Securities and Exchange Commission March 13, 2007 – Federal Register Recent Federal Regulation Documents

Hercules Technology Growth Capital, Inc., et al.; Notice of Application

Document Number: E7-4521

Type: Notice

Date: 2007-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4521.html

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Implementation Date of Previously Proposed Amendments to NASD Rules 4632(f) and 6130(e)

Document Number: E7-4508

Type: Notice

Date: 2007-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4508.html

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change as Modified by Amendment No. 1 To Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine Transaction Data

Document Number: E7-4507

Type: Notice

Date: 2007-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4507.html

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 to Assess a Fee for Unsuccessful Appeals Under Rule 11890

Document Number: E7-4506

Type: Notice

Date: 2007-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4506.html

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rules 1012 (General Provisions) and 1013 (New Member Application and Interview) To Require an Applicant for Membership To Submit an Application in the Manner Prescribed by NASD

Document Number: E7-4505

Type: Notice

Date: 2007-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4505.html

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes

Document Number: E7-4504

Type: Notice

Date: 2007-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4504.html

Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1, Relating to the Treatment of Limit Orders That Are Submitted to the Boston Options Exchange During a Price Improvement Period

Document Number: E7-4503

Type: Notice

Date: 2007-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4503.html

Proposed Collection; Comment Request

Document Number: E7-4463

Type: Notice

Date: 2007-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4463.html

Proposed Collection; Comment Request

Document Number: E7-4462

Type: Notice

Date: 2007-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4462.html

Proposed Collection; Comment Request

Document Number: E7-4461

Type: Notice

Date: 2007-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4461.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Amending Its Schedule of Fees and Charges in Order To Extend a Pilot Program for Option Strategy Executions for a Period of One Year

Document Number: E7-4460

Type: Notice

Date: 2007-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4460.html

Proposed Collection; Comment Request

Document Number: E7-4459

Type: Notice

Date: 2007-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4459.html

Proposed Collection; Comment Request