<![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/2007/01/25?registers=between Sun, 22 Dec 2024 11:28:09 -0800 Sun, 22 Dec 2024 11:28:09 -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/2007/01/25?registers=between Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Amending Associate Member Fees https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1110.html https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1110.html Thu, 25 Jan 2007 00:00:00 -0800 E7-1110 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1110.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.: Order Approving Proposed Rule Change; American Stock Exchange LLC; Chicago Board Options Exchange, Incorporated; and NYSEArca, Inc.: Order Granting Accelerated Approval to Proposed Rule Changes; and Boston Stock Exchange, Inc.: Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to the Definition of “Complex Trade” as Applied to Trades Through the Options Intermarket Linkage https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1109.html https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1109.html Thu, 25 Jan 2007 00:00:00 -0800 E7-1109 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1109.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Amendment No. 6 and Order Granting Accelerated Approval to Proposed Rule Change Relating to the Release of Information Through NASD's BrokerCheck https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1108.html https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1108.html Thu, 25 Jan 2007 00:00:00 -0800 E7-1108 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1108.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change Relating To Returning Excess Clearing Fund Collateral https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1107.html https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1107.html Thu, 25 Jan 2007 00:00:00 -0800 E7-1107 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1107.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for Nasdaq Members Using the Nasdaq Market Center https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1105.html https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1105.html Thu, 25 Jan 2007 00:00:00 -0800 E7-1105 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1105.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of a Previous Rule Change Relating to Information Contained in a Directed Order on the Boston Options Exchange https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1103.html https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1103.html Thu, 25 Jan 2007 00:00:00 -0800 E7-1103 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1103.pdf Notice - Hercules Technology Growth Capital, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1061.html https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1061.html Thu, 25 Jan 2007 00:00:00 -0800 E7-1061 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1061.pdf Notice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Relating to the Application of NASD Rule 2790 to Issuer-Directed Securities https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1060.html https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1060.html Thu, 25 Jan 2007 00:00:00 -0800 E7-1060 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1060.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Accelerate the Expiration Date of American-Style Equity Options That Have Been Adjusted To Call for Cash-Only Delivery https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1059.html https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1059.html Thu, 25 Jan 2007 00:00:00 -0800 E7-1059 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1059.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Trade Shares of 81 Funds of the ProShares Trust Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1058.html https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1058.html Thu, 25 Jan 2007 00:00:00 -0800 E7-1058 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1058.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendments No. 1 and 2 Thereto Relating to the Listing and Trading of Shares of Funds of the ProShares Trust https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1057.html https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1057.html Thu, 25 Jan 2007 00:00:00 -0800 E7-1057 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1057.pdf