Securities and Exchange Commission May 2007 – Federal Register Recent Federal Regulation Documents

Results 101 - 150 of 150
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC's Clearing Fee Schedule
Document Number: E7-8957
Type: Notice
Date: 2007-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/10/E7-8957.html
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 Codes
Document Number: E7-8914
Type: Notice
Date: 2007-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/10/E7-8914.html
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 Trades
Document Number: E7-8913
Type: Notice
Date: 2007-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/10/E7-8913.html
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 Changes
Document Number: E7-8912
Type: Notice
Date: 2007-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/10/E7-8912.html
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 Fund
Document Number: E7-8860
Type: Notice
Date: 2007-05-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/09/E7-8860.html
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 Fees
Document Number: E7-8813
Type: Notice
Date: 2007-05-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/09/E7-8813.html
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 Orders
Document Number: E7-8812
Type: Notice
Date: 2007-05-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/09/E7-8812.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for NYSE Bonds
Document Number: E7-8811
Type: Notice
Date: 2007-05-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/09/E7-8811.html
Proposed Collection; Comment Request
Document Number: E7-8737
Type: Notice
Date: 2007-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/08/E7-8737.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Quoting Obligations in Long Term Options
Document Number: E7-8736
Type: Notice
Date: 2007-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/08/E7-8736.html
Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to Membership Requirements
Document Number: E7-8735
Type: Notice
Date: 2007-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/08/E7-8735.html
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 Basis
Document Number: E7-8734
Type: Notice
Date: 2007-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/08/E7-8734.html
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 Year
Document Number: E7-8733
Type: Notice
Date: 2007-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/08/E7-8733.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Document Number: E7-8732
Type: Notice
Date: 2007-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/08/E7-8732.html
Hercules Technology Growth Capital, Inc.; Notice of Application
Document Number: E7-8683
Type: Notice
Date: 2007-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8683.html
Sunshine Act Meeting
Document Number: E7-8649
Type: Notice
Date: 2007-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8649.html
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 Securities
Document Number: E7-8600
Type: Notice
Date: 2007-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8600.html
PowerShares Exchange-Traded Fund Trust, et al.; Notice of Application
Document Number: E7-8599
Type: Notice
Date: 2007-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8599.html
SSgA Funds Management, Inc., et al.
Document Number: E7-8598
Type: Notice
Date: 2007-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8598.html
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 Orders
Document Number: E7-8597
Type: Notice
Date: 2007-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8597.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Nasdaq Trading Rights Fee
Document Number: E7-8596
Type: Notice
Date: 2007-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8596.html
First Trust Exchange-Traded Fund, et al.; Notice of Application
Document Number: E7-8595
Type: Notice
Date: 2007-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/07/E7-8595.html
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 1934
Document Number: 07-2194
Type: Notice
Date: 2007-05-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/07/07-2194.html
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); Republication
Document Number: R7-4589
Type: Notice
Date: 2007-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/04/R7-4589.html
Old Westbury Funds, Inc. and Bessemer Investment Management LLC; Notice of Application
Document Number: E7-8506
Type: Notice
Date: 2007-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/04/E7-8506.html
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 Outcry
Document Number: E7-8505
Type: Notice
Date: 2007-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/04/E7-8505.html
The Gabelli Equity Trust Inc., et al.; Notice of Application
Document Number: E7-8504
Type: Notice
Date: 2007-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/04/E7-8504.html
Sunshine Act Meetings
Document Number: E7-8430
Type: Notice
Date: 2007-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8430.html
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 Agreement
Document Number: E7-8429
Type: Notice
Date: 2007-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8429.html
Proposed Collection; Comment Request
Document Number: E7-8428
Type: Notice
Date: 2007-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8428.html
Proposed Collection; Comment Request
Document Number: E7-8427
Type: Notice
Date: 2007-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8427.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E7-8426
Type: Notice
Date: 2007-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. By April 25, 1997, applicant had transferred all of its assets to HighMark Funds, based on net asset value. Expenses of $27,400 incurred in connection with the reorganization were paid by Union Bank of California, N.A., the acquiring fund's investment adviser. Filing Dates: The application was filed on January 31, 2003, and amended on April 11, 2007, and April 20, 2007. Applicant's Address: 2 Oliver St., Boston, MA 02109.
https://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8426.html
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 Units
Document Number: E7-8397
Type: Notice
Date: 2007-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8397.html
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 Intervals
Document Number: E7-8396
Type: Notice
Date: 2007-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8396.html
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.
Document Number: E7-8395
Type: Notice
Date: 2007-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/03/E7-8395.html
HSBC Securities (USA) Inc.; Notice of Application
Document Number: E7-8364
Type: Notice
Date: 2007-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/02/E7-8364.html
Hill Physicians Medical Group, Inc.; Notice of Application
Document Number: E7-8353
Type: Notice
Date: 2007-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/02/E7-8353.html
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 Situations
Document Number: E7-8313
Type: Notice
Date: 2007-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/02/E7-8313.html
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 Systems
Document Number: E7-8312
Type: Notice
Date: 2007-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/02/E7-8312.html
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”)
Document Number: E7-8311
Type: Notice
Date: 2007-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/02/E7-8311.html
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 Service
Document Number: E7-8310
Type: Notice
Date: 2007-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/02/E7-8310.html
Sunshine Act Meeting
Document Number: E7-8309
Type: Notice
Date: 2007-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8309.html
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 Program
Document Number: E7-8257
Type: Notice
Date: 2007-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8257.html
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 Securities
Document Number: E7-8252
Type: Notice
Date: 2007-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8252.html
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 Market
Document Number: E7-8244
Type: Notice
Date: 2007-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8244.html
XTF Advisors Trust, et al.; Notice of Application
Document Number: E7-8231
Type: Notice
Date: 2007-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8231.html
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 Orders
Document Number: E7-8225
Type: Notice
Date: 2007-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8225.html
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 Return
Document Number: E7-8224
Type: Notice
Date: 2007-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8224.html
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 Classes
Document Number: E7-8223
Type: Notice
Date: 2007-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8223.html
Submission for OMB Review; Comment Request
Document Number: E7-8196
Type: Notice
Date: 2007-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/05/01/E7-8196.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.