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/2007/06?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-22T19:55:32-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2007/06/29/Z7-11367.htmlNotice - 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 Transactions2007-06-29T00:00:00-07:002007-06-29T00:00:00-07:00Z7-11367Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-29/pdf/Z7-11367.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/29/E7-12604.htmlNotice - 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 Order2007-06-29T00:00:00-07:002007-06-29T00:00:00-07:00E7-12604Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-29/pdf/E7-12604.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/28/E7-12531.htmlNotice - 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 Securities2007-06-28T00:00:00-07:002007-06-28T00:00:00-07:00E7-12531Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-28/pdf/E7-12531.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/28/E7-12486.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 API Fees2007-06-28T00:00:00-07:002007-06-28T00:00:00-07:00E7-12486Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-28/pdf/E7-12486.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/28/E7-12485.htmlNotice - 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 Options2007-06-28T00:00:00-07:002007-06-28T00:00:00-07:00E7-12485Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-28/pdf/E7-12485.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12426.htmlNotice - 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” Rule2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12426.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12425.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Credit Default Basket Options2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12425.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12405.htmlNotice - ING Life Insurance and Annuity Company, et al., Notice of Application2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12405Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12405.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12394.htmlNotice - 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, 20082007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12394Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12394.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12393.htmlNotice - 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 Guide2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12393Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12393.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12392.htmlNotice - 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 Market2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12392Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12392.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12391.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Firm Facilitation, Royalty, and Booth Fees2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12391Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12391.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12390.htmlNotice - 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 Rulebook2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12390Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12390.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12389.htmlNotice - 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 Index2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12389Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12389.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12388.htmlNotice - 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 Options2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12388.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12341.htmlNotice - Sunshine Act Meeting2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12341Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12341.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12340.htmlNotice - 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 Provide2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12340Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12340.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12331.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12331Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12331.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12300.htmlProposed Rule - Definition of a Significant Deficiency2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12300Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12300.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12299.htmlRule - 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 19342007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12299Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12299.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/27/E7-12298.htmlRule - Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting2007-06-27T00:00:00-07:002007-06-27T00:00:00-07:00E7-12298Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-27/pdf/E7-12298.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/26/E7-12301.htmlProposed Rule - Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 And F-32007-06-26T00:00:00-07:002007-06-26T00:00:00-07:00E7-12301Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-26/pdf/E7-12301.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/25/E7-12193.htmlNotice - Proposed Collection; Comment Request2007-06-25T00:00:00-07:002007-06-25T00:00:00-07:00E7-12193Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-25/pdf/E7-12193.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/25/07-3113.htmlNotice - In the Matter of American Teletronics, Inc., n/k/a: Shine Holdings, Inc., Order of Suspension of Trading2007-06-25T00:00:00-07:002007-06-25T00:00:00-07:0007-3113Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-25/pdf/07-3113.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12152.htmlNotice - Sunshine Act Meeting2007-06-22T00:00:00-07:002007-06-22T00:00:00-07:00E7-12152Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12152.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12093.htmlNotice - 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 Orders2007-06-22T00:00:00-07:002007-06-22T00:00:00-07:00E7-12093Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12093.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12092.htmlNotice - 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.2007-06-22T00:00:00-07:002007-06-22T00:00:00-07:00E7-12092Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12092.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12080.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for the CBOE Stock Exchange2007-06-22T00:00:00-07:002007-06-22T00:00:00-07:00E7-12080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12080.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12079.htmlNotice - 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 Options2007-06-22T00:00:00-07:002007-06-22T00:00:00-07:00E7-12079Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12079.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12078.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 Credit Default Options2007-06-22T00:00:00-07:002007-06-22T00:00:00-07:00E7-12078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12078.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/22/E7-12077.htmlNotice - Principal Variable Contracts Fund, Inc. et al., Notice of Application2007-06-22T00:00:00-07:002007-06-22T00:00:00-07:00E7-12077Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-22/pdf/E7-12077.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/21/E7-12017.htmlNotice - Self-regulatory organizations; proposed rule changes: NYSE Arca, Inc.2007-06-21T00:00:00-07:002007-06-21T00:00:00-07:00E7-12017Noticehttp://edocket.access.gpo.gov/2007/pdf/E7-12017.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/21/E7-12015.htmlNotice - Self-regulatory organizations; proposed rule changes: American Stock Exchange LLC2007-06-21T00:00:00-07:002007-06-21T00:00:00-07:00E7-12015Noticehttp://edocket.access.gpo.gov/2007/pdf/E7-12015.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11941.htmlNotice - 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”)2007-06-20T00:00:00-07:002007-06-20T00:00:00-07:00E7-11941Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-20/pdf/E7-11941.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11935.htmlNotice - 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 Amendments2007-06-20T00:00:00-07:002007-06-20T00:00:00-07:00E7-11935Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-20/pdf/E7-11935.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11911.htmlRule - 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 19342007-06-20T00:00:00-07:002007-06-20T00:00:00-07:00E7-11911Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-20/pdf/E7-11911.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11884.htmlNotice - 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 Months2007-06-20T00:00:00-07:002007-06-20T00:00:00-07:00E7-11884Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-20/pdf/E7-11884.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/20/E7-11883.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the Existing Fee Schedule2007-06-20T00:00:00-07:002007-06-20T00:00:00-07:00E7-11883Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-20/pdf/E7-11883.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11744.htmlNotice - 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 Exchange2007-06-19T00:00:00-07:002007-06-19T00:00:00-07:00E7-11744Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-19/pdf/E7-11744.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11743.htmlNotice - Proposed Collection; Comment Request2007-06-19T00:00:00-07:002007-06-19T00:00:00-07:00E7-11743Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-19/pdf/E7-11743.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11720.htmlNotice - 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 Advices2007-06-19T00:00:00-07:002007-06-19T00:00:00-07:00E7-11720Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-19/pdf/E7-11720.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11719.htmlNotice - 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 Orders2007-06-19T00:00:00-07:002007-06-19T00:00:00-07:00E7-11719Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-19/pdf/E7-11719.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/19/E7-11718.htmlNotice - 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 Changes2007-06-19T00:00:00-07:002007-06-19T00:00:00-07:00E7-11718Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-19/pdf/E7-11718.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11713.htmlNotice - Sunshine Act Meeting2007-06-18T00:00:00-07:002007-06-18T00:00:00-07:00E7-11713Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11713.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11666.htmlNotice - Sunshine Act Meeting2007-06-18T00:00:00-07:002007-06-18T00:00:00-07:00E7-11666Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11666.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11657.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-ISE Market Maker Fees2007-06-18T00:00:00-07:002007-06-18T00:00:00-07:00E7-11657Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11657.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11628.htmlNotice - 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 8.952007-06-18T00:00:00-07:002007-06-18T00:00:00-07:00E7-11628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11628.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11627.htmlNotice - 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 Officers2007-06-18T00:00:00-07:002007-06-18T00:00:00-07:00E7-11627Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11627.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11626.htmlNotice - 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 Service2007-06-18T00:00:00-07:002007-06-18T00:00:00-07:00E7-11626Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11626.pdfhttps://regulations.justia.com/regulations/fedreg/2007/06/18/E7-11625.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Payment for Order Flow Fees2007-06-18T00:00:00-07:002007-06-18T00:00:00-07:00E7-11625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-06-18/pdf/E7-11625.pdf