<![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/2007/01/17?registers=between Tue, 15 Jul 2025 19:56:08 -0700 Tue, 15 Jul 2025 19:56:08 -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/2007/01/17?registers=between Notice - Self-Regulatory Organizations; New York Stock Exchange LLC and the National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Changes To Amend NYSE Rules 472 and 344, and NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-548.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-548.html Wed, 17 Jan 2007 00:00:00 -0800 E7-548 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-548.pdf Notice - Privacy Act of 1974: Notice of Alteration to Two Existing Systems of Records https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-547.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-547.html Wed, 17 Jan 2007 00:00:00 -0800 E7-547 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-547.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-546.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-546.html Wed, 17 Jan 2007 00:00:00 -0800 E7-546 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-546.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-545.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-545.html Wed, 17 Jan 2007 00:00:00 -0800 E7-545 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-545.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ Stock Market LLC To Codify Sponsored Access Rule https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-543.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-543.html Wed, 17 Jan 2007 00:00:00 -0800 E7-543 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-543.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval to Proposed Rule Change To Codify a Fee Schedule for the Sale of Open and Close Volume Data on CBOE Listed Options by Market Data Express, LLC https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-540.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-540.html Wed, 17 Jan 2007 00:00:00 -0800 E7-540 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-540.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the National Association of Securities Dealers, Inc. https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-539.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-539.html Wed, 17 Jan 2007 00:00:00 -0800 E7-539 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-539.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Procedures for At-Risk Cross Transactions https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-538.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-538.html Wed, 17 Jan 2007 00:00:00 -0800 E7-538 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-538.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-536.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-536.html Wed, 17 Jan 2007 00:00:00 -0800 E7-536 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-536.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Relating to NYSE Rule 1300 (Gold Shares) and NYSE Rule 51 (Hours of Business) https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-535.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-535.html Wed, 17 Jan 2007 00:00:00 -0800 E7-535 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-535.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Relating to Exchange Rule 342 (“Offices-Approval, Supervision and Control”) https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-528.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-528.html Wed, 17 Jan 2007 00:00:00 -0800 E7-528 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-528.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change To Implement a Quote Mitigation Plan https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-526.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-526.html Wed, 17 Jan 2007 00:00:00 -0800 E7-526 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-526.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical and Grammatical Corrections to Rule 10308 https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-525.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-525.html Wed, 17 Jan 2007 00:00:00 -0800 E7-525 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-525.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Adopt an Appeal Fee https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-479.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-479.html Wed, 17 Jan 2007 00:00:00 -0800 E7-479 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-479.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Special Order Fees https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-478.html https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-478.html Wed, 17 Jan 2007 00:00:00 -0800 E7-478 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-478.pdf Notice - Pathways Group, Inc. (n/k/a Bicoastal Communications, Inc.); Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/01/17/07-159.html https://regulations.justia.com/regulations/fedreg/2007/01/17/07-159.html Wed, 17 Jan 2007 00:00:00 -0800 07-159 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/07-159.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/01/17/07-147.html https://regulations.justia.com/regulations/fedreg/2007/01/17/07-147.html Wed, 17 Jan 2007 00:00:00 -0800 07-147 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/07-147.pdf