<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2007/06?registers=between&min-day=1&max-day=30 Sun, 28 Apr 2024 06:31:02 -0700 Sun, 28 Apr 2024 06:31:02 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2007/06?registers=between&min-day=1&max-day=30 Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto, Relating to Procedures for At-Risk Cross Transactions https://regulations.justia.com/regulations/fedreg/2007/06/29/Z7-11367.html https://regulations.justia.com/regulations/fedreg/2007/06/29/Z7-11367.html Fri, 29 Jun 2007 00:00:00 -0700 Z7-11367 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-29/pdf/Z7-11367.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Amending Section 5 (Obligations of Market Makers) of Chapter VI of the Rules of the Boston Options Exchange for Clarification Purposes Regarding the Guaranteed Directed Order https://regulations.justia.com/regulations/fedreg/2007/06/29/E7-12604.html https://regulations.justia.com/regulations/fedreg/2007/06/29/E7-12604.html Fri, 29 Jun 2007 00:00:00 -0700 E7-12604 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-29/pdf/E7-12604.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to a Policy Statement on the Eligibility of Foreign Securities https://regulations.justia.com/regulations/fedreg/2007/06/28/E7-12531.html https://regulations.justia.com/regulations/fedreg/2007/06/28/E7-12531.html Thu, 28 Jun 2007 00:00:00 -0700 E7-12531 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-28/pdf/E7-12531.pdf Notice - 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 API Fees https://regulations.justia.com/regulations/fedreg/2007/06/28/E7-12486.html https://regulations.justia.com/regulations/fedreg/2007/06/28/E7-12486.html Thu, 28 Jun 2007 00:00:00 -0700 E7-12486 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-28/pdf/E7-12486.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, and Amendment No. 3 Thereto, to List and Trade Credit Default Basket Options https://regulations.justia.com/regulations/fedreg/2007/06/28/E7-12485.html https://regulations.justia.com/regulations/fedreg/2007/06/28/E7-12485.html Thu, 28 Jun 2007 00:00:00 -0700 E7-12485 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-28/pdf/E7-12485.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 2 to Amend Nasdaq's “Clearly Erroneous” Rule https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12426.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12426.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12426 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12426.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Credit Default Basket Options https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12425.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12425.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12425 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12425.pdf Notice - ING Life Insurance and Annuity Company, et al., Notice of Application https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12405.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12405.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12405 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12405.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the iShares Russell 2000 Index Fund (IWM) Option Pilot Program Until January 18, 2008 https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12394.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12394.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12394 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12394.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Amend Section 107D of the Company Guide https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12393.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12393.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12393 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12393.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 To Modify the Minimum Shareholder Requirement for Initial Listing on the Nasdaq Global Select Market https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12392.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12392.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12392 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12392.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Firm Facilitation, Royalty, and Booth Fees https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12391.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12391.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12391 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12391.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating To Removing Certain Rules From Its Rulebook https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12390.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12390.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12390 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12390.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Position and Exercise Limits for Options on the KBW Bank Index https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12389.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12389.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12389 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12389.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Fees for Electronically Executed Broker-Dealer Orders in IWM and QQQQ Options https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12388.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12388.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12388 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12388.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12341.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12341.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12341 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12341.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 To Lower the Required Number of Letters of Reference an Applicant Must Provide https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12340.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12340.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12340 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12340.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12331.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12331.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12331 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12331.pdf Proposed Rule - Definition of a Significant Deficiency https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12300.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12300.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12300 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12300.pdf Rule - Commission Guidance Regarding Management's Report on Internal Control Over Financial Reporting Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12299.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12299.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12299 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12299.pdf Rule - Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12298.html https://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12298.html Wed, 27 Jun 2007 00:00:00 -0700 E7-12298 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12298.pdf Proposed Rule - Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 And F-3 https://regulations.justia.com/regulations/fedreg/2007/06/26/E7-12301.html https://regulations.justia.com/regulations/fedreg/2007/06/26/E7-12301.html Tue, 26 Jun 2007 00:00:00 -0700 E7-12301 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-06-26/pdf/E7-12301.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/06/25/E7-12193.html https://regulations.justia.com/regulations/fedreg/2007/06/25/E7-12193.html Mon, 25 Jun 2007 00:00:00 -0700 E7-12193 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-25/pdf/E7-12193.pdf Notice - In the Matter of American Teletronics, Inc., n/k/a: Shine Holdings, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/06/25/07-3113.html https://regulations.justia.com/regulations/fedreg/2007/06/25/07-3113.html Mon, 25 Jun 2007 00:00:00 -0700 07-3113 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-25/pdf/07-3113.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12152.html https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12152.html Fri, 22 Jun 2007 00:00:00 -0700 E7-12152 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12152.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Price-Improved Linkage P/A Orders https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12093.html https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12093.html Fri, 22 Jun 2007 00:00:00 -0700 E7-12093 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12093.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rules To Extend the Closing Time of the NASD/NYSE Trade Reporting Facility to 8 p.m. https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12092.html https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12092.html Fri, 22 Jun 2007 00:00:00 -0700 E7-12092 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12092.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for the CBOE Stock Exchange https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12080.html https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12080.html Fri, 22 Jun 2007 00:00:00 -0700 E7-12080 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12080.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the CBOE's Rules Related to Credit Default Options https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12079.html https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12079.html Fri, 22 Jun 2007 00:00:00 -0700 E7-12079 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12079.pdf Notice - 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 Credit Default Options https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12078.html https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12078.html Fri, 22 Jun 2007 00:00:00 -0700 E7-12078 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12078.pdf Notice - Principal Variable Contracts Fund, Inc. et al., Notice of Application https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12077.html https://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12077.html Fri, 22 Jun 2007 00:00:00 -0700 E7-12077 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12077.pdf Notice - Self-regulatory organizations; proposed rule changes: NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2007/06/21/E7-12017.html https://regulations.justia.com/regulations/fedreg/2007/06/21/E7-12017.html Thu, 21 Jun 2007 00:00:00 -0700 E7-12017 Notice http://edocket.access.gpo.gov/2007/pdf/E7-12017.pdf Notice - Self-regulatory organizations; proposed rule changes: American Stock Exchange LLC https://regulations.justia.com/regulations/fedreg/2007/06/21/E7-12015.html https://regulations.justia.com/regulations/fedreg/2007/06/21/E7-12015.html Thu, 21 Jun 2007 00:00:00 -0700 E7-12015 Notice http://edocket.access.gpo.gov/2007/pdf/E7-12015.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rules 54 (“Dealings on Floor-Persons”) and 70 (“Bids and Offers”) https://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11941.html https://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11941.html Wed, 20 Jun 2007 00:00:00 -0700 E7-11941 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-20/pdf/E7-11941.pdf Notice - Public Company Accounting Oversight Board; Notice of Additional Solicitation of Comments on the Filing of Proposed Rule on Auditing Standard No. 5, An Audit of Internal Control Over Financial Reporting That Is Integrated With an Audit of Financial Statements, and Related Independence Rule and Conforming Amendments https://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11935.html https://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11935.html Wed, 20 Jun 2007 00:00:00 -0700 E7-11935 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-20/pdf/E7-11935.pdf Rule - Termination of Foreign Private Issuer's Registration of a Class of Securities Under Section 12(G) and Duty to File Reports Under Section 13(A) or 15(D) of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11911.html https://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11911.html Wed, 20 Jun 2007 00:00:00 -0700 E7-11911 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-06-20/pdf/E7-11911.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Its Current Revenue Sharing Program for Its Specialists for an Additional Three Months https://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11884.html https://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11884.html Wed, 20 Jun 2007 00:00:00 -0700 E7-11884 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-20/pdf/E7-11884.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the Existing Fee Schedule https://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11883.html https://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11883.html Wed, 20 Jun 2007 00:00:00 -0700 E7-11883 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-20/pdf/E7-11883.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow NMS Cross Order Type To Be Sent to the Boston Equities Exchange https://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11744.html https://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11744.html Tue, 19 Jun 2007 00:00:00 -0700 E7-11744 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-19/pdf/E7-11744.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11743.html https://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11743.html Tue, 19 Jun 2007 00:00:00 -0700 E7-11743 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-19/pdf/E7-11743.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Rules Pertaining to Training Requirements and Floor Procedure Advices https://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11720.html https://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11720.html Tue, 19 Jun 2007 00:00:00 -0700 E7-11720 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-19/pdf/E7-11720.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Establishment of Primary Sweep Orders https://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11719.html https://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11719.html Tue, 19 Jun 2007 00:00:00 -0700 E7-11719 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-19/pdf/E7-11719.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Registration of Representatives and Options Principals and Related Fee Changes https://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11718.html https://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11718.html Tue, 19 Jun 2007 00:00:00 -0700 E7-11718 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-19/pdf/E7-11718.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11713.html https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11713.html Mon, 18 Jun 2007 00:00:00 -0700 E7-11713 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11713.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11666.html https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11666.html Mon, 18 Jun 2007 00:00:00 -0700 E7-11666 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11666.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-ISE Market Maker Fees https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11657.html https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11657.html Mon, 18 Jun 2007 00:00:00 -0700 E7-11657 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11657.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an Interpretation to CBOE Rule 8.95 https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11628.html https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11628.html Mon, 18 Jun 2007 00:00:00 -0700 E7-11628 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11628.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Modify Chapter VII of the Exchange's Rules Regarding Suspensions of an ETP Holder by Certain Exchange Officers https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11627.html https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11627.html Mon, 18 Jun 2007 00:00:00 -0700 E7-11627 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11627.pdf Notice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Remove Provisions Governing the Operation of the ACES Service https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11626.html https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11626.html Mon, 18 Jun 2007 00:00:00 -0700 E7-11626 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11626.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Payment for Order Flow Fees https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11625.html https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11625.html Mon, 18 Jun 2007 00:00:00 -0700 E7-11625 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11625.pdf Rule - Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11166.html https://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11166.html Mon, 18 Jun 2007 00:00:00 -0700 E7-11166 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11166.pdf Notice - 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 Four Funds of StateShares, Inc. https://regulations.justia.com/regulations/fedreg/2007/06/15/E7-11552.html https://regulations.justia.com/regulations/fedreg/2007/06/15/E7-11552.html Fri, 15 Jun 2007 00:00:00 -0700 E7-11552 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-15/pdf/E7-11552.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Payment for Order Flow Pilot Program https://regulations.justia.com/regulations/fedreg/2007/06/15/E7-11551.html https://regulations.justia.com/regulations/fedreg/2007/06/15/E7-11551.html Fri, 15 Jun 2007 00:00:00 -0700 E7-11551 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-15/pdf/E7-11551.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 14.3-References to Wave Securities, L.L.C. https://regulations.justia.com/regulations/fedreg/2007/06/15/E7-11541.html https://regulations.justia.com/regulations/fedreg/2007/06/15/E7-11541.html Fri, 15 Jun 2007 00:00:00 -0700 E7-11541 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-15/pdf/E7-11541.pdf Notice - In the Matter of Global Datatel, Inc. (n/k/a Xcana Petroleum, Inc.), Laminaire Corp. (n/k/a Cavico Corp.), Military Communications Technologies, Inc. (n/k/a Carbon Race Corporation), TAM Restaurants, Inc. (n/k/a Aerofoam Metals, Inc.), and Upside Development, Inc. (n/k/a Amorocorp); Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/06/15/07-2988.html https://regulations.justia.com/regulations/fedreg/2007/06/15/07-2988.html Fri, 15 Jun 2007 00:00:00 -0700 07-2988 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-15/pdf/07-2988.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11540.html https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11540.html Thu, 14 Jun 2007 00:00:00 -0700 E7-11540 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-14/pdf/E7-11540.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for the CBOE Stock Exchange https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11506.html https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11506.html Thu, 14 Jun 2007 00:00:00 -0700 E7-11506 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-14/pdf/E7-11506.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change Relating to the Application of NASD Rule 2790 to Issuer-Directed Securities https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11505.html https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11505.html Thu, 14 Jun 2007 00:00:00 -0700 E7-11505 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-14/pdf/E7-11505.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change Relating to SEC Section 31-Related Fees https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11504.html https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11504.html Thu, 14 Jun 2007 00:00:00 -0700 E7-11504 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-14/pdf/E7-11504.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Adoption of Market Data Fees for AMEX Real-Time Trade Price Service https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11489.html https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11489.html Thu, 14 Jun 2007 00:00:00 -0700 E7-11489 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-14/pdf/E7-11489.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to CBOE and CBSX Market Data Fees https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11488.html https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11488.html Thu, 14 Jun 2007 00:00:00 -0700 E7-11488 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-14/pdf/E7-11488.pdf Notice - Order Exempting Certain Print Protection Transactions From Rule 611 of Regulation NMS Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11442.html https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11442.html Thu, 14 Jun 2007 00:00:00 -0700 E7-11442 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-14/pdf/E7-11442.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Technical Amendment to New NASD Rule 2342 (SIPC Information) https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11441.html https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11441.html Thu, 14 Jun 2007 00:00:00 -0700 E7-11441 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-14/pdf/E7-11441.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Options Exchange Officials https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11440.html https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11440.html Thu, 14 Jun 2007 00:00:00 -0700 E7-11440 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-14/pdf/E7-11440.pdf Notice - Order Exempting Certain Error Correction Transactions From Rule 611 of Regulation NMS Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11439.html https://regulations.justia.com/regulations/fedreg/2007/06/14/E7-11439.html Thu, 14 Jun 2007 00:00:00 -0700 E7-11439 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-14/pdf/E7-11439.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Marketing Fee Program https://regulations.justia.com/regulations/fedreg/2007/06/13/E7-11371.html https://regulations.justia.com/regulations/fedreg/2007/06/13/E7-11371.html Wed, 13 Jun 2007 00:00:00 -0700 E7-11371 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-13/pdf/E7-11371.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to Credit Default Options https://regulations.justia.com/regulations/fedreg/2007/06/13/E7-11370.html https://regulations.justia.com/regulations/fedreg/2007/06/13/E7-11370.html Wed, 13 Jun 2007 00:00:00 -0700 E7-11370 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-13/pdf/E7-11370.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Order Audit Trail System Rules To Provide an Exemption From Transmission Requirements for Proprietary Orders and Amendment No. 1 Thereto https://regulations.justia.com/regulations/fedreg/2007/06/13/E7-11369.html https://regulations.justia.com/regulations/fedreg/2007/06/13/E7-11369.html Wed, 13 Jun 2007 00:00:00 -0700 E7-11369 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-13/pdf/E7-11369.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Modification of Phlx Rule 185A https://regulations.justia.com/regulations/fedreg/2007/06/13/E7-11368.html https://regulations.justia.com/regulations/fedreg/2007/06/13/E7-11368.html Wed, 13 Jun 2007 00:00:00 -0700 E7-11368 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-13/pdf/E7-11368.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto, Relating to Procedures for At-Risk Cross Transactions https://regulations.justia.com/regulations/fedreg/2007/06/13/E7-11367.html https://regulations.justia.com/regulations/fedreg/2007/06/13/E7-11367.html Wed, 13 Jun 2007 00:00:00 -0700 E7-11367 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-13/pdf/E7-11367.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving 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 https://regulations.justia.com/regulations/fedreg/2007/06/13/E7-11366.html https://regulations.justia.com/regulations/fedreg/2007/06/13/E7-11366.html Wed, 13 Jun 2007 00:00:00 -0700 E7-11366 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-13/pdf/E7-11366.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule on Auditing Standard No. 5, an Audit of Internal Control Over Financial Reporting That Is Integrated With an Audit of Financial Statements, and Related Independence Rule and Conforming Amendments https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11311.html https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11311.html Tue, 12 Jun 2007 00:00:00 -0700 E7-11311 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-12/pdf/E7-11311.pdf Notice - Barclays Global Fund Advisors; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11295.html https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11295.html Tue, 12 Jun 2007 00:00:00 -0700 E7-11295 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-12/pdf/E7-11295.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 5 to a Proposed Rule Change To List and Trade Credit Default Options; and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment Nos. 3, 4, and 5, and Designating Credit Default Options as Standardized Options Under Rule 9b-1 of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11273.html https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11273.html Tue, 12 Jun 2007 00:00:00 -0700 E7-11273 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-12/pdf/E7-11273.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Permanently Extend the Pilot Program for Preferenced Orders https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11268.html https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11268.html Tue, 12 Jun 2007 00:00:00 -0700 E7-11268 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-12/pdf/E7-11268.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Allow the Use of a Company's Web Site To Distribute an Annual Report and Meet Other Nasdaq Listing Requirements https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11267.html https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11267.html Tue, 12 Jun 2007 00:00:00 -0700 E7-11267 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-12/pdf/E7-11267.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc. and NYSE Arca Equities, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to an Increase in the Frequency of the Short Interest Reporting Requirements for Equity Trading Permit Holders and Options Trading Permit Holders https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11266.html https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11266.html Tue, 12 Jun 2007 00:00:00 -0700 E7-11266 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-12/pdf/E7-11266.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Backup Trading Arrangements https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11265.html https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11265.html Tue, 12 Jun 2007 00:00:00 -0700 E7-11265 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-12/pdf/E7-11265.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Require Nasdaq-Listed Issuers To Submit Material News to Nasdaq Using Nasdaq's Electronic Disclosure Submission System https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11189.html https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11189.html Tue, 12 Jun 2007 00:00:00 -0700 E7-11189 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-12/pdf/E7-11189.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 4 to Proposed Rule Change and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 2, 3, and 4 Relating to NYSE Rules 134 and 411 https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11188.html https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11188.html Tue, 12 Jun 2007 00:00:00 -0700 E7-11188 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-12/pdf/E7-11188.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Trading 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 Privileges https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11181.html https://regulations.justia.com/regulations/fedreg/2007/06/12/E7-11181.html Tue, 12 Jun 2007 00:00:00 -0700 E7-11181 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-12/pdf/E7-11181.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11261.html https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11261.html Mon, 11 Jun 2007 00:00:00 -0700 E7-11261 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-11/pdf/E7-11261.pdf Notice - 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 iShares GSCI Commodity-Indexed Trust Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11182.html https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11182.html Mon, 11 Jun 2007 00:00:00 -0700 E7-11182 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-11/pdf/E7-11182.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11164.html https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11164.html Mon, 11 Jun 2007 00:00:00 -0700 E7-11164 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-11/pdf/E7-11164.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11163.html https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11163.html Mon, 11 Jun 2007 00:00:00 -0700 E7-11163 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-11/pdf/E7-11163.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11162.html https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11162.html Mon, 11 Jun 2007 00:00:00 -0700 E7-11162 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-11/pdf/E7-11162.pdf Notice - Submissions for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11161.html https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11161.html Mon, 11 Jun 2007 00:00:00 -0700 E7-11161 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-11/pdf/E7-11161.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11160.html https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11160.html Mon, 11 Jun 2007 00:00:00 -0700 E7-11160 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-11/pdf/E7-11160.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11159.html https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11159.html Mon, 11 Jun 2007 00:00:00 -0700 E7-11159 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-11/pdf/E7-11159.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market-Maker Obligations https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11158.html https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11158.html Mon, 11 Jun 2007 00:00:00 -0700 E7-11158 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-11/pdf/E7-11158.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval to a Proposed Rule Change Relating to the Waiver of Fees upon Relisting of Companies Removed for Late Filings https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11157.html https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11157.html Mon, 11 Jun 2007 00:00:00 -0700 E7-11157 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-11/pdf/E7-11157.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11156.html https://regulations.justia.com/regulations/fedreg/2007/06/11/E7-11156.html Mon, 11 Jun 2007 00:00:00 -0700 E7-11156 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-11/pdf/E7-11156.pdf Notice - 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 Imergent Inc. and Neurochem, Inc. Options https://regulations.justia.com/regulations/fedreg/2007/06/08/E7-11080.html https://regulations.justia.com/regulations/fedreg/2007/06/08/E7-11080.html Fri, 08 Jun 2007 00:00:00 -0700 E7-11080 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-08/pdf/E7-11080.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rules 103A and 103B https://regulations.justia.com/regulations/fedreg/2007/06/08/E7-11079.html https://regulations.justia.com/regulations/fedreg/2007/06/08/E7-11079.html Fri, 08 Jun 2007 00:00:00 -0700 E7-11079 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-08/pdf/E7-11079.pdf Notice - 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 Organization https://regulations.justia.com/regulations/fedreg/2007/06/07/Z7-9762.html https://regulations.justia.com/regulations/fedreg/2007/06/07/Z7-9762.html Thu, 07 Jun 2007 00:00:00 -0700 Z7-9762 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-07/pdf/Z7-9762.pdf Notice - Stainless Steel Bar from Germany; Preliminary Results of the Sunset Review of Antidumping Duty Order https://regulations.justia.com/regulations/fedreg/2007/06/07/Z7-10367.html https://regulations.justia.com/regulations/fedreg/2007/06/07/Z7-10367.html Thu, 07 Jun 2007 00:00:00 -0700 Z7-10367 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-07/pdf/Z7-10367.pdf Notice - Self-Regulatory Organization; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Floor Broker Zone Requirements in AEMI https://regulations.justia.com/regulations/fedreg/2007/06/07/E7-10980.html https://regulations.justia.com/regulations/fedreg/2007/06/07/E7-10980.html Thu, 07 Jun 2007 00:00:00 -0700 E7-10980 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-07/pdf/E7-10980.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change as Modified by Amendment Nos. 2 and 3 Thereto Relating to the Listing and Trading of Fixed Return Options https://regulations.justia.com/regulations/fedreg/2007/06/07/E7-10970.html https://regulations.justia.com/regulations/fedreg/2007/06/07/E7-10970.html Thu, 07 Jun 2007 00:00:00 -0700 E7-10970 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-07/pdf/E7-10970.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Pilot Program for Initial and Continued Financial Listing Standards for Common Stock Until November 30, 2007 https://regulations.justia.com/regulations/fedreg/2007/06/07/E7-10926.html https://regulations.justia.com/regulations/fedreg/2007/06/07/E7-10926.html Thu, 07 Jun 2007 00:00:00 -0700 E7-10926 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-07/pdf/E7-10926.pdf Notice - Stephens Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/06/07/E7-10924.html https://regulations.justia.com/regulations/fedreg/2007/06/07/E7-10924.html Thu, 07 Jun 2007 00:00:00 -0700 E7-10924 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-07/pdf/E7-10924.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10874.html https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10874.html Wed, 06 Jun 2007 00:00:00 -0700 E7-10874 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-06/pdf/E7-10874.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Expiration of an ISE Stock Exchange Fee Waiver and the Granting of a Fee Waiver for Certain Other Transactions https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10873.html https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10873.html Wed, 06 Jun 2007 00:00:00 -0700 E7-10873 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-06/pdf/E7-10873.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendments No. 2 and No. 4 Thereto Relating to Order and Decorum Regulations https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10872.html https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10872.html Wed, 06 Jun 2007 00:00:00 -0700 E7-10872 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-06/pdf/E7-10872.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to Reverse Mergers and Shareholder Approval for Change of Control Situations https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10871.html https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10871.html Wed, 06 Jun 2007 00:00:00 -0700 E7-10871 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-06/pdf/E7-10871.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10848.html https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10848.html Wed, 06 Jun 2007 00:00:00 -0700 E7-10848 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-06/pdf/E7-10848.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10847.html https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10847.html Wed, 06 Jun 2007 00:00:00 -0700 E7-10847 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-06/pdf/E7-10847.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Change the Conflicts of Interest Rule https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10791.html https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10791.html Wed, 06 Jun 2007 00:00:00 -0700 E7-10791 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-06/pdf/E7-10791.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Permanent Approval of the Preferred Market Maker Program https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10790.html https://regulations.justia.com/regulations/fedreg/2007/06/06/E7-10790.html Wed, 06 Jun 2007 00:00:00 -0700 E7-10790 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-06/pdf/E7-10790.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify DTC's Fee Schedule https://regulations.justia.com/regulations/fedreg/2007/06/05/E7-10768.html https://regulations.justia.com/regulations/fedreg/2007/06/05/E7-10768.html Tue, 05 Jun 2007 00:00:00 -0700 E7-10768 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-05/pdf/E7-10768.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to MSRB Rule G-21, on Advertising, and MSRB Rule G-27, on Supervision https://regulations.justia.com/regulations/fedreg/2007/06/05/E7-10767.html https://regulations.justia.com/regulations/fedreg/2007/06/05/E7-10767.html Tue, 05 Jun 2007 00:00:00 -0700 E7-10767 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-05/pdf/E7-10767.pdf Notice - Ameristock ETF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/06/05/E7-10753.html https://regulations.justia.com/regulations/fedreg/2007/06/05/E7-10753.html Tue, 05 Jun 2007 00:00:00 -0700 E7-10753 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-05/pdf/E7-10753.pdf Notice - John Hancock Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/06/05/E7-10752.html https://regulations.justia.com/regulations/fedreg/2007/06/05/E7-10752.html Tue, 05 Jun 2007 00:00:00 -0700 E7-10752 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-05/pdf/E7-10752.pdf Notice - HealthSharesTM https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10700.html https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10700.html Mon, 04 Jun 2007 00:00:00 -0700 E7-10700 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-04/pdf/E7-10700.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Extension of NASD's Authority Under the Cease and Desist Pilot Program https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10681.html https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10681.html Mon, 04 Jun 2007 00:00:00 -0700 E7-10681 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-04/pdf/E7-10681.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Floor Broker Zone Requirements in AEMI https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10680.html https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10680.html Mon, 04 Jun 2007 00:00:00 -0700 E7-10680 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-04/pdf/E7-10680.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Amendments to Interpretation to Rule 311(b)(5) (“Co-Designation of Principal Executive Officers”) as Modified by Amendment No. 1 https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10668.html https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10668.html Mon, 04 Jun 2007 00:00:00 -0700 E7-10668 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-04/pdf/E7-10668.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change Relating to an Amendment to the International Securities Exchange, LLC Constitution and Amended and Restated LLC Agreement https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10667.html https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10667.html Mon, 04 Jun 2007 00:00:00 -0700 E7-10667 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-04/pdf/E7-10667.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Amendment of the International Securities Exchange Holdings, Inc. Certificate of Incorporation and Bylaws https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10666.html https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10666.html Mon, 04 Jun 2007 00:00:00 -0700 E7-10666 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-04/pdf/E7-10666.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Index Linked Securities https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10665.html https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10665.html Mon, 04 Jun 2007 00:00:00 -0700 E7-10665 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-04/pdf/E7-10665.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Automated Sending of Linkage Principal Acting as Agent Orders https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10664.html https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10664.html Mon, 04 Jun 2007 00:00:00 -0700 E7-10664 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-04/pdf/E7-10664.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Proposed Amendments to Rule 600 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10661.html https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10661.html Mon, 04 Jun 2007 00:00:00 -0700 E7-10661 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-04/pdf/E7-10661.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10659.html https://regulations.justia.com/regulations/fedreg/2007/06/04/E7-10659.html Mon, 04 Jun 2007 00:00:00 -0700 E7-10659 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-04/pdf/E7-10659.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2007/06/01/E7-10561.html https://regulations.justia.com/regulations/fedreg/2007/06/01/E7-10561.html Fri, 01 Jun 2007 00:00:00 -0700 E7-10561 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-01/pdf/E7-10561.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend the Generic Listing Standards for Portfolio Depositary Receipts and Index Fund Shares https://regulations.justia.com/regulations/fedreg/2007/06/01/E7-10556.html https://regulations.justia.com/regulations/fedreg/2007/06/01/E7-10556.html Fri, 01 Jun 2007 00:00:00 -0700 E7-10556 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-01/pdf/E7-10556.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to Class Quoting Limits https://regulations.justia.com/regulations/fedreg/2007/06/01/E7-10555.html https://regulations.justia.com/regulations/fedreg/2007/06/01/E7-10555.html Fri, 01 Jun 2007 00:00:00 -0700 E7-10555 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-01/pdf/E7-10555.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change To Expand Its Price Manipulation Rule To Address Additional Instances of Improper Behavior https://regulations.justia.com/regulations/fedreg/2007/06/01/E7-10554.html https://regulations.justia.com/regulations/fedreg/2007/06/01/E7-10554.html Fri, 01 Jun 2007 00:00:00 -0700 E7-10554 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-01/pdf/E7-10554.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change Amending FAST and DRS Limited Participant Requirements for Transfer Agents https://regulations.justia.com/regulations/fedreg/2007/06/01/E7-10553.html https://regulations.justia.com/regulations/fedreg/2007/06/01/E7-10553.html Fri, 01 Jun 2007 00:00:00 -0700 E7-10553 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-06-01/pdf/E7-10553.pdf