Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2007/03?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-18T20:08:52-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2007/03/30/E7-5870.htmlProposed Rule - Amendments to Regulation SHO2007-03-30T00:00:00-07:002007-03-30T00:00:00-07:00E7-5870Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-30/pdf/E7-5870.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5816.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to NYSE Rule 440A (“Telephone Solicitations”)2007-03-29T00:00:00-07:002007-03-29T00:00:00-07:00E7-5816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5816.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5815.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Class Quoting Limit in the Option Class Accredited Home Lenders Holding (LEND)2007-03-29T00:00:00-07:002007-03-29T00:00:00-07:00E7-5815Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5815.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5814.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin2007-03-29T00:00:00-07:002007-03-29T00:00:00-07:00E7-5814Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5814.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5753.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Approval of Fund Shares Deposited as Margin2007-03-29T00:00:00-07:002007-03-29T00:00:00-07:00E7-5753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5753.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5752.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Membership, Definitions, and the Electronic Pool Notification Service2007-03-29T00:00:00-07:002007-03-29T00:00:00-07:00E7-5752Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5752.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/29/07-1476.htmlProposed Rule - Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act2007-03-29T00:00:00-07:002007-03-29T00:00:00-07:0007-1476Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/07-1476.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5638.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Dissemination of Currency Spot Values2007-03-28T00:00:00-07:002007-03-28T00:00:00-07:00E7-5638Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5638.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5637.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective a Revised Plan for Allocation of Regulatory Responsibilities Between NYSE Arca, Inc. and the National Association of Securities Dealers, Inc.2007-03-28T00:00:00-07:002007-03-28T00:00:00-07:00E7-5637Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5637.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5610.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 3 to and Order Granting Accelerated Approval of Proposed Rule Change, as Amended, Relating to the Establishment of NYSE Bonds2007-03-28T00:00:00-07:002007-03-28T00:00:00-07:00E7-5610Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5610.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5592.htmlNotice - Proposed Collection; Comment Request2007-03-28T00:00:00-07:002007-03-28T00:00:00-07:00E7-5592Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5592.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5589.htmlRule - Technical Amendment to Regulation S-T2007-03-28T00:00:00-07:002007-03-28T00:00:00-07:00E7-5589Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5589.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5588.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Intermarket Sweep Orders2007-03-28T00:00:00-07:002007-03-28T00:00:00-07:00E7-5588Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5588.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5552.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 2 Thereto Relating to Order and Decorum Regulations2007-03-27T00:00:00-07:002007-03-27T00:00:00-07:00E7-5552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5552.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5551.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Orders With Two-Day Delivery2007-03-27T00:00:00-07:002007-03-27T00:00:00-07:00E7-5551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5551.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5550.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Its Minor Rule Violation Fine Systems2007-03-27T00:00:00-07:002007-03-27T00:00:00-07:00E7-5550Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5550.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5549.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to an Amendment to the Options Marketing Fee2007-03-27T00:00:00-07:002007-03-27T00:00:00-07:00E7-5549Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5549.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5548.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange's Auto-Quote Options Pricing Functionality2007-03-27T00:00:00-07:002007-03-27T00:00:00-07:00E7-5548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5548.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5547.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Odd Lot Fees for XLE Transactions2007-03-27T00:00:00-07:002007-03-27T00:00:00-07:00E7-5547Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5547.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5546.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Penny Increments for Block Mechanism Orders2007-03-27T00:00:00-07:002007-03-27T00:00:00-07:00E7-5546Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5546.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/26/E7-5423.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto To List for Trading Options on the Vanguard® Emerging Markets Exchange Traded Fund2007-03-26T00:00:00-07:002007-03-26T00:00:00-07:00E7-5423Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-26/pdf/E7-5423.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/26/E7-5422.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Amend the By-Laws of NASD To Implement Governance and Related Changes To Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.2007-03-26T00:00:00-07:002007-03-26T00:00:00-07:00E7-5422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-26/pdf/E7-5422.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5429.htmlNotice - Sunshine Act Meeting2007-03-23T00:00:00-07:002007-03-23T00:00:00-07:00E7-5429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5429.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5351.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Charged to the CDS Clearing and Depository Services, Inc.2007-03-23T00:00:00-07:002007-03-23T00:00:00-07:00E7-5351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5351.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5350.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Charged to the CDS Clearing and Depository Services, Inc.2007-03-23T00:00:00-07:002007-03-23T00:00:00-07:00E7-5350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5350.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5348.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade the Shares of the PowerShares DB U.S. Dollar Index Bullish Fund and the PowerShares DB U.S. Dollar Index Bearish Fund Pursuant to Unlisted Trading Privileges2007-03-23T00:00:00-07:002007-03-23T00:00:00-07:00E7-5348Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5348.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5316.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Trade Shares of the PowerShares DB U.S. Dollar Index Funds Pursuant to Unlisted Trading Privileges2007-03-23T00:00:00-07:002007-03-23T00:00:00-07:00E7-5316Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5316.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5315.htmlNotice - John Hancock Life Insurance Company, et al.2007-03-23T00:00:00-07:002007-03-23T00:00:00-07:00E7-5315Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5315.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5309.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Apply Non-BeX Executed Trade Fee Retroactively2007-03-23T00:00:00-07:002007-03-23T00:00:00-07:00E7-5309Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5309.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5308.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Early Inclusion of NYMEX Holdings, Inc. to the CBOE Exchange Index2007-03-23T00:00:00-07:002007-03-23T00:00:00-07:00E7-5308Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5308.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5206.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Reverse Mergers2007-03-22T00:00:00-07:002007-03-22T00:00:00-07:00E7-5206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5206.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5205.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Clarifying the Continued Listing Standards for Units2007-03-22T00:00:00-07:002007-03-22T00:00:00-07:00E7-5205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5205.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5191.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval of a Proposed Rule Change Amending Rules To Require Listed Companies To Make Securities Eligible for the Direct Registration System2007-03-22T00:00:00-07:002007-03-22T00:00:00-07:00E7-5191Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5191.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5190.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of a Proposed Rule Change Amending Rules To Require Securities Become Eligible for a Direct Registration System2007-03-22T00:00:00-07:002007-03-22T00:00:00-07:00E7-5190Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5190.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5189.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval of a Proposed Rule Change Amending Rules Relating to the Direct Registration System2007-03-22T00:00:00-07:002007-03-22T00:00:00-07:00E7-5189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5189.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5136.htmlNotice - Submission for OMB Review; Comment Request2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5136Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5136.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5133.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule To Make Technical and Updating Changes to Its Reconfirmation and Pricing Service2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5133Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5133.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5131.htmlNotice - Sunshine Act Meeting2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5131Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5131.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5117.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Linkage Order Fee2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5117Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5117.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5116.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Relating to Multiple Aggregation Units2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5116Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5116.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5115.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Add an Automatic Quote Cancellation Procedure to the Boston Options Exchange Rules2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5115Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5115.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5114.htmlNotice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Block Trades2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5114Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5114.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5089.htmlNotice - 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 Center2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5089Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5089.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5088.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Modify the Fee for Connecting to a Nasdaq Data Center Over the Internet2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5088Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5088.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5087.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Revise OPRA's Fee Schedule and its “Policies With Respect to Device-Based Fees”2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5087Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5087.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5086.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Adopt a Revised Form “Third Party Billing Agreement”2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5086Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5086.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5085.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto To Trade Shares of the PowerShares DB Energy Fund, the PowerShares DB Oil Fund, the PowerShares DB Precious Metals Fund, the PowerShares DB Gold Fund, the PowerShares DB Silver Fund, the PowerShares DB Base Metals Fund, and the PowerShares DB Agriculture Fund Pursuant to Unlisted Trading Privileges2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5085Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5085.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5084.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change as Modified by Amendment No. 1 To Modify an Aspect of the Definition of Independent Director2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5084Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5084.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5060.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees for Full Value Russell Index and Reduced Value Russell Index2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5060Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5060.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5059.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Charges for Equities, ETFs, and Nasdaq UTP Securities2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5059Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5059.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5058.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish a Data Entitlement Named “Depth Feed” Consisting of Data Feeds Nasdaq TotalView and Nasdaq OpenView, and To Establish a Distribution Charge for Depth Feed2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5058Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5058.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5057.htmlNotice - Proposed Collection; Comment Request2007-03-21T00:00:00-07:002007-03-21T00:00:00-07:00E7-5057Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5057.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/20/E7-5005.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change to Establish a Passive Price Improvement Order for Specialists and Registered Traders2007-03-20T00:00:00-07:002007-03-20T00:00:00-07:00E7-5005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-5005.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/20/E7-5003.htmlNotice - Order Regarding Review of FASB Accounting Support Fee For 2007 Under Section 109 of The Sarbanes-Oxley Act of 20022007-03-20T00:00:00-07:002007-03-20T00:00:00-07:00E7-5003Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-5003.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4978.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Charges for Equities and ETFs2007-03-20T00:00:00-07:002007-03-20T00:00:00-07:00E7-4978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4978.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4977.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Charges for Equities, ETFs, and Nasdaq UTP Securities2007-03-20T00:00:00-07:002007-03-20T00:00:00-07:00E7-4977Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4977.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4976.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Existing Fee Schedules2007-03-20T00:00:00-07:002007-03-20T00:00:00-07:00E7-4976Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4976.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4975.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Amendments to Registration Rules of NYSE Arca Equities, Inc.2007-03-20T00:00:00-07:002007-03-20T00:00:00-07:00E7-4975Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4975.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4974.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Amendments to Registration Rules of NYSE Arca, Inc2007-03-20T00:00:00-07:002007-03-20T00:00:00-07:00E7-4974Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4974.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4973.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin2007-03-20T00:00:00-07:002007-03-20T00:00:00-07:00E7-4973Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4973.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/19/Z7-4515.htmlNotice - Adoption of Alternative Arrangements Under the National Environmental Policy Act for New Orleans Hurricane and Storm Damage Reduction System2007-03-19T00:00:00-07:002007-03-19T00:00:00-07:00Z7-4515Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/Z7-4515.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/19/Z7-3916.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Port Fees as Modified by Amendment No. 12007-03-19T00:00:00-07:002007-03-19T00:00:00-07:00Z7-3916Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/Z7-3916.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4984.htmlNotice - Sunshine Act Meetings2007-03-19T00:00:00-07:002007-03-19T00:00:00-07:00E7-4984Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4984.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4899.htmlNotice - Submission for OMB Review; Comment Request2007-03-19T00:00:00-07:002007-03-19T00:00:00-07:00E7-4899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4899.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4898.htmlNotice - Submission for OMB Review; Comment Request2007-03-19T00:00:00-07:002007-03-19T00:00:00-07:00E7-4898Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4898.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4897.htmlNotice - Submission for OMB Review; Comment Request2007-03-19T00:00:00-07:002007-03-19T00:00:00-07:00E7-4897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4897.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4896.htmlNotice - Submissions for OMB Review; Comment Request2007-03-19T00:00:00-07:002007-03-19T00:00:00-07:00E7-4896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4896.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4895.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete From Section 804.00 of the Exchange's Listed Company Manual Text That Has Been Superseded2007-03-19T00:00:00-07:002007-03-19T00:00:00-07:00E7-4895Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4895.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4894.htmlNotice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Effective Date of Amendments to NASD's Order Audit Trail System Rules2007-03-19T00:00:00-07:002007-03-19T00:00:00-07:00E7-4894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4894.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4893.htmlNotice - Submission for OMB Review; Comment Request2007-03-19T00:00:00-07:002007-03-19T00:00:00-07:00E7-4893Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4893.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4693.htmlProposed Rule - Amendments to Financial Responsibility Rules for Broker-Dealers2007-03-19T00:00:00-07:002007-03-19T00:00:00-07:00E7-4693Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4693.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/19/C7-1163.htmlNotice - In the Matter of Certain Companies Quoted on the Pink Sheets: Advanced Powerline Technologies Inc.; America Asia Petroleum Corp.; Amerossi Int'l Group, Inc.; Apparel Manufacturing Associates, Inc.; Asgard Holdings Inc.; Biogenerics Ltd.; China Gold Corp.; CTR Investments & Consulting, Inc.; DC Brands International, Inc.; Equal Trading, Inc.; Equitable Mining Corp.; Espion International, Inc.; Goldmark Industries, Inc.; GroFeed Inc.; Healtheuniverse, Inc.; Interlink Global Corp.; Investigative Services Agencies, Inc.; iPackets International, Inc.; Koko Petroleum Inc.; Leatt Corporation; LOM Logistics, Inc.; Modern Energy Corp.; National Healthcare Logistics, Inc.; Presidents Financial Corp.; Red Truck Entertainment Inc.; Relay Capital Corp.; Rodedawg International Industries, Inc.; Rouchon Industries, Inc.; Software Effective Solutions Corp.; Solucorp Industries Ltd.; Sports-stuff.com Inc.; UBA Technology, Inc.; Wataire Industries Inc.; WayPoint Biomedical Holdings, Inc.; Wineco Productions Inc.; Order of Susp2007-03-19T00:00:00-07:002007-03-19T00:00:00-07:00C7-1163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/C7-1163.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4892.htmlNotice - Roundtable on Interactive Data: Creating Interactive Data To Serve Investors2007-03-16T00:00:00-07:002007-03-16T00:00:00-07:00E7-4892Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4892.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4818.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto Relating to Cancellation Fees2007-03-16T00:00:00-07:002007-03-16T00:00:00-07:00E7-4818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4818.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4817.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 To Increase the Class Quoting Limit in the Option Class InterContinental Exchange, Inc. (ICE)2007-03-16T00:00:00-07:002007-03-16T00:00:00-07:00E7-4817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4817.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4815.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Expansion of Business Activities of Archipelago Securities, L.L.C.2007-03-16T00:00:00-07:002007-03-16T00:00:00-07:00E7-4815Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4815.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4814.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Daily Share Volume Service and Fees for the Service2007-03-16T00:00:00-07:002007-03-16T00:00:00-07:00E7-4814Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4814.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4813.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Individual Investor Express Delivery Service2007-03-16T00:00:00-07:002007-03-16T00:00:00-07:00E7-4813Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4813.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4812.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Two Pilot Programs That Allow RMMs and e-DPMs to Have up to One Affiliated Market-Maker Physically Present in the Trading Crowd2007-03-16T00:00:00-07:002007-03-16T00:00:00-07:00E7-4812Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4812.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4811.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Incorporate Full Depth of the Nasdaq Quoting of NYSE- and Amex-Listed Stocks into the TotalView Entitlement and Modify the User Fee Schedule for TotalView Data, and To Replace Nasdaq OpenView To Provide the Individual Nasdaq Market Participants' Best Bids and Offers in NYSE- and Amex-Listed Stocks2007-03-16T00:00:00-07:002007-03-16T00:00:00-07:00E7-4811Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4811.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4787.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Fees for Round-Lot Transactions in NYSE-Listed Securities (Other Than ETFs) Routed Outside the Book2007-03-16T00:00:00-07:002007-03-16T00:00:00-07:00E7-4787Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4787.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4786.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Waive Certain Listing Fees2007-03-16T00:00:00-07:002007-03-16T00:00:00-07:00E7-4786Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4786.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4785.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 To Increase the Class Quoting Limit in the Option Class Baidu.com, Inc. (BIDU)2007-03-16T00:00:00-07:002007-03-16T00:00:00-07:00E7-4785Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4785.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4784.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an ISE Stock Exchange Fee Waiver2007-03-16T00:00:00-07:002007-03-16T00:00:00-07:00E7-4784Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4784.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4783.htmlNotice - Joint Industry Plan; Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 22 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage, and Notice of Filing of Such Amendment2007-03-16T00:00:00-07:002007-03-16T00:00:00-07:00E7-4783Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4783.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4758.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change as amended, to Amend Certain of its Rules to Provide for the Listing and Trading of Options on the CBOE Russell 2000 Volatility Indexsm2007-03-15T00:00:00-07:002007-03-15T00:00:00-07:00E7-4758Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4758.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4747.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Amendment Nos. 2 and 3 to Proposed Rule Change Relating to Generic Listing Standards for Series of Portfolio Depositary Receipts and Index Fund Shares Based on Fixed Income Indexes and Accelerated Approval of Proposed Rule Change as Amended2007-03-15T00:00:00-07:002007-03-15T00:00:00-07:00E7-4747Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4747.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4722.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Amendment No. 3 to the Proposed Rule Change, and Order Granting Accelerated Approval of Proposed Rule Change as Amended, Relating to a Philadelphia Board of Trade Enterprise License Fee for Dissemination of Certain Market Data2007-03-15T00:00:00-07:002007-03-15T00:00:00-07:00E7-4722Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4722.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4721.htmlNotice - Vanguard Bond Index Funds, et al.; Notice of Application2007-03-15T00:00:00-07:002007-03-15T00:00:00-07:00E7-4721Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4721.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4692.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Exemption from Certain of the Exchange's Shareholder Approval Requirements for Limited Partnerships2007-03-15T00:00:00-07:002007-03-15T00:00:00-07:00E7-4692Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4692.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4691.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Rule 2113 (Long and Short Sales)2007-03-15T00:00:00-07:002007-03-15T00:00:00-07:00E7-4691Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4691.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4633.htmlNotice - The RBB Fund, Inc. and Abundance Technologies, Inc.; Notice of Application2007-03-14T00:00:00-07:002007-03-14T00:00:00-07:00E7-4633Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-14/pdf/E7-4633.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4589.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Class Quoting Limit in the Option Class NYSE Group, Inc. (NYX)2007-03-14T00:00:00-07:002007-03-14T00:00:00-07:00E7-4589Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-14/pdf/E7-4589.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4588.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges2007-03-14T00:00:00-07:002007-03-14T00:00:00-07:00E7-4588Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-14/pdf/E7-4588.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4587.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Waive Certain Listing Fees2007-03-14T00:00:00-07:002007-03-14T00:00:00-07:00E7-4587Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-14/pdf/E7-4587.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4521.htmlNotice - Hercules Technology Growth Capital, Inc., et al.; Notice of Application2007-03-13T00:00:00-07:002007-03-13T00:00:00-07:00E7-4521Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4521.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4508.htmlNotice - 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)2007-03-13T00:00:00-07:002007-03-13T00:00:00-07:00E7-4508Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4508.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4507.htmlNotice - 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 Data2007-03-13T00:00:00-07:002007-03-13T00:00:00-07:00E7-4507Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4507.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4506.htmlNotice - 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 118902007-03-13T00:00:00-07:002007-03-13T00:00:00-07:00E7-4506Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4506.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4505.htmlNotice - 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 NASD2007-03-13T00:00:00-07:002007-03-13T00:00:00-07:00E7-4505Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4505.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4504.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2007-03-13T00:00:00-07:002007-03-13T00:00:00-07:00E7-4504Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4504.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4503.htmlNotice - 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 Period2007-03-13T00:00:00-07:002007-03-13T00:00:00-07:00E7-4503Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4503.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4463.htmlNotice - Proposed Collection; Comment Request2007-03-13T00:00:00-07:002007-03-13T00:00:00-07:00E7-4463Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4463.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4462.htmlNotice - Proposed Collection; Comment Request2007-03-13T00:00:00-07:002007-03-13T00:00:00-07:00E7-4462Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4462.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4461.htmlNotice - Proposed Collection; Comment Request2007-03-13T00:00:00-07:002007-03-13T00:00:00-07:00E7-4461Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4461.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4460.htmlNotice - 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 Year2007-03-13T00:00:00-07:002007-03-13T00:00:00-07:00E7-4460Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4460.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4459.htmlNotice - Proposed Collection; Comment Request2007-03-13T00:00:00-07:002007-03-13T00:00:00-07:00E7-4459Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4459.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4458.htmlNotice - Proposed Collection; Comment Request2007-03-13T00:00:00-07:002007-03-13T00:00:00-07:00E7-4458Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4458.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/13/07-1163.htmlNotice - In the Matter of Certain Companies Quoted on the Pink Sheets: Order of Suspension of Trading2007-03-13T00:00:00-07:002007-03-13T00:00:00-07:0007-1163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/07-1163.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4328.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Directed Order Type2007-03-12T00:00:00-07:002007-03-12T00:00:00-07:00E7-4328Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4328.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4327.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 123D (Openings and Halts In Trading)2007-03-12T00:00:00-07:002007-03-12T00:00:00-07:00E7-4327Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4327.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4326.htmlNotice - Intermarket Trading System; Notice of Filing and Immediate Effectiveness of the Twenty Fourth Amendment to the ITS Plan Relating to the Elimination of the ITS Plan2007-03-12T00:00:00-07:002007-03-12T00:00:00-07:00E7-4326Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4326.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4325.htmlNotice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the CHX Fee Schedule on a Retroactive Basis to Clarify the Application of a Credit Against Specialist Fixed Fees2007-03-12T00:00:00-07:002007-03-12T00:00:00-07:00E7-4325Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4325.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4293.htmlNotice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; New York Stock Exchange LLC; American Stock Exchange LLC; Order Approving Proposed Rule Changes To Increase the Frequency of the Short Interest Reporting Requirements2007-03-12T00:00:00-07:002007-03-12T00:00:00-07:00E7-4293Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4293.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4292.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fees for the CBOE Stock Exchange2007-03-12T00:00:00-07:002007-03-12T00:00:00-07:00E7-4292Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4292.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4291.htmlNotice - SA Investment Partners LLC, et al.2007-03-12T00:00:00-07:002007-03-12T00:00:00-07:00E7-4291Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4291.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4219.htmlNotice - Proposed Collection; Comment Request2007-03-09T00:00:00-08:002007-03-09T00:00:00-08:00E7-4219Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4219.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4193.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Trading of 16 Commodity-Related Securities Pursuant to Unlisted Trading Privileges on a Pilot Basis2007-03-09T00:00:00-08:002007-03-09T00:00:00-08:00E7-4193Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4193.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4192.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade iShares Silver Trust Pursuant to Unlisted Trading Privileges2007-03-09T00:00:00-08:002007-03-09T00:00:00-08:00E7-4192Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4192.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4191.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Request Permanent Approval of a Pilot Program Relating to Market-Makers Quoting Remotely2007-03-09T00:00:00-08:002007-03-09T00:00:00-08:00E7-4191Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4191.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4190.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Revising the AEMI and AEMI-One Rules Relating to Portfolio Depositary Receipts and Index Fund Shares2007-03-09T00:00:00-08:002007-03-09T00:00:00-08:00E7-4190Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4190.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4189.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collateral Management Service2007-03-09T00:00:00-08:002007-03-09T00:00:00-08:00E7-4189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4189.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4188.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New York Governing Law2007-03-09T00:00:00-08:002007-03-09T00:00:00-08:00E7-4188Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4188.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4187.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To Retroactively Reduce Fees for Nasdaq's Risk Management Service2007-03-09T00:00:00-08:002007-03-09T00:00:00-08:00E7-4187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4187.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4186.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 15A.50 Clarifying the Circumstances Under Which the Exchange Will Automatically Route Orders to Other Market Centers to Prevent Trade-Throughs, and Rename Rule 15A2007-03-09T00:00:00-08:002007-03-09T00:00:00-08:00E7-4186Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4186.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4185.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rules 4632C and 4632D To Reflect “As/Of” Trade Reporting and the Automated Reporting of Trade Cancellations to the NASD/NSX and NASD/BSE Trade Reporting Facilities2007-03-09T00:00:00-08:002007-03-09T00:00:00-08:00E7-4185Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4185.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4125.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Relating to the Establishment of CBOE Stock Exchange, LLC2007-03-08T00:00:00-08:002007-03-08T00:00:00-08:00E7-4125Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4125.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4124.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendment No. 1 Relating to Its Non-option Security Trading Rules2007-03-08T00:00:00-08:002007-03-08T00:00:00-08:00E7-4124Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4124.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4056.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Participant2007-03-08T00:00:00-08:002007-03-08T00:00:00-08:00E7-4056Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4056.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4055.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Participant2007-03-08T00:00:00-08:002007-03-08T00:00:00-08:00E7-4055Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4055.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4054.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Member2007-03-08T00:00:00-08:002007-03-08T00:00:00-08:00E7-4054Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4054.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4053.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend CBOE Rules Relating to CBOE's Determination to Trade Options on the S&P 100 (XEO) on the Hybrid 2.0 Platform2007-03-08T00:00:00-08:002007-03-08T00:00:00-08:00E7-4053Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4053.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/08/07-1105.htmlNotice - Sunshine Act Meeting2007-03-08T00:00:00-08:002007-03-08T00:00:00-08:0007-1105Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/07-1105.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4042.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Re-Price Orders2007-03-07T00:00:00-08:002007-03-07T00:00:00-08:00E7-4042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4042.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4041.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Relating to the Boston Options Exchange's Minor Rule Violation Plan2007-03-07T00:00:00-08:002007-03-07T00:00:00-08:00E7-4041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4041.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4040.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to the Listing and Trading of Units of the United States Natural Gas Fund, LP2007-03-07T00:00:00-08:002007-03-07T00:00:00-08:00E7-4040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4040.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4039.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the AEMI and AEMI-One Rules Relating to the Publishing of Manual Quotations and Re-Enabling Auto-Ex2007-03-07T00:00:00-08:002007-03-07T00:00:00-08:00E7-4039Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4039.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4038.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Trading of the iShares COMEX Gold Trust Pursuant to Unlisted Trading Privileges2007-03-07T00:00:00-08:002007-03-07T00:00:00-08:00E7-4038Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4038.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3952.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Alternative Display Facility Quotation Update Fee2007-03-07T00:00:00-08:002007-03-07T00:00:00-08:00E7-3952Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3952.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3932.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule To Interpret Rule 5 Section 6 of the Government Securities Division Rules2007-03-07T00:00:00-08:002007-03-07T00:00:00-08:00E7-3932Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3932.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3931.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving Proposed Rule Change as Modified by Amendment Nos. 1, 2, and 3 Thereto Relating to Electronically Submitted Limit Orders2007-03-07T00:00:00-08:002007-03-07T00:00:00-08:00E7-3931Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3931.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3916.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Port Fees as Modified by Amendment No. 12007-03-07T00:00:00-08:002007-03-07T00:00:00-08:00E7-3916Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3916.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3883.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Arca Marketplace Trading Sessions2007-03-07T00:00:00-08:002007-03-07T00:00:00-08:00E7-3883Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3883.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/06/E7-3837.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the National Association of Securities Dealers, Inc.2007-03-06T00:00:00-08:002007-03-06T00:00:00-08:00E7-3837Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-06/pdf/E7-3837.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/06/E7-3795.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 2 Thereto Relating to NYSE Rules 134 and 4112007-03-06T00:00:00-08:002007-03-06T00:00:00-08:00E7-3795Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-06/pdf/E7-3795.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3784.htmlNotice - BLDRS Index Funds Trust, et al.; Notice of Application2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3784Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3784.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3773.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Credit Default Options2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3773Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3773.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3772.htmlNotice - Liberty All-Star Equity Fund, et al.; Notice of Application2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3772Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3772.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3763.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Dividend, Merger, and Short Stock Interest Strategies Fee Cap Program2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3763.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3762.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Filing Documents Pursuant to the Corporate Financing Rule2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3762Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3762.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3753.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Change to the Trading Phase Date2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3753.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3752.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Dividend, Merger and Short Stock Interest Strategies Fee Cap Pilot Program2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3752Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3752.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3751.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq's 7000 Series Rules2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3751Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3751.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3750.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Approval of Fee for NYSE Real-Time Trade Prices2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3750Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3750.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3749.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Permit Trading Pursuant to Unlisted Trading Privileges of Shares of 93 Funds of the Proshares Trust2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3749Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3749.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3748.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Amendment No. 3 to and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment Nos. 2 and 3 Thereto To Expand the Scope of IM-2110-2 Relating To Trading Ahead of Customer Limit Orders To Apply to All OTC Equity Securities2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3748Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3748.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3747.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Revise Stock Futures Adjustment Methodology2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3747Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3747.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3746.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto To Provide for an Optional Exchange-Provided Fingerprinting Service and To Amend Its Member Fees To Include a Processing Fee for the Fingerprinting Service2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3746Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3746.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3745.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Standard Position and Exercise Limit Pilot Program2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3745Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3745.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3744.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes to the Rules Relating to the NASD/NSX TRF, NASD/BSE TRF, and NASD/NYSE TRF Consistent With the New Requirements of Regulation NMS2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3744Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3744.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3743.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3743Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3743.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3742.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 2 Thereto To Trade Certain CurrencyShares Trusts Pursuant to Unlisted Trading Privileges2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3742Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3742.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3741.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Section 703.16 of the NYSE Listed Company Manual To Eliminate Requirement Regarding Index Calculation Methodology2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3741Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3741.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3740.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Operative Date of Rules Relating to Regulation NMS2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3740.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3739.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Amend Existing Rules for Investment Company Units2007-03-05T00:00:00-08:002007-03-05T00:00:00-08:00E7-3739Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3739.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/02/E7-3677.htmlNotice - NASDAQ-100 Trust, Series 1, et al.2007-03-02T00:00:00-08:002007-03-02T00:00:00-08:00E7-3677Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-02/pdf/E7-3677.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/02/E7-3670.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To List and Trade Nine Series of Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of Sub-Indices of the Dow Jones-AIG Commodity IndexSM2007-03-02T00:00:00-08:002007-03-02T00:00:00-08:00E7-3670Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-02/pdf/E7-3670.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/02/E7-3645.htmlNotice - Roundtable on International Financial Reporting Standards “Roadmap”2007-03-02T00:00:00-08:002007-03-02T00:00:00-08:00E7-3645Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-02/pdf/E7-3645.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3563.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing LEAPS Pursuant to the $2.50 Strike Price Program2007-03-01T00:00:00-08:002007-03-01T00:00:00-08:00E7-3563Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3563.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3558.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Foreign Currency Options2007-03-01T00:00:00-08:002007-03-01T00:00:00-08:00E7-3558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3558.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3556.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto Relating to NYSE Rule 116 (“Stop” Constitutes Guarantee) and NYSE Rule 123B (Exchange Automated Order Routing Systems)2007-03-01T00:00:00-08:002007-03-01T00:00:00-08:00E7-3556Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3556.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3555.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402007-03-01T00:00:00-08:002007-03-01T00:00:00-08:00E7-3555Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3555.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3554.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Date for Compliance With Regulation NMS2007-03-01T00:00:00-08:002007-03-01T00:00:00-08:00E7-3554Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3554.pdfhttps://regulations.justia.com/regulations/fedreg/2007/03/01/07-917.htmlProposed Rule - Proposed Rule Changes of Self-Regulatory Organizations2007-03-01T00:00:00-08:002007-03-01T00:00:00-08:0007-917Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/07-917.pdf