<![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/2005/11/07?registers=between Sun, 29 Dec 2024 10:37:22 -0800 Sun, 29 Dec 2024 10:37:22 -0800 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2005/11/07?registers=between Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, Relating to Equity Transaction Charges https://regulations.justia.com/regulations/fedreg/2005/11/07/E5-6141.html https://regulations.justia.com/regulations/fedreg/2005/11/07/E5-6141.html Mon, 07 Nov 2005 00:00:00 -0800 E5-6141 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-11-07/pdf/E5-6141.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Approval to Proposed Rule Change and Amendments Nos. 1 and 2 Thereto, and Notice of Filing and Order Granting Accelerated Approval To Amendment No. 3, To Amend NASD Rules for Mediation Proceedings https://regulations.justia.com/regulations/fedreg/2005/11/07/E5-6140.html https://regulations.justia.com/regulations/fedreg/2005/11/07/E5-6140.html Mon, 07 Nov 2005 00:00:00 -0800 E5-6140 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-11-07/pdf/E5-6140.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Fee Waiver for Certain Transactions in SPX LEAPS® Options https://regulations.justia.com/regulations/fedreg/2005/11/07/E5-6138.html https://regulations.justia.com/regulations/fedreg/2005/11/07/E5-6138.html Mon, 07 Nov 2005 00:00:00 -0800 E5-6138 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-11-07/pdf/E5-6138.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Relating to Dissemination of Information on TRACE-Eligible Securities Transactions https://regulations.justia.com/regulations/fedreg/2005/11/07/E5-6137.html https://regulations.justia.com/regulations/fedreg/2005/11/07/E5-6137.html Mon, 07 Nov 2005 00:00:00 -0800 E5-6137 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-11-07/pdf/E5-6137.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Establish Rules Governing the Operation of the INET System https://regulations.justia.com/regulations/fedreg/2005/11/07/05-22227.html https://regulations.justia.com/regulations/fedreg/2005/11/07/05-22227.html Mon, 07 Nov 2005 00:00:00 -0800 05-22227 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-11-07/pdf/05-22227.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Establish Fee and Notice Requirements for Substitution Listing Events and Other Corporate Changes https://regulations.justia.com/regulations/fedreg/2005/11/07/05-22181.html https://regulations.justia.com/regulations/fedreg/2005/11/07/05-22181.html Mon, 07 Nov 2005 00:00:00 -0800 05-22181 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-11-07/pdf/05-22181.pdf Notice - Options Price Reporting Authority; Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Provide That Classes of Foreign Currency Options Newly Introduced for Trading on the Philadelphia Stock Exchange Be Treated as Equity/Index Options During a Temporary Period Ending on December 31, 2007 https://regulations.justia.com/regulations/fedreg/2005/11/07/05-22180.html https://regulations.justia.com/regulations/fedreg/2005/11/07/05-22180.html Mon, 07 Nov 2005 00:00:00 -0800 05-22180 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-11-07/pdf/05-22180.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving 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/2005/11/07/05-22179.html https://regulations.justia.com/regulations/fedreg/2005/11/07/05-22179.html Mon, 07 Nov 2005 00:00:00 -0800 05-22179 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-11-07/pdf/05-22179.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Seeking Permanent Approval of Rules Concerning Bond Mutual Fund Volatility Ratings Prior to Expiration of Pilot https://regulations.justia.com/regulations/fedreg/2005/11/07/05-22178.html https://regulations.justia.com/regulations/fedreg/2005/11/07/05-22178.html Mon, 07 Nov 2005 00:00:00 -0800 05-22178 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-11-07/pdf/05-22178.pdf Notice - Options Price Reporting Authority; Notice of Filing of Proposed Amendment to the Best Bid and Offer Guidelines Adopted Pursuant to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information https://regulations.justia.com/regulations/fedreg/2005/11/07/05-22177.html https://regulations.justia.com/regulations/fedreg/2005/11/07/05-22177.html Mon, 07 Nov 2005 00:00:00 -0800 05-22177 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-11-07/pdf/05-22177.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2005/11/07/05-22085.html https://regulations.justia.com/regulations/fedreg/2005/11/07/05-22085.html Mon, 07 Nov 2005 00:00:00 -0800 05-22085 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-11-07/pdf/05-22085.pdf