<![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/2007/03/13?registers=between Thu, 17 Jul 2025 23:13:04 -0700 Thu, 17 Jul 2025 23:13:04 -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/2007/03/13?registers=between Notice - Hercules Technology Growth Capital, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4521.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4521.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4521 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4521.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4508.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4508.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4508 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4508.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4507.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4507.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4507 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4507.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4506.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4506.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4506 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4506.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4505.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4505.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4505 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4505.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4504.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4504.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4504 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4504.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4503.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4503.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4503 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4503.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4463.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4463.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4463 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4463.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4462.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4462.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4462 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4462.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4461.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4461.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4461 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4461.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4460.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4460.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4460 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4460.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4459.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4459.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4459 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4459.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4458.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4458.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4458 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4458.pdf Notice - In the Matter of Certain Companies Quoted on the Pink Sheets: Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/03/13/07-1163.html https://regulations.justia.com/regulations/fedreg/2007/03/13/07-1163.html Tue, 13 Mar 2007 00:00:00 -0700 07-1163 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/07-1163.pdf