<![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/2007/10/03?registers=between Sun, 22 Dec 2024 18:41:03 -0800 Sun, 22 Dec 2024 18:41:03 -0800 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/2007/10/03?registers=between Notice - 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 Parameter https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19540.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19540.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19540 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19540.pdf Notice - American Capital Strategies, Ltd.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19539.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19539.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19539 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19539.pdf Notice - Rydex ETF Trust, et al. https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19538.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19538.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19538 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19538.pdf Notice - 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 Months https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19537.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19537.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19537 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19537.pdf Notice - 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 Mediation https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19536.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19536.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19536 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19536.pdf Notice - Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 7.34 and 7.35 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19535.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19535.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19535 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19535.pdf Notice - 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 Participants https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19534.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19534.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19534 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19534.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19500.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19500.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19500 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19500.pdf Notice - 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 $0.01 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19499.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19499.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19499 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19499.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval to a Proposed Rule Change Relating to an Extension and Expansion of the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19498.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19498.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19498 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19498.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19497.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19497.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19497 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19497.pdf Notice - 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 Pennies https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19496.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19496.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19496 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19496.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19495.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19495.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19495 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19495.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19490.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19490.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19490 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19490.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Implement the New Issue Information Dissemination Service for Municipal Securities https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19489.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19489.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19489 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19489.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19488.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19488.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19488 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19488.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Short Interest Reporting https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19487.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19487.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19487 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19487.pdf Rule - Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19093.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19093.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19093 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19093.pdf Notice - In the Matter of ConnectAJet.com, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4916.html https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4916.html Wed, 03 Oct 2007 00:00:00 -0700 07-4916 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/07-4916.pdf Notice - In the Matter of China Expert Technology, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4915.html https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4915.html Wed, 03 Oct 2007 00:00:00 -0700 07-4915 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/07-4915.pdf Rule - Definitions of Terms and Exemptions Relating to the “Broker” Exceptions for Banks https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4769.html https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4769.html Wed, 03 Oct 2007 00:00:00 -0700 07-4769 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/07-4769.pdf