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/2007/10/03?limit=200®isters=between&mode=atom2024-12-22T18:42:42-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19540.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Codify the Hybrid Price Check Parameter2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19540Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19540.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19539.htmlNotice - American Capital Strategies, Ltd.; Notice of Application2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19539Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19539.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19538.htmlNotice - Rydex ETF Trust, et al.2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19538Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19538.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19537.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Moratorium on the Qualification and Registration of New Registered Competitive Market Makers and New Competitive Traders, Governed by Rules 107A and 110, Respectively, for an Additional Three Months2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19537.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19536.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto Relating to Representation of Parties in Arbitration and Mediation2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19536Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19536.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19535.htmlNotice - Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 7.34 and 7.352007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19535Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19535.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19534.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Procedures With Respect To Processing of Certain Voluntary Events in Its Reorganization Service and Clarifying Legal Considerations Set Forth in Its Procedures Relating To Usage of Information Obtained by Participants2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19534Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19534.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19500.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to an Extension and Expansion of the Penny Pilot Program2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19500Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19500.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19499.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval to a Proposed Rule Change Relating to the Extension and Expansion of a Pilot Program To Quote Certain Option Series in Increments of $0.012007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19499Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19499.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19498.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval to a Proposed Rule Change Relating to an Extension and Expansion of the Penny Pilot Program2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19498Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19498.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19497.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to an Extension and Expansion of the Options Quoting Pilot Program2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19497Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19497.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19496.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval to a Proposed Rule Change To Extend and Expand the Pilot Program To Quote Certain Options in Pennies2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19496Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19496.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19495.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval to a Proposed Rule Change Regarding the Extension and Expansion of the Penny Pilot Program2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19495.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19490.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 104.10(6) (Dealings With Specialists)2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19490Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19490.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19489.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Implement the New Issue Information Dissemination Service for Municipal Securities2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19489Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19489.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19488.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 124 (Odd-Lot Orders)2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19488Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19488.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19487.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Short Interest Reporting2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19487Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19487.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19093.htmlRule - Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:00E7-19093Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19093.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/07-4916.htmlNotice - In the Matter of ConnectAJet.com, Inc.; Order of Suspension of Trading2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:0007-4916Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/07-4916.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/07-4915.htmlNotice - In the Matter of China Expert Technology, Inc.; Order of Suspension of Trading2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:0007-4915Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/07-4915.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/03/07-4769.htmlRule - Definitions of Terms and Exemptions Relating to the “Broker” Exceptions for Banks2007-10-03T00:00:00-07:002007-10-03T00:00:00-07:0007-4769Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/07-4769.pdf