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/2005/10/07?limit=200&registers=between&mode=atom 2025-01-01T08:04:28-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5535.html Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change Relating to the Proposed Uniform Branch Office Registration Form (“Form BR”) 2005-10-07T00:00:00-07:00 2005-10-07T00:00:00-07:00 E5-5535 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-07/pdf/E5-5535.pdf https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5534.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving 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 Relating to the Proposed Uniform Branch Office Registration Form (“Form BR”) and Amendments to the Uniform Application for Securities Industry Registration or Transfer (“Form U4”) and the Uniform Termination Notice for Securities Industry Registration (“Form U5”) 2005-10-07T00:00:00-07:00 2005-10-07T00:00:00-07:00 E5-5534 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-07/pdf/E5-5534.pdf https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5533.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rule 11890 2005-10-07T00:00:00-07:00 2005-10-07T00:00:00-07:00 E5-5533 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-07/pdf/E5-5533.pdf https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5531.html Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change to Add Rules Regarding Time Tracking Requirements of Specialists and Specialist Organizations to Its Minor Rule Violation Plan 2005-10-07T00:00:00-07:00 2005-10-07T00:00:00-07:00 E5-5531 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-07/pdf/E5-5531.pdf https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5525.html Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 2 and 3 Thereto Relating to Exposure of Orders in the PCX Plus Crossing Mechanism 2005-10-07T00:00:00-07:00 2005-10-07T00:00:00-07:00 E5-5525 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-07/pdf/E5-5525.pdf https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5524.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Procedures Relating to the Destruction of Certain Non-Transferable Securities Certificates That Are Held in DTC's Internal Removal Account Known as PREM 2005-10-07T00:00:00-07:00 2005-10-07T00:00:00-07:00 E5-5524 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-07/pdf/E5-5524.pdf