<![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/2007/09/28?registers=between Tue, 15 Jul 2025 21:24:11 -0700 Tue, 15 Jul 2025 21:24:11 -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/2007/09/28?registers=between Proposed Rule - Interpretive Rule Under the Advisers Act Affecting Broker-Dealers https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19269.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19269.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19269 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19269.pdf Rule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19191.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19191.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19191 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19191.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19185.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19185.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19185 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19185.pdf Notice - Securities Exchange Act of 1934; Order Granting Registration of Standard & Poor's Ratings Services as a Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19175.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19175.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19175 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19175.pdf Notice - Securities Exchange Act of 1934; Order Granting Registration of Japan Credit Rating Agency, LTD., as a Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19174.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19174.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19174 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19174.pdf Notice - Securities Exchange Act of 1934; Order Granting Registration of Rating and Investment Information, Inc., as a Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19173.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19173.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19173 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19173.pdf Notice - Securities Exchange Act of 1934; Order Granting Registration of Moody's Investors Service, Inc. as a Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19172.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19172.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19172 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19172.pdf Notice - Securities Exchange Act of 1934; Order Granting Registration of Fitch, Inc. as a Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19171.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19171.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19171 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19171.pdf Notice - Securities Exchange Act Of 1934; Order Granting Registration Of DBRS Limited As A Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19170.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19170.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19170 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19170.pdf Notice - Securities Exchange Act of 1934; Order Granting Registration of A.M. Best Company, Inc. as a Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19169.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19169.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19169 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19169.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Commence a One Year Pilot Program Relating to a Quote Mitigation Plan for Competitive Market Makers https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19165.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19165.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19165 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19165.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PrecISE Fees https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19164.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19164.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19164 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19164.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require That the AEMI Trading Platform Function To Assure Compliance With the Exchange's Priority and Parity Rules https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19163.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19163.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19163 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19163.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Obvious Error Rules https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19162.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19162.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19162 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19162.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Eliminate Position and Exercise Limits for Options on the Russell 2000 Index, and to Specify that Certain Reduced-Value Options on Broad-Based Security Indexes Have No Position and Exercise Limits https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19161.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19161.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19161 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19161.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Quoting Obligations in Long Term Options https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19160.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19160.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19160 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19160.pdf Notice - ProShares Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19149.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19149.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19149 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19149.pdf Notice - WisdomTree Investments, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19148.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19148.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19148 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19148.pdf