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/2007/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-10T18:01:01-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10405.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Order Audit Trail System2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10405Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10405.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10404.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 92 (Limitations on Members' Trading Because of Customers' Orders)2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10404Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10404.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10403.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Creating NASD Rule 1160 (Firm Contact Information) Regarding the Reporting and Annual Review of Designated Contact Information to NASD2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10403Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10403.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10378.htmlNotice - Proposed Collection; Comment Request2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10378Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10378.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10377.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Liquidity Provider Rebate Program for Transactions Executed Through NSX BLADE in Which the Order Delivery Mode of Interaction Has Been Selected2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10377Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10377.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10376.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Extension of a Pilot Concerning the Exchange's Directed Order Program2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10376.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10375.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Approving Proposed Rule Change Regarding the Annual Certification of Compliance and Supervisory Processes2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10375.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10374.htmlNotice - Proposed Collection; Comment Request2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10374Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10374.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10364.htmlNotice - First Investors Equity Funds, et al.; Notice of Application2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10364Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10364.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/29/E7-10288.htmlNotice - Sunshine Act Meeting.2007-05-29T00:00:00-07:002007-05-29T00:00:00-07:00E7-10288Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-29/pdf/E7-10288.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/29/E7-10208.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Trading a Class of Options Without Designating a Lead Market Maker2007-05-29T00:00:00-07:002007-05-29T00:00:00-07:00E7-10208Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-29/pdf/E7-10208.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/29/E7-10207.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change to Modify the Distributor Fee for Nasdaq Index Weighting Information2007-05-29T00:00:00-07:002007-05-29T00:00:00-07:00E7-10207Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-29/pdf/E7-10207.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/29/E7-10206.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Amend NYSE Rule 80A.40(b) To Update the Definition of “Program Trading,” To Substitute Simplified Audit Trail Requirements, and To Make Conforming Amendments to NYSE Rule 410B2007-05-29T00:00:00-07:002007-05-29T00:00:00-07:00E7-10206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-29/pdf/E7-10206.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/29/E7-10205.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Amend CBOE's Membership Application Procedures2007-05-29T00:00:00-07:002007-05-29T00:00:00-07:00E7-10205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-29/pdf/E7-10205.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/29/E7-10201.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change Relating to Amendments to Rule G-27, on Supervision, Rule G-8, on Recordkeeping, and Rule G-9, on Record Retention2007-05-29T00:00:00-07:002007-05-29T00:00:00-07:00E7-10201Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-29/pdf/E7-10201.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/29/E7-10200.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed Rule Change to Exempt Limited Partnerships From Certain of its Shareholder Approval Rules2007-05-29T00:00:00-07:002007-05-29T00:00:00-07:00E7-10200Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-29/pdf/E7-10200.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/29/E7-10196.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Close-Out Netting Procedures2007-05-29T00:00:00-07:002007-05-29T00:00:00-07:00E7-10196Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-29/pdf/E7-10196.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/29/E7-10195.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Generic Listing Standards for Index-Linked Securities and Adopt New Generic Listing Standards for Commodity-Linked Securities and Currency-Linked Securities2007-05-29T00:00:00-07:002007-05-29T00:00:00-07:00E7-10195Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-29/pdf/E7-10195.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/24/E7-10038.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to the Trade Units of the United States Natural Gas Fund, LP Pursuant to Unlisted Trading Privileges2007-05-24T00:00:00-07:002007-05-24T00:00:00-07:00E7-10038Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-24/pdf/E7-10038.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/24/E7-10034.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Establish Generic Listing Standards for Exchange-Traded Funds Based on Fixed Income Indexes and Order Granting Accelerated Approval of Proposed Rule Change as Amended2007-05-24T00:00:00-07:002007-05-24T00:00:00-07:00E7-10034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-24/pdf/E7-10034.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/24/E7-10008.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Delivery2007-05-24T00:00:00-07:002007-05-24T00:00:00-07:00E7-10008Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-24/pdf/E7-10008.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/23/E7-9876.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Odd-lot and Mixed-lot Orders To Be Sent To the Boston Equities Exchange2007-05-23T00:00:00-07:002007-05-23T00:00:00-07:00E7-9876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-23/pdf/E7-9876.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/23/E7-9874.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Generic Listing Standards for Series of Investment Company Units Based on Fixed Income Indexes and Order Granting Accelerated Approval of Proposed Rule Change as Amended2007-05-23T00:00:00-07:002007-05-23T00:00:00-07:00E7-9874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-23/pdf/E7-9874.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/23/E7-9856.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Closing Auctions for Securities Similar to Exchange-Traded Funds2007-05-23T00:00:00-07:002007-05-23T00:00:00-07:00E7-9856Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-23/pdf/E7-9856.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/23/E7-9855.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Appointment of Market Makers2007-05-23T00:00:00-07:002007-05-23T00:00:00-07:00E7-9855Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-23/pdf/E7-9855.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/23/E7-9854.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Notes Linked to the Performance of the Dow Jones-AIG Commodity Index Total Return2007-05-23T00:00:00-07:002007-05-23T00:00:00-07:00E7-9854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-23/pdf/E7-9854.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/23/E7-9833.htmlProposed Rule - Amendments to Financial Responsibility Rules for Broker-Dealers2007-05-23T00:00:00-07:002007-05-23T00:00:00-07:00E7-9833Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-23/pdf/E7-9833.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/22/E7-9809.htmlNotice - Proposed Collection; Comment Request2007-05-22T00:00:00-07:002007-05-22T00:00:00-07:00E7-9809Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-22/pdf/E7-9809.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/22/E7-9808.htmlNotice - Proposed Collection; Comment Request2007-05-22T00:00:00-07:002007-05-22T00:00:00-07:00E7-9808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-22/pdf/E7-9808.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/22/E7-9807.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Implementation of a “Holdback Timer”2007-05-22T00:00:00-07:002007-05-22T00:00:00-07:00E7-9807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-22/pdf/E7-9807.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/22/E7-9806.htmlNotice - Proposed Collection; Comment Request2007-05-22T00:00:00-07:002007-05-22T00:00:00-07:00E7-9806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-22/pdf/E7-9806.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/22/E7-9779.htmlNotice - Sunshine Act Meeting2007-05-22T00:00:00-07:002007-05-22T00:00:00-07:00E7-9779Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-22/pdf/E7-9779.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/22/E7-9762.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Ability To Receive Transaction Data From Trade Reporting Facilities That Are Facilities of a Self-Regulatory Organization2007-05-22T00:00:00-07:002007-05-22T00:00:00-07:00E7-9762Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-22/pdf/E7-9762.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/22/E7-9742.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Interpretive Material to NASD Rule 3060 To Require Members To Adopt Policies and Procedures Addressing Business Entertainment2007-05-22T00:00:00-07:002007-05-22T00:00:00-07:00E7-9742Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-22/pdf/E7-9742.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/22/E7-9741.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASD's Exemptive Authority Relating to Regulation NMS Trade Reporting Requirements2007-05-22T00:00:00-07:002007-05-22T00:00:00-07:00E7-9741Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-22/pdf/E7-9741.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/22/E7-9740.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto To Trade the United States Oil Fund, LP Pursuant to Unlisted Trading Privileges2007-05-22T00:00:00-07:002007-05-22T00:00:00-07:00E7-9740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-22/pdf/E7-9740.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/22/E7-9739.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Three iPath Exchange-Traded Notes Pursuant to Unlisted Trading Privileges2007-05-22T00:00:00-07:002007-05-22T00:00:00-07:00E7-9739Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-22/pdf/E7-9739.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/22/E7-9738.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Shares of the PowerShares DB Commodity Index Tracking Fund Pursuant to Unlisted Trading Privileges2007-05-22T00:00:00-07:002007-05-22T00:00:00-07:00E7-9738Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-22/pdf/E7-9738.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/21/E7-9743.htmlNotice - Sunshine Act Meetings2007-05-21T00:00:00-07:002007-05-21T00:00:00-07:00E7-9743Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-21/pdf/E7-9743.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/21/E7-9668.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed New Rule 350A (“Business Entertainment”) Concerning Policies and Procedures Addressing Business Entertainment2007-05-21T00:00:00-07:002007-05-21T00:00:00-07:00E7-9668Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-21/pdf/E7-9668.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/21/E7-9667.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 13 (Definitions of Orders) To Establish the New Order Type Called Do Not Ship2007-05-21T00:00:00-07:002007-05-21T00:00:00-07:00E7-9667Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-21/pdf/E7-9667.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/21/E7-9664.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC.; Order Approving Proposed Rule Change Relating to Information Regarding Customer Interest on the Book2007-05-21T00:00:00-07:002007-05-21T00:00:00-07:00E7-9664Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-21/pdf/E7-9664.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/21/E7-9659.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Method By Which Specialists on the Exchange Execute Odd-Lot Market Orders Under Rule 205-AEMI2007-05-21T00:00:00-07:002007-05-21T00:00:00-07:00E7-9659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-21/pdf/E7-9659.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/18/E7-9574.htmlNotice - Proposed Collection; Comment Request2007-05-18T00:00:00-07:002007-05-18T00:00:00-07:00E7-9574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-18/pdf/E7-9574.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/18/E7-9573.htmlNotice - Proposed Collection; Comment Request2007-05-18T00:00:00-07:002007-05-18T00:00:00-07:00E7-9573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-18/pdf/E7-9573.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/18/E7-9572.htmlNotice - Proposed Collection; Comment Request2007-05-18T00:00:00-07:002007-05-18T00:00:00-07:00E7-9572Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-18/pdf/E7-9572.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/18/E7-9571.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Extension of the Pilot Period Applicable to CBOE's Listing and Trading of Options on the iShares MSCI Emerging Markets Index Fund2007-05-18T00:00:00-07:002007-05-18T00:00:00-07:00E7-9571Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-18/pdf/E7-9571.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/18/E7-9570.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Amending the Required Number of Letters of Reference an Applicant Must Provide2007-05-18T00:00:00-07:002007-05-18T00:00:00-07:00E7-9570Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-18/pdf/E7-9570.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/18/E7-9569.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 Chicago Board Options Exchange, Incorporated and the National Association of Securities Dealers, Inc.2007-05-18T00:00:00-07:002007-05-18T00:00:00-07:00E7-9569Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-18/pdf/E7-9569.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/18/E7-9568.htmlNotice - Proposed Collection; Comment Request2007-05-18T00:00:00-07:002007-05-18T00:00:00-07:00E7-9568Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-18/pdf/E7-9568.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9501.htmlNotice - Self-Regulatory Organization; Chicago Mercantile Exchange; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Listing Standards for Security Futures Products2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9501Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9501.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9500.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Conforming Certain Rules With Comparable NASD Rules2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9500Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9500.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9478.htmlNotice - Lincoln Variable Insurance Products Trust, et al.2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9478Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9478.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9471.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting Obligations for Transactions in Foreign Equity Securities2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9471Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9471.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9470.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade Certain iShares MSCI International Index Funds Pursuant to UTP2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9470Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9470.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9469.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade the SPDR DJ Global Titans ETF Pursuant to UTP2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9469Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9469.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9468.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade the iShares MSCI Canada Index Fund Pursuant to UTP2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9468Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9468.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9467.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade Claymore MACROshares Oil Up Tradeable Shares and Claymore MACROshares Oil Down Tradeable Shares Pursuant to Unlisted Trading Privileges2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9467Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9467.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9466.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade Shares of the PowerShares DB G10 Currency Harvest Fund Pursuant to Unlisted Trading Privileges2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9466Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9466.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9465.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 No. 1 to Trade the iShares MSCI Index Funds and the S&P Europe 350 Index Fund Pursuant to UTP2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9465Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9465.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9464.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade the streetTRACKS Gold Shares Fund Pursuant to Unlisted Trading Privileges2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9464Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9464.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9439.htmlNotice - Self-Regulatory Organizations; NYSE Arca Inc.; Order Approving a Proposed Rule Change to Waive Certain Listing Fees2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9439Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9439.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9438.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; 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 the Waiver of Certain Listing Fees2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9438Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9438.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/17/E7-9437.htmlNotice - Joint Industry Plan; Order Approving 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 Linkage2007-05-17T00:00:00-07:002007-05-17T00:00:00-07:00E7-9437Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-17/pdf/E7-9437.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/16/E7-9433.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Amendment Nos. 1 and 2 to, and Order Granting Accelerated Approval of, a Proposed Rule Change as Modified by Amendment Nos. 1 and 2 To Require the Provision of Certain Information About the Securities Investor Protection Corporation to Customers2007-05-16T00:00:00-07:002007-05-16T00:00:00-07:00E7-9433Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-16/pdf/E7-9433.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/16/E7-9412.htmlNotice - Proposed Collection; Comment Request2007-05-16T00:00:00-07:002007-05-16T00:00:00-07:00E7-9412Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-16/pdf/E7-9412.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/16/E7-9411.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To Waive 2007 Annual Listing Fees for Certain Dually-Listed Issuers Who Delist During 20072007-05-16T00:00:00-07:002007-05-16T00:00:00-07:00E7-9411Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-16/pdf/E7-9411.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/16/E7-9372.htmlNotice - Proposed Collection; Comment Request2007-05-16T00:00:00-07:002007-05-16T00:00:00-07:00E7-9372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-16/pdf/E7-9372.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/16/E7-9371.htmlNotice - Self-Regulatory Organization; National Futures Association; Notice of Filing and Immediate Effectiveness of a Proposed Interpretive Notice to Compliance Rule 2-4 Regarding Disclosure Guidelines for FCMs Offering Sweep Accounts2007-05-16T00:00:00-07:002007-05-16T00:00:00-07:00E7-9371Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-16/pdf/E7-9371.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/16/E7-9370.htmlNotice - Submission for OMB Review; Comment Request2007-05-16T00:00:00-07:002007-05-16T00:00:00-07:00E7-9370Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-16/pdf/E7-9370.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/16/E7-9369.htmlNotice - Submission for OMB Review; Comment Request2007-05-16T00:00:00-07:002007-05-16T00:00:00-07:00E7-9369Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-16/pdf/E7-9369.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/16/E7-9368.htmlNotice - Submission for OMB Review; Comment Request2007-05-16T00:00:00-07:002007-05-16T00:00:00-07:00E7-9368Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-16/pdf/E7-9368.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/16/E7-9367.htmlNotice - Submission for OMB Review; Comment Request2007-05-16T00:00:00-07:002007-05-16T00:00:00-07:00E7-9367Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-16/pdf/E7-9367.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/16/E7-9366.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC.; Order Approving Proposed Rule Change To Amend NYSE Rule 440A (“Telephone Solicitations”)2007-05-16T00:00:00-07:002007-05-16T00:00:00-07:00E7-9366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-16/pdf/E7-9366.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/16/E7-9365.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Split Prices2007-05-16T00:00:00-07:002007-05-16T00:00:00-07:00E7-9365Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-16/pdf/E7-9365.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/16/E7-9364.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Amendments to Section 107 of the Company Guide2007-05-16T00:00:00-07:002007-05-16T00:00:00-07:00E7-9364Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-16/pdf/E7-9364.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/16/E7-9363.htmlNotice - Submission for OMB Review; Comment Request2007-05-16T00:00:00-07:002007-05-16T00:00:00-07:00E7-9363Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-16/pdf/E7-9363.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/15/E7-9270.htmlNotice - Van Eck Worldwide Insurance Trust, et al.; Notice of Application2007-05-15T00:00:00-07:002007-05-15T00:00:00-07:00E7-9270Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-15/pdf/E7-9270.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/15/E7-9261.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the $1 Strike Pilot Program for an Additional Year2007-05-15T00:00:00-07:002007-05-15T00:00:00-07:00E7-9261Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-15/pdf/E7-9261.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/15/E7-9260.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto, Relating to Price Improved Linkage P/A Orders2007-05-15T00:00:00-07:002007-05-15T00:00:00-07:00E7-9260Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-15/pdf/E7-9260.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/15/E7-9249.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish an Opening and Closing Cross for Securities Listed on the NYSE, Amex, and Regional Exchanges2007-05-15T00:00:00-07:002007-05-15T00:00:00-07:00E7-9249Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-15/pdf/E7-9249.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/14/E7-9195.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 6.80 Governing Accommodation Transactions (Cabinet Trades)2007-05-14T00:00:00-07:002007-05-14T00:00:00-07:00E7-9195Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-14/pdf/E7-9195.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/14/E7-9180.htmlNotice - Proposed Collection; Comment Request2007-05-14T00:00:00-07:002007-05-14T00:00:00-07:00E7-9180Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-14/pdf/E7-9180.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/14/E7-9179.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding Penny Price Improvement2007-05-14T00:00:00-07:002007-05-14T00:00:00-07:00E7-9179Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-14/pdf/E7-9179.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/14/E7-9178.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Market Data Revenue Rebates2007-05-14T00:00:00-07:002007-05-14T00:00:00-07:00E7-9178Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-14/pdf/E7-9178.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/14/E7-9177.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Listing and Annual Fees for Derivative Securities Products and Closed-End Funds2007-05-14T00:00:00-07:002007-05-14T00:00:00-07:00E7-9177Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-14/pdf/E7-9177.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/14/E7-9176.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Amendment Nos. 3 and 4 Relating to Procedures for At-Risk Cross Transactions2007-05-14T00:00:00-07:002007-05-14T00:00:00-07:00E7-9176Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-14/pdf/E7-9176.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/14/E7-9175.htmlNotice - Submission for OMB Review; Comment Request2007-05-14T00:00:00-07:002007-05-14T00:00:00-07:00E7-9175Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-14/pdf/E7-9175.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/11/E7-9181.htmlNotice - Sunshine Act Meetings2007-05-11T00:00:00-07:002007-05-11T00:00:00-07:00E7-9181Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-11/pdf/E7-9181.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/11/E7-9086.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Approval of Fund Shares Deposited as Margin2007-05-11T00:00:00-07:002007-05-11T00:00:00-07:00E7-9086Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-11/pdf/E7-9086.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/11/E7-9076.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a One-Year Extension of the $1 Strike Price Pilot Program2007-05-11T00:00:00-07:002007-05-11T00:00:00-07:00E7-9076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-11/pdf/E7-9076.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/11/E7-9071.htmlNotice - Self-Regulatory Organization; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Amendments to Compliance Rule 2-9 (Supervision) and the Interpretive Notice Regarding Compliance Rule 2-9 (Enhanced Supervisory Requirements)2007-05-11T00:00:00-07:002007-05-11T00:00:00-07:00E7-9071Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-11/pdf/E7-9071.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/11/E7-9070.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a Pilot Program That Allows the Listing of Strike Prices at One-Point Intervals for Stocks Trading Under $202007-05-11T00:00:00-07:002007-05-11T00:00:00-07:00E7-9070Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-11/pdf/E7-9070.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/11/E7-9069.htmlNotice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Relating to Access Fee Display Requirements for the OTCBB2007-05-11T00:00:00-07:002007-05-11T00:00:00-07:00E7-9069Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-11/pdf/E7-9069.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/10/E7-9045.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Arca Marketplace Trading Sessions2007-05-10T00:00:00-07:002007-05-10T00:00:00-07:00E7-9045Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-10/pdf/E7-9045.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/10/E7-9044.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Arca Marketplace Trading Sessions2007-05-10T00:00:00-07:002007-05-10T00:00:00-07:00E7-9044Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-10/pdf/E7-9044.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/10/E7-9001.htmlNotice - First American Investment Funds, Inc., et al.; Notice of Application2007-05-10T00:00:00-07:002007-05-10T00:00:00-07:00E7-9001Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-10/pdf/E7-9001.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/10/E7-8960.htmlNotice - 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 Credits2007-05-10T00:00:00-07:002007-05-10T00:00:00-07:00E7-8960Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-10/pdf/E7-8960.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/10/E7-8959.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Options Adjustment Methodology and Fund Shares2007-05-10T00:00:00-07:002007-05-10T00:00:00-07:00E7-8959Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-10/pdf/E7-8959.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/10/E7-8958.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 ISE Options2007-05-10T00:00:00-07:002007-05-10T00:00:00-07:00E7-8958Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-10/pdf/E7-8958.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/10/E7-8957.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC's Clearing Fee Schedule2007-05-10T00:00:00-07:002007-05-10T00:00:00-07:00E7-8957Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-10/pdf/E7-8957.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/10/E7-8914.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Technical Changes to the Customer, Industry and Mediation Codes2007-05-10T00:00:00-07:002007-05-10T00:00:00-07:00E7-8914Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-10/pdf/E7-8914.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/10/E7-8913.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Rules of Its Government Securities Division With Respect to Obligations Associated With Brokered Repo Trades2007-05-10T00:00:00-07:002007-05-10T00:00:00-07:00E7-8913Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-10/pdf/E7-8913.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/10/E7-8912.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Fee Changes2007-05-10T00:00:00-07:002007-05-10T00:00:00-07:00E7-8912Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-10/pdf/E7-8912.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/09/E7-8860.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To List and Trade Shares of the iShares FTSE NAREIT Residential Index Fund2007-05-09T00:00:00-07:002007-05-09T00:00:00-07:00E7-8860Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-09/pdf/E7-8860.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/09/E7-8813.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change to NASD By-Laws Relating to SEC Section 31-Related Fees2007-05-09T00:00:00-07:002007-05-09T00:00:00-07:00E7-8813Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-09/pdf/E7-8813.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/09/E7-8812.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Fees for Certain Electronically Executed Orders2007-05-09T00:00:00-07:002007-05-09T00:00:00-07:00E7-8812Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-09/pdf/E7-8812.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/09/E7-8811.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for NYSE Bonds2007-05-09T00:00:00-07:002007-05-09T00:00:00-07:00E7-8811Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-09/pdf/E7-8811.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/08/E7-8737.htmlNotice - Proposed Collection; Comment Request2007-05-08T00:00:00-07:002007-05-08T00:00:00-07:00E7-8737Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-08/pdf/E7-8737.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/08/E7-8736.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Quoting Obligations in Long Term Options2007-05-08T00:00:00-07:002007-05-08T00:00:00-07:00E7-8736Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-08/pdf/E7-8736.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/08/E7-8735.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to Membership Requirements2007-05-08T00:00:00-07:002007-05-08T00:00:00-07:00E7-8735Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-08/pdf/E7-8735.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/08/E7-8734.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Continuation of a Quote Assist Feature in the ANTE System on a Pilot Program Basis2007-05-08T00:00:00-07:002007-05-08T00:00:00-07:00E7-8734Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-08/pdf/E7-8734.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/08/E7-8733.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the $1 Strike Pilot Program for an Additional Year2007-05-08T00:00:00-07:002007-05-08T00:00:00-07:00E7-8733Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-08/pdf/E7-8733.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/08/E7-8732.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges2007-05-08T00:00:00-07:002007-05-08T00:00:00-07:00E7-8732Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-08/pdf/E7-8732.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8683.htmlNotice - Hercules Technology Growth Capital, Inc.; Notice of Application2007-05-07T00:00:00-07:002007-05-07T00:00:00-07:00E7-8683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-07/pdf/E7-8683.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8649.htmlNotice - Sunshine Act Meeting2007-05-07T00:00:00-07:002007-05-07T00:00:00-07:00E7-8649Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-07/pdf/E7-8649.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8600.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 3 to Proposed Rule Change and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3 Thereto, To Adopt Generic Listing Standards for Index-Linked Securities2007-05-07T00:00:00-07:002007-05-07T00:00:00-07:00E7-8600Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-07/pdf/E7-8600.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8599.htmlNotice - PowerShares Exchange-Traded Fund Trust, et al.; Notice of Application2007-05-07T00:00:00-07:002007-05-07T00:00:00-07:00E7-8599Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-07/pdf/E7-8599.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8598.htmlNotice - SSgA Funds Management, Inc., et al.2007-05-07T00:00:00-07:002007-05-07T00:00:00-07:00E7-8598Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-07/pdf/E7-8598.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8597.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval to Proposed Rule Change, as Modified by Amendment No. 1, Relating to Penny Increments for Block Mechanism Orders2007-05-07T00:00:00-07:002007-05-07T00:00:00-07:00E7-8597Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-07/pdf/E7-8597.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8596.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Nasdaq Trading Rights Fee2007-05-07T00:00:00-07:002007-05-07T00:00:00-07:00E7-8596Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-07/pdf/E7-8596.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8595.htmlNotice - First Trust Exchange-Traded Fund, et al.; Notice of Application2007-05-07T00:00:00-07:002007-05-07T00:00:00-07:00E7-8595Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-07/pdf/E7-8595.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/07/07-2194.htmlNotice - Order Making Fiscal Year 2008 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b), and 31(c) of the Securities Exchange Act of 19342007-05-07T00:00:00-07:002007-05-07T00:00:00-07:0007-2194Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-07/pdf/07-2194.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/04/R7-4589.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); Republication2007-05-04T00:00:00-07:002007-05-04T00:00:00-07:00R7-4589Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-04/pdf/R7-4589.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/04/E7-8506.htmlNotice - Old Westbury Funds, Inc. and Bessemer Investment Management LLC; Notice of Application2007-05-04T00:00:00-07:002007-05-04T00:00:00-07:00E7-8506Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-04/pdf/E7-8506.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/04/E7-8505.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Duration of CBOE Rule 6.45A(b) Pertaining to Orders Represented in Open Outcry2007-05-04T00:00:00-07:002007-05-04T00:00:00-07:00E7-8505Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-04/pdf/E7-8505.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/04/E7-8504.htmlNotice - The Gabelli Equity Trust Inc., et al.; Notice of Application2007-05-04T00:00:00-07:002007-05-04T00:00:00-07:00E7-8504Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-04/pdf/E7-8504.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8430.htmlNotice - Sunshine Act Meetings2007-05-03T00:00:00-07:002007-05-03T00:00:00-07:00E7-8430Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-03/pdf/E7-8430.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8429.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendment No. 5 of the Restated Participant Exchange Agreement2007-05-03T00:00:00-07:002007-05-03T00:00:00-07:00E7-8429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-03/pdf/E7-8429.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8428.htmlNotice - Proposed Collection; Comment Request2007-05-03T00:00:00-07:002007-05-03T00:00:00-07:00E7-8428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-03/pdf/E7-8428.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8427.htmlNotice - Proposed Collection; Comment Request2007-05-03T00:00:00-07:002007-05-03T00:00:00-07:00E7-8427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-03/pdf/E7-8427.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8426.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402007-05-03T00:00:00-07:002007-05-03T00:00:00-07:00E7-8426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-03/pdf/E7-8426.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8397.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval to a Proposed Rule Change as Modified by Amendment No. 1 Thereto Clarifying the Continued Listing Standards for Units2007-05-03T00:00:00-07:002007-05-03T00:00:00-07:00E7-8397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-03/pdf/E7-8397.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8396.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program That Allows for the Listing of Option Series at $1 Strike Price Intervals2007-05-03T00:00:00-07:002007-05-03T00:00:00-07:00E7-8396Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-03/pdf/E7-8396.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8395.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto To Amend CBOE's Rules To Reflect the Migration of Its TPF Technology Platform Over to the Existing CBOEdirect Technology Platform.2007-05-03T00:00:00-07:002007-05-03T00:00:00-07:00E7-8395Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-03/pdf/E7-8395.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/02/E7-8364.htmlNotice - HSBC Securities (USA) Inc.; Notice of Application2007-05-02T00:00:00-07:002007-05-02T00:00:00-07:00E7-8364Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-02/pdf/E7-8364.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/02/E7-8353.htmlNotice - Hill Physicians Medical Group, Inc.; Notice of Application2007-05-02T00:00:00-07:002007-05-02T00:00:00-07:00E7-8353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-02/pdf/E7-8353.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/02/E7-8313.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Require That Companies Submit Material News to Nasdaq Using Nasdaq's Electronic Disclosure System, Except in Emergency Situations2007-05-02T00:00:00-07:002007-05-02T00:00:00-07:00E7-8313Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-02/pdf/E7-8313.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/02/E7-8312.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Its Minor Rule Violation Fine Systems2007-05-02T00:00:00-07:002007-05-02T00:00:00-07:00E7-8312Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-02/pdf/E7-8312.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/02/E7-8311.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Securities Manager Examination (“Series 12”)2007-05-02T00:00:00-07:002007-05-02T00:00:00-07:00E7-8311Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-02/pdf/E7-8311.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/02/E7-8310.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Extension of a Fee Pilot for National Quotation Data Service2007-05-02T00:00:00-07:002007-05-02T00:00:00-07:00E7-8310Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-02/pdf/E7-8310.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8309.htmlNotice - Sunshine Act Meeting2007-05-01T00:00:00-07:002007-05-01T00:00:00-07:00E7-8309Noticehttp://edocket.access.gpo.gov/2007/pdf/E7-8309.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8257.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the $1 Strike Pilot Program2007-05-01T00:00:00-07:002007-05-01T00:00:00-07:00E7-8257Noticehttp://edocket.access.gpo.gov/2007/pdf/E7-8257.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8252.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendments Nos. 1, 2, and 3 Thereto To Reestablish a Quotation and Trading System for Securities That Are Designated by The PORTAL® Market as PORTAL Securities2007-05-01T00:00:00-07:002007-05-01T00:00:00-07:00E7-8252Noticehttp://edocket.access.gpo.gov/2007/pdf/E7-8252.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8244.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Establish Rules Governing the Trading of Options on the NASDAQ Options Market2007-05-01T00:00:00-07:002007-05-01T00:00:00-07:00E7-8244Noticehttp://edocket.access.gpo.gov/2007/pdf/E7-8244.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8231.htmlNotice - XTF Advisors Trust, et al.; Notice of Application2007-05-01T00:00:00-07:002007-05-01T00:00:00-07:00E7-8231Noticehttp://edocket.access.gpo.gov/2007/pdf/E7-8231.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8225.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Additional Exceptions to Rule 126A-AEMI Relating to the Generation of Intermarket Sweep Orders2007-05-01T00:00:00-07:002007-05-01T00:00:00-07:00E7-8225Noticehttp://edocket.access.gpo.gov/2007/pdf/E7-8225.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8224.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Notes Linked to the Performance of the Dow Jones-AIG Commodity Index Total Return2007-05-01T00:00:00-07:002007-05-01T00:00:00-07:00E7-8224Noticehttp://edocket.access.gpo.gov/2007/pdf/E7-8224.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8223.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 Ten Option Classes2007-05-01T00:00:00-07:002007-05-01T00:00:00-07:00E7-8223Noticehttp://edocket.access.gpo.gov/2007/pdf/E7-8223.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8196.htmlNotice - Submission for OMB Review; Comment Request2007-05-01T00:00:00-07:002007-05-01T00:00:00-07:00E7-8196Noticehttp://edocket.access.gpo.gov/2007/pdf/E7-8196.pdf