<![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/2007/08/01?registers=between Fri, 15 Aug 2025 20:01:07 -0700 Fri, 15 Aug 2025 20:01:07 -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/2007/08/01?registers=between Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the National Association of Securities Dealers, Inc., New York Stock Exchange, LLC, and NYSE Regulation, Inc. https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14877.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14877.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14877 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14877.pdf Notice - Public Company Accounting Oversight Board; Order Approving Proposed Auditing Standard No. 5, An Audit of Internal Control Over Financial Reporting That Is Integrated With an Audit of Financial Statements, a Related Independence Rule, and Conforming Amendments https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14858.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14858.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14858 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14858.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Restated Certificate of Incorporation of National Association of Securities Dealers, Inc. https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14856.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14856.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14856 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14856.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Amend the By-Laws of NASD To Implement Governance and Related Changes To Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14855.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14855.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14855 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14855.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Incorporate Certain NYSE Rules Relating to Member Firm Conduct https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14854.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14854.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14854 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14854.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, LLC.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Harmonization of NYSE and NASD Regulatory Standards, the Updating of Certain NYSE Terminology, and the Reorganization and Clarification of Certain NYSE Rules in Connection With the Harmonization Process https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14853.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14853.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14853 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14853.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14845.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14845.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14845 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14845.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to the Extension of a Pilot Program to Quote and Trade Options in Penny Increments https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14844.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14844.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14844 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14844.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Rule 106 (Specialists' Contact With Listed Companies and Member Organizations) https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14843.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14843.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14843 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14843.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 302 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14842.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14842.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14842 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14842.pdf Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Institute a Pricing Incentive Program for Market Makers in Exchange-Traded Funds and Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14841.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14841.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14841 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14841.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14840.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14840.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14840 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14840.pdf Notice - Consolidated Tape Association; Notice of Filing of the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14839.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14839.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14839 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14839.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change As Modified by Amendment No. 1 Relating to Exchange Fees and Charges https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14838.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14838.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14838 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14838.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating to an Extension of the Linkage Fee Pilot Program https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14837.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14837.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14837 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14837.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To List and Trade Currency Trust Shares https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14836.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14836.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14836 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14836.pdf Notice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the National Settlement Service https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14835.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14835.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14835 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14835.pdf Notice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of NASD Interpretive Material 2210-4, which Requires Certain Member Firms to Provide a Hyperlink to http://www.nasd.com. https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14834.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14834.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14834 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14834.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Existing Fee Schedules https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14833.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14833.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14833 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14833.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Linkage Fees https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14832.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14832.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14832 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14832.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Order Cancellation Fee https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14831.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14831.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14831 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14831.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the National Settlement Service https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14830.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14830.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14830 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14830.pdf Rule - Shareholder Choice Regarding Proxy Materials https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14793.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14793.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14793 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14793.pdf