Wed, 14 Sep 2005 00:00:00 -0700 E5-5009 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5009.pdf Notice - 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 Officers https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5008.html https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5008.html Wed, 14 Sep 2005 00:00:00 -0700 E5-5008 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5008.pdf Notice - 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 Accounts https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5007.html https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5007.html Wed, 14 Sep 2005 00:00:00 -0700 E5-5007 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5007.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5006.html https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5006.html Wed, 14 Sep 2005 00:00:00 -0700 E5-5006 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5006.pdf Notice - Eaton Vance Senior Income Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5005.html https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5005.html Wed, 14 Sep 2005 00:00:00 -0700 E5-5005 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5005.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5004.html https://regulations.justia.com/regulations/fedreg/2005/09/14/E5-5004.html Wed, 14 Sep 2005 00:00:00 -0700 E5-5004 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-14/pdf/E5-5004.pdf Notice - 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 Proceedings https://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4980.html https://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4980.html Tue, 13 Sep 2005 00:00:00 -0700 E5-4980 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-13/pdf/E5-4980.pdf Notice - 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 Center https://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4979.html https://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4979.html Tue, 13 Sep 2005 00:00:00 -0700 E5-4979 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-13/pdf/E5-4979.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4978.html https://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4978.html Tue, 13 Sep 2005 00:00:00 -0700 E5-4978 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-13/pdf/E5-4978.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4977.html https://regulations.justia.com/regulations/fedreg/2005/09/13/E5-4977.html Tue, 13 Sep 2005 00:00:00 -0700 E5-4977 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-13/pdf/E5-4977.pdf Notice - 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 Futures https://regulations.justia.com/regulations/fedreg/2005/09/12/E5-4949.html https://regulations.justia.com/regulations/fedreg/2005/09/12/E5-4949.html Mon, 12 Sep 2005 00:00:00 -0700 E5-4949 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-12/pdf/E5-4949.pdf Notice - 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 Specialists https://regulations.justia.com/regulations/fedreg/2005/09/12/E5-4948.html https://regulations.justia.com/regulations/fedreg/2005/09/12/E5-4948.html Mon, 12 Sep 2005 00:00:00 -0700 E5-4948 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-12/pdf/E5-4948.pdf Notice - 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, 2006 https://regulations.justia.com/regulations/fedreg/2005/09/12/05-18005.html https://regulations.justia.com/regulations/fedreg/2005/09/12/05-18005.html Mon, 12 Sep 2005 00:00:00 -0700 05-18005 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-12/pdf/05-18005.pdf Notice - 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 Transfers https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4928.html https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4928.html Fri, 09 Sep 2005 00:00:00 -0700 E5-4928 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/E5-4928.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Create an Enterprise License Fee for the TotalView Entitlement https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4927.html https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4927.html Fri, 09 Sep 2005 00:00:00 -0700 E5-4927 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/E5-4927.pdf Notice - 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 Center https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4926.html https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4926.html Fri, 09 Sep 2005 00:00:00 -0700 E5-4926 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/E5-4926.pdf Notice - 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, 2006 https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4921.html https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4921.html Fri, 09 Sep 2005 00:00:00 -0700 E5-4921 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/E5-4921.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4920.html https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4920.html Fri, 09 Sep 2005 00:00:00 -0700 E5-4920 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/E5-4920.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to Market Order Auction https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4919.html https://regulations.justia.com/regulations/fedreg/2005/09/09/E5-4919.html Fri, 09 Sep 2005 00:00:00 -0700 E5-4919 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/E5-4919.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/09/09/05-17996.html https://regulations.justia.com/regulations/fedreg/2005/09/09/05-17996.html Fri, 09 Sep 2005 00:00:00 -0700 05-17996 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/05-17996.pdf Notice - Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2005/09/09/05-17991.html https://regulations.justia.com/regulations/fedreg/2005/09/09/05-17991.html Fri, 09 Sep 2005 00:00:00 -0700 05-17991 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/05-17991.pdf Notice - Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis https://regulations.justia.com/regulations/fedreg/2005/09/09/05-17954.html https://regulations.justia.com/regulations/fedreg/2005/09/09/05-17954.html Fri, 09 Sep 2005 00:00:00 -0700 05-17954 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-09/pdf/05-17954.pdf Notice - Fifth Third Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4886.html https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4886.html Thu, 08 Sep 2005 00:00:00 -0700 E5-4886 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-08/pdf/E5-4886.pdf Notice - 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, 2006 https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4885.html https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4885.html Thu, 08 Sep 2005 00:00:00 -0700 E5-4885 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-08/pdf/E5-4885.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Approval of Proposed Rule Changes Relating to Direct Communication Between Parties and Arbitrators https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4876.html https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4876.html Thu, 08 Sep 2005 00:00:00 -0700 E5-4876 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-08/pdf/E5-4876.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Relating to the Modified ROS Opening Procedure https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4875.html https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4875.html Thu, 08 Sep 2005 00:00:00 -0700 E5-4875 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-08/pdf/E5-4875.pdf Notice - 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 Ratings https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4874.html https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4874.html Thu, 08 Sep 2005 00:00:00 -0700 E5-4874 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-08/pdf/E5-4874.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Price Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4873.html https://regulations.justia.com/regulations/fedreg/2005/09/08/E5-4873.html Thu, 08 Sep 2005 00:00:00 -0700 E5-4873 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-08/pdf/E5-4873.pdf Notice - 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 Linkage https://regulations.justia.com/regulations/fedreg/2005/09/07/E5-4855.html https://regulations.justia.com/regulations/fedreg/2005/09/07/E5-4855.html Wed, 07 Sep 2005 00:00:00 -0700 E5-4855 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-07/pdf/E5-4855.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Contingency Trading Procedures https://regulations.justia.com/regulations/fedreg/2005/09/07/E5-4854.html https://regulations.justia.com/regulations/fedreg/2005/09/07/E5-4854.html Wed, 07 Sep 2005 00:00:00 -0700 E5-4854 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-07/pdf/E5-4854.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/09/07/E5-4850.html https://regulations.justia.com/regulations/fedreg/2005/09/07/E5-4850.html Wed, 07 Sep 2005 00:00:00 -0700 E5-4850 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-07/pdf/E5-4850.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change, and Amendment No. 1 Thereto Establishing a De Minimis https://regulations.justia.com/regulations/fedreg/2005/09/07/05-17707.html https://regulations.justia.com/regulations/fedreg/2005/09/07/05-17707.html Wed, 07 Sep 2005 00:00:00 -0700 05-17707 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-07/pdf/05-17707.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4839.html https://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4839.html Tue, 06 Sep 2005 00:00:00 -0700 E5-4839 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/E5-4839.pdf Notice - 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 Linkage https://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4835.html https://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4835.html Tue, 06 Sep 2005 00:00:00 -0700 E5-4835 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/E5-4835.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change Establishing a De Minimis Exception to the 80/20 Test https://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4834.html https://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4834.html Tue, 06 Sep 2005 00:00:00 -0700 E5-4834 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/E5-4834.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4833.html https://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4833.html Tue, 06 Sep 2005 00:00:00 -0700 E5-4833 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/E5-4833.pdf Notice - 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 Linkage https://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4831.html https://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4831.html Tue, 06 Sep 2005 00:00:00 -0700 E5-4831 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/E5-4831.pdf Notice - Self-Regulatory Organizations; International Stock Exchange, Inc.; Order Approving Proposed Rule Change Establishing a De Minimis Exception to the 80/20 Test https://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4830.html https://regulations.justia.com/regulations/fedreg/2005/09/06/E5-4830.html Tue, 06 Sep 2005 00:00:00 -0700 E5-4830 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/E5-4830.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/09/06/05-17660.html https://regulations.justia.com/regulations/fedreg/2005/09/06/05-17660.html Tue, 06 Sep 2005 00:00:00 -0700 05-17660 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-06/pdf/05-17660.pdf Notice - 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 Firms https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4828.html https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4828.html Fri, 02 Sep 2005 00:00:00 -0700 E5-4828 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4828.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to Complex Orders https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4827.html https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4827.html Fri, 02 Sep 2005 00:00:00 -0700 E5-4827 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4827.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4807.html https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4807.html Fri, 02 Sep 2005 00:00:00 -0700 E5-4807 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4807.pdf Notice - First Trust Exchange-Traded Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4806.html https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4806.html Fri, 02 Sep 2005 00:00:00 -0700 E5-4806 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4806.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4805.html https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4805.html Fri, 02 Sep 2005 00:00:00 -0700 E5-4805 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4805.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange; Order Granting Approval to Proposed Rule Change Relating to Trade Shredding https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4804.html https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4804.html Fri, 02 Sep 2005 00:00:00 -0700 E5-4804 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4804.pdf Notice - 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 Nasdaq https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4803.html https://regulations.justia.com/regulations/fedreg/2005/09/02/E5-4803.html Fri, 02 Sep 2005 00:00:00 -0700 E5-4803 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/E5-4803.pdf Notice - Bancorp International Group, Inc. File No. 500-1; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2005/09/02/05-17593.html https://regulations.justia.com/regulations/fedreg/2005/09/02/05-17593.html Fri, 02 Sep 2005 00:00:00 -0700 05-17593 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-02/pdf/05-17593.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2005/09/01/E5-4789.html https://regulations.justia.com/regulations/fedreg/2005/09/01/E5-4789.html Thu, 01 Sep 2005 00:00:00 -0700 E5-4789 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-01/pdf/E5-4789.pdf Notice - Harris Insight Funds Trust, et al., Notice of Application https://regulations.justia.com/regulations/fedreg/2005/09/01/E5-4788.html https://regulations.justia.com/regulations/fedreg/2005/09/01/E5-4788.html Thu, 01 Sep 2005 00:00:00 -0700 E5-4788 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-01/pdf/E5-4788.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/09/01/E5-4773.html https://regulations.justia.com/regulations/fedreg/2005/09/01/E5-4773.html Thu, 01 Sep 2005 00:00:00 -0700 E5-4773 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-01/pdf/E5-4773.pdf Notice - 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 27 https://regulations.justia.com/regulations/fedreg/2005/09/01/E5-4772.html https://regulations.justia.com/regulations/fedreg/2005/09/01/E5-4772.html Thu, 01 Sep 2005 00:00:00 -0700 E5-4772 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-01/pdf/E5-4772.pdf Rule - Regulation NMS https://regulations.justia.com/regulations/fedreg/2005/09/01/05-17531.html https://regulations.justia.com/regulations/fedreg/2005/09/01/05-17531.html Thu, 01 Sep 2005 00:00:00 -0700 05-17531 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-09-01/pdf/05-17531.pdf