<![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/2005/12/14?registers=between Mon, 14 Jul 2025 10:17:27 -0700 Mon, 14 Jul 2025 10:17:27 -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/2005/12/14?registers=between Notice - Rydex ETF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7339.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7339.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7339 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7339.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 4 Examination Program https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7338.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7338.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7338 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7338.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 9/10 Examination Program https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7337.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7337.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7337 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7337.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Modify Nasdaq's Auditor Peer Review Requirement https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7333.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7333.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7333 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7333.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 4 Examination Program https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7330.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7330.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7330 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7330.pdf Notice - Joint Industry Plan; Solicitation of Comments and Order Granting Summary Effectiveness To Request To Extend the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by The Pacific Exchange, Inc., The National Association of Securities Dealers, Inc., The American Stock Exchange LLC, The Boston Stock Exchange, Inc., The Chicago Stock Exchange, Inc., The National Stock Exchange, Inc., and The Philadelphia Stock Exchange, Inc. and To Extend Certain Exemptive Relief https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7329.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7329.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7329 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7329.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. and Amendment No. 1 Thereto Relating to the Approval of Securities That Underlie Options Traded on the Exchange https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7328.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7328.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7328 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7328.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Study Outline and Selection Specifications for the Limited Principal-General Securities Sales Supervisor (Series 9/10) Examination Program https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7327.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7327.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7327 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7327.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 4 Examination Program https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7326.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7326.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7326 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7326.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 9/10 Examination Program https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7325.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7325.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7325 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7325.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Options Licensing Fee for Options on Certain PowerShares Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7307.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7307.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7307 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7307.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 9/10 Examination Program https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7306.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7306.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7306 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7306.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company, Fixed Income Clearing Corporation, and National Securities Clearing Corporation; Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7305.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7305.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7305 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7305.pdf Notice - Options Price Reporting Authority; Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information (“OPRA Plan”) to Amend Guideline No. 1 of the Best Bid and Offer Guidelines Adopted Pursuant to the OPRA Plan https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7304.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7304.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7304 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7304.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Requirements for Continued Approval of Securities that Underlie Options Traded on the Exchange https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7303.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7303.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7303 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7303.pdf Notice - The Integrity Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7302.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7302.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7302 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7302.pdf Notice - Options Price Reporting Authority; Order Approving an 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/2005/12/14/E5-7301.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7301.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7301 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7301.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Maintenance, Retention and Furnishing of Books, Records and Other Information Regarding Payment For Order Flow https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7299.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7299.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7299 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7299.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Trading Pursuant to Unlisted Trading Privileges of the iShares S&P Global 100 Fund https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7296.html https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7296.html Wed, 14 Dec 2005 00:00:00 -0800 E5-7296 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7296.pdf