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?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-03T03:58:10-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21386.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2007-10-31T00:00:00-07:002007-10-31T00:00:00-07:00E7-21386Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-31/pdf/E7-21386.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21384.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Execution of Odd Lot Market Orders2007-10-31T00:00:00-07:002007-10-31T00:00:00-07:00E7-21384Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-31/pdf/E7-21384.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21383.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Orders2007-10-31T00:00:00-07:002007-10-31T00:00:00-07:00E7-21383Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-31/pdf/E7-21383.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21382.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Article FOURTH of its Restated Certificate of Incorporation2007-10-31T00:00:00-07:002007-10-31T00:00:00-07:00E7-21382Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-31/pdf/E7-21382.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21285.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Specific Performance Commitments for Primary Market Makers2007-10-30T00:00:00-07:002007-10-30T00:00:00-07:00E7-21285Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21285.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21284.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Charged to Member Organizations for Participation in the Exchange's Continuing Education Program2007-10-30T00:00:00-07:002007-10-30T00:00:00-07:00E7-21284Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21284.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21283.htmlNotice - Proposed Collection; Comment Request2007-10-30T00:00:00-07:002007-10-30T00:00:00-07:00E7-21283Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21283.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21282.htmlNotice - Submission for OMB Review; Comment Request2007-10-30T00:00:00-07:002007-10-30T00:00:00-07:00E7-21282Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21282.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21276.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing and Trading of Shares of the HealthSharesTM2007-10-30T00:00:00-07:002007-10-30T00:00:00-07:00E7-21276Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21276.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/29/E7-21219.htmlNotice - Self-Regulatory Organizations; The New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, To Amend NYSE Rule 342.13 (“Acceptability of Supervisors”)2007-10-29T00:00:00-07:002007-10-29T00:00:00-07:00E7-21219Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-29/pdf/E7-21219.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21218.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC.; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, To Amend Listing Fees for Structured Products2007-10-26T00:00:00-07:002007-10-26T00:00:00-07:00E7-21218Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-26/pdf/E7-21218.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21180.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Establish a New Service Called Nasdaq Regulation Reconnaissance Service (“Reg Recon”) To Assist Nasdaq Members in Their Efforts To Comply With Applicable Regulatory Requirements2007-10-26T00:00:00-07:002007-10-26T00:00:00-07:00E7-21180Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-26/pdf/E7-21180.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21179.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Options on Leveraged ETF Shares2007-10-26T00:00:00-07:002007-10-26T00:00:00-07:00E7-21179Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-26/pdf/E7-21179.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21166.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to NASD Rule 3210 in Light of Amendments to the SEC Regulation SHO Delivery Requirements2007-10-26T00:00:00-07:002007-10-26T00:00:00-07:00E7-21166Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-26/pdf/E7-21166.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/25/E7-21028.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend the Minimum Quote Size Requirements for Hybrid Opening System Rotations2007-10-25T00:00:00-07:002007-10-25T00:00:00-07:00E7-21028Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-25/pdf/E7-21028.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/25/E7-20988.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) To Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction To Transfer a Customer's Securities Account Consistent With the Time Frames in the Automated Customer Account Transfer Service2007-10-25T00:00:00-07:002007-10-25T00:00:00-07:00E7-20988Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-25/pdf/E7-20988.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/25/E7-20987.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend Its Rules and Procedures With Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing2007-10-25T00:00:00-07:002007-10-25T00:00:00-07:00E7-20987Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-25/pdf/E7-20987.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/24/E7-20899.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Reporting of Odd-Lot Transactions to FINRA2007-10-24T00:00:00-07:002007-10-24T00:00:00-07:00E7-20899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-24/pdf/E7-20899.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/24/E7-20898.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Qualified Contingent Trade Exemption2007-10-24T00:00:00-07:002007-10-24T00:00:00-07:00E7-20898Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-24/pdf/E7-20898.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20830.htmlNotice - Sunshine Act Meeting2007-10-23T00:00:00-07:002007-10-23T00:00:00-07:00E7-20830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20830.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20806.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Sessions on NYSE Arca Marketplace2007-10-23T00:00:00-07:002007-10-23T00:00:00-07:00E7-20806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20806.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20794.htmlNotice - Submission for OMB Review; Comment Request2007-10-23T00:00:00-07:002007-10-23T00:00:00-07:00E7-20794Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20794.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20793.htmlNotice - Proposed Collection; Comment Request2007-10-23T00:00:00-07:002007-10-23T00:00:00-07:00E7-20793Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20793.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20792.htmlNotice - Proposed Collection; Comment Request2007-10-23T00:00:00-07:002007-10-23T00:00:00-07:00E7-20792Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20792.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20769.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Series of U.S. Dollar-Settled Foreign Currency Options Open for Trading2007-10-23T00:00:00-07:002007-10-23T00:00:00-07:00E7-20769Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20769.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/22/E7-20784.htmlNotice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Compliance Rule 2-4: Misuse of Trade Secrets and Proprietary Information2007-10-22T00:00:00-07:002007-10-22T00:00:00-07:00E7-20784Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-22/pdf/E7-20784.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/22/E7-20783.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change Relating to Fee Changes on a Retroactive Basis2007-10-22T00:00:00-07:002007-10-22T00:00:00-07:00E7-20783Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-22/pdf/E7-20783.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/22/E7-20782.htmlNotice - Application and Opportunity for Hearing: Grupo Iusacell Celular, S.A. de C.V.2007-10-22T00:00:00-07:002007-10-22T00:00:00-07:00E7-20782Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-22/pdf/E7-20782.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20619.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Broaden the Application of Existing Transaction Fees for VIX Options to Options on All Volatility Indexes Calculated by CBOE2007-10-19T00:00:00-07:002007-10-19T00:00:00-07:00E7-20619Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20619.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20601.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto, To Require Members To Provide Customers in TRACE-Eligible Debt Securities With Additional, Transaction-Specific Disclosures and To Notify Customers of the Availability of a Disclosure Document2007-10-19T00:00:00-07:002007-10-19T00:00:00-07:00E7-20601Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20601.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20587.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; 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 Limits2007-10-19T00:00:00-07:002007-10-19T00:00:00-07:00E7-20587Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20587.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20586.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the Exchange's Institutional Broker Rules To Add Provisions Relating to the Handling of Stop and Stop-Limit Orders2007-10-19T00:00:00-07:002007-10-19T00:00:00-07:00E7-20586Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20586.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20585.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1, 2, 3 and 4 Relating to Fairness Opinions2007-10-19T00:00:00-07:002007-10-19T00:00:00-07:00E7-20585Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20585.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20542.htmlNotice - MetLife Insurance Company of Connecticut, et al.2007-10-18T00:00:00-07:002007-10-18T00:00:00-07:00E7-20542Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20542.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20536.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing of Options Series With $2.50 Strike Price Intervals Between $50 and $752007-10-18T00:00:00-07:002007-10-18T00:00:00-07:00E7-20536Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20536.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20535.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Relating to NYSE Rule 2 (“Member,” “Membership,” “Member Firm,” etc.)2007-10-18T00:00:00-07:002007-10-18T00:00:00-07:00E7-20535Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20535.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20534.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect the Fact That Sun Microsystems, Inc. Has Changed Its Trading Symbol From SUNW to JAVA2007-10-18T00:00:00-07:002007-10-18T00:00:00-07:00E7-20534Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20534.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20533.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Criteria for Securities That Underlie Options Traded on the Exchange2007-10-18T00:00:00-07:002007-10-18T00:00:00-07:00E7-20533Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20533.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20523.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Order Approving Proposed Rule Change To Establish a Membership Waive-In Process for Certain NYSE Member Organizations2007-10-18T00:00:00-07:002007-10-18T00:00:00-07:00E7-20523Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20523.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20522.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Eliminate Position and Exercise Limits on Russell 2000® Index Options2007-10-18T00:00:00-07:002007-10-18T00:00:00-07:00E7-20522Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20522.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20460.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 Fees2007-10-17T00:00:00-07:002007-10-17T00:00:00-07:00E7-20460Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20460.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20459.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Marketing Fee Program in Connection With the Expansion of the Penny Pilot Program2007-10-17T00:00:00-07:002007-10-17T00:00:00-07:00E7-20459Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20459.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20458.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Marketing Fee Program2007-10-17T00:00:00-07:002007-10-17T00:00:00-07:00E7-20458Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20458.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20457.htmlNotice - Submission for OMB Review; Comment Request2007-10-17T00:00:00-07:002007-10-17T00:00:00-07:00E7-20457Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20457.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20445.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Fees and Charges2007-10-17T00:00:00-07:002007-10-17T00:00:00-07:00E7-20445Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20445.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20444.htmlNotice - Raymond James Employee Investment Fund I, L.P., et al.; Notice of Application2007-10-17T00:00:00-07:002007-10-17T00:00:00-07:00E7-20444Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20444.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20406.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Closing of the NASD/BSE Trade Reporting Facility2007-10-17T00:00:00-07:002007-10-17T00:00:00-07:00E7-20406Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20406.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20385.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Proposed Rule Change Related to Mandated Use of an Automated Liability Notification System2007-10-17T00:00:00-07:002007-10-17T00:00:00-07:00E7-20385Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20385.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20461.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Options Listing Criteria for Underlying Securities2007-10-16T00:00:00-07:002007-10-16T00:00:00-07:00E7-20461Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20461.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20363.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Resolving Uncompared Transactions2007-10-16T00:00:00-07:002007-10-16T00:00:00-07:00E7-20363Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20363.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20362.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Increase the Annual Listing Fees for Certain Stock Issues of Listed Companies2007-10-16T00:00:00-07:002007-10-16T00:00:00-07:00E7-20362Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20362.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20361.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Allow the Exchange To List Up to Seven Expiration Months for Broad-Based Security Index Options Upon Which the Exchange Calculates a Constant Three-Month Volatility Index2007-10-16T00:00:00-07:002007-10-16T00:00:00-07:00E7-20361Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20361.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20360.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, Adopting Generic Listing Standards for Exchange-Traded Funds Based on International or Global Indexes or Indexes Described in Exchange Rules Previously Approved by the Commission as Underlying Benchmarks for Derivative Securities2007-10-16T00:00:00-07:002007-10-16T00:00:00-07:00E7-20360Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20360.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20359.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Section 107 of the Amex Company Guide To Provide an Exception to the Initial Minimum Public Distribution Listing Requirement2007-10-16T00:00:00-07:002007-10-16T00:00:00-07:00E7-20359Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20359.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20358.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Structured Equity Products2007-10-16T00:00:00-07:002007-10-16T00:00:00-07:00E7-20358Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20358.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20330.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to Generic Listing and Trading Rules for Index-Linked Securities2007-10-16T00:00:00-07:002007-10-16T00:00:00-07:00E7-20330Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20330.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20329.htmlNotice - Self-Regulatory Organizations; The Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Web CRD Fingerprinting Fees2007-10-16T00:00:00-07:002007-10-16T00:00:00-07:00E7-20329Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20329.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20281.htmlNotice - Sunshine Act Meeting2007-10-15T00:00:00-07:002007-10-15T00:00:00-07:00E7-20281Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-15/pdf/E7-20281.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20216.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to a Delta Hedging Exemption From Equity Options Position Limits2007-10-15T00:00:00-07:002007-10-15T00:00:00-07:00E7-20216Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-15/pdf/E7-20216.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20215.htmlNotice - Submission for OMB Review; Comment Request2007-10-15T00:00:00-07:002007-10-15T00:00:00-07:00E7-20215Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-15/pdf/E7-20215.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20214.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Amend NYSE Rule 70.30 Relating to the Definition of a Crowd2007-10-15T00:00:00-07:002007-10-15T00:00:00-07:00E7-20214Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-15/pdf/E7-20214.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20131.htmlNotice - Advisory Committee on Improvements to Financial Reporting2007-10-12T00:00:00-07:002007-10-12T00:00:00-07:00E7-20131Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20131.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20122.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Expand the Trading Hours of Certain Exchange-Traded Funds2007-10-12T00:00:00-07:002007-10-12T00:00:00-07:00E7-20122Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20122.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20121.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating To Extended Hours Trading of Investment Company Units and Portfolio Depository Receipts2007-10-12T00:00:00-07:002007-10-12T00:00:00-07:00E7-20121Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20121.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20120.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Annual Membership Fee for Nasdaq Members2007-10-12T00:00:00-07:002007-10-12T00:00:00-07:00E7-20120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20120.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20119.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Exchange's Fees for Orders Submitted for Certain NYSE and Nasdaq-Listed Securities2007-10-12T00:00:00-07:002007-10-12T00:00:00-07:00E7-20119Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20119.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20118.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Limit the Use of FINRA's Name and Any Other Name Owned by FINRA and To Require Members and Persons Associated With a Member that Refer to their FINRA Membership on a Web site to Provide a Hyperlink to www.finra.org2007-10-12T00:00:00-07:002007-10-12T00:00:00-07:00E7-20118Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20118.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20117.htmlNotice - Joint Industry Plan; Notice of Filing of Joint Amendment No. 23 to the Intermarket Option Linkage Plan To Permit the Use of Linkage Prior to the Opening of Trading2007-10-12T00:00:00-07:002007-10-12T00:00:00-07:00E7-20117Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20117.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20116.htmlNotice - Joint Industry Plan; Notice of Filing of Joint Amendment No. 24 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Elimination of the Class Gate2007-10-12T00:00:00-07:002007-10-12T00:00:00-07:00E7-20116Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20116.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20081.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change Relating to the Establishment of the NASDAQ Options Market LLC2007-10-12T00:00:00-07:002007-10-12T00:00:00-07:00E7-20081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20081.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20080.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE's Membership Rules As Applied To Statutory Disqualification Hearings2007-10-12T00:00:00-07:002007-10-12T00:00:00-07:00E7-20080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20080.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/11/E7-20025.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, and Notice of Filing of Amendment No. 1 Thereto Relating to Adoption of Revised Initial and Continued Listing Standards for the Pilot Program Expiring on November 30, 20072007-10-11T00:00:00-07:002007-10-11T00:00:00-07:00E7-20025Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-11/pdf/E7-20025.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/11/E7-20024.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to a New Book Feed Product2007-10-11T00:00:00-07:002007-10-11T00:00:00-07:00E7-20024Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-11/pdf/E7-20024.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/11/E7-19937.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Definition of “Complex Trade”2007-10-11T00:00:00-07:002007-10-11T00:00:00-07:00E7-19937Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-11/pdf/E7-19937.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19923.htmlNotice - Sunshine Act Meeting2007-10-10T00:00:00-07:002007-10-10T00:00:00-07:00E7-19923Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19923.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19913.htmlNotice - IronBridge Capital Management LP; The Hirtle Callaghan Trust; Notice of Application2007-10-10T00:00:00-07:002007-10-10T00:00:00-07:00E7-19913Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19913.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19912.htmlNotice - Franklin Portfolio Associates, LLC; The Hirtle Callaghan Trust; Notice of Application2007-10-10T00:00:00-07:002007-10-10T00:00:00-07:00E7-19912Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19912.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19911.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive the Fee Charged to Member Organizations for the Approval of Pre-Qualified Substitutes2007-10-10T00:00:00-07:002007-10-10T00:00:00-07:00E7-19911Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19911.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19910.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Hybrid Electronic Quoting Fee2007-10-10T00:00:00-07:002007-10-10T00:00:00-07:00E7-19910Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19910.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19909.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Trade Shares of Eight Funds of the ProShares Trust Based on International Indexes Pursuant to Unlisted Trading Privileges2007-10-10T00:00:00-07:002007-10-10T00:00:00-07:00E7-19909Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19909.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19908.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 70 (Bids and Offers) and Rule 104 (Dealings by Specialists)2007-10-10T00:00:00-07:002007-10-10T00:00:00-07:00E7-19908Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19908.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19907.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Fee on a Listed Company That Changes Its Corporate Name or Ticker Symbol2007-10-10T00:00:00-07:002007-10-10T00:00:00-07:00E7-19907Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19907.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19906.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3 Thereto, Relating to Registration Filing Requirements and Reporting Requirements2007-10-10T00:00:00-07:002007-10-10T00:00:00-07:00E7-19906Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19906.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19905.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Amend the Hybrid Opening System Opening Rotations Rules2007-10-10T00:00:00-07:002007-10-10T00:00:00-07:00E7-19905Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19905.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19870.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change Modifying the Options Listing Criteria for Underlying Securities2007-10-10T00:00:00-07:002007-10-10T00:00:00-07:00E7-19870Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19870.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19856.htmlNotice - Proposed Collection; Comment Request2007-10-10T00:00:00-07:002007-10-10T00:00:00-07:00E7-19856Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19856.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19855.htmlNotice - Proposed Collection; Comment Request2007-10-10T00:00:00-07:002007-10-10T00:00:00-07:00E7-19855Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19855.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19765.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change as Modified by Amendment No. 2 Thereto Relating to Exchange Fees and Charges2007-10-09T00:00:00-07:002007-10-09T00:00:00-07:00E7-19765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19765.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19764.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Initial Listing Standards for Index-Linked Securities2007-10-09T00:00:00-07:002007-10-09T00:00:00-07:00E7-19764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19764.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19753.htmlNotice - JNF Advisors, Inc. and Northern Lights Variable Trust; Notice of Application2007-10-09T00:00:00-07:002007-10-09T00:00:00-07:00E7-19753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19753.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19752.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of Shares of Eight Funds of the ProShares Trust Based on International Equity Indexes2007-10-09T00:00:00-07:002007-10-09T00:00:00-07:00E7-19752Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19752.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19751.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Institute a Revised System of Payments to Specialist Firms2007-10-09T00:00:00-07:002007-10-09T00:00:00-07:00E7-19751Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19751.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19750.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Exchange's Transaction Fees and Certain Trading Floor Fees2007-10-09T00:00:00-07:002007-10-09T00:00:00-07:00E7-19750Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19750.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19749.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Temporary Waiver of the Specialist Marketing and Investor Education Fee for Specialists in Certain Listed Investment Company Units2007-10-09T00:00:00-07:002007-10-09T00:00:00-07:00E7-19749Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19749.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19748.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rules 104(b) and 123D2007-10-09T00:00:00-07:002007-10-09T00:00:00-07:00E7-19748Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19748.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/09/07-4971.htmlNotice - In the Matter of Certain Companies Quoted on the Pink Sheets: Alliance Transcription Services, Inc., Prime Petroleum Group, Inc., T.W. Christian, Inc.; Order of Suspension of Trading2007-10-09T00:00:00-07:002007-10-09T00:00:00-07:0007-4971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/07-4971.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19697.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Eliminate Its Rule Governing the Relation of a Nasdaq Market Maker's Quotations to the Prevailing Market2007-10-05T00:00:00-07:002007-10-05T00:00:00-07:00E7-19697Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19697.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19673.htmlNotice - Self-Regulatory Organizations: Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amending the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) To Exempt Locations That Solely Conduct Final Approval of Research Reports2007-10-05T00:00:00-07:002007-10-05T00:00:00-07:00E7-19673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19673.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19672.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Limited Liability Company Agreement of The NASDAQ Stock Market, LLC2007-10-05T00:00:00-07:002007-10-05T00:00:00-07:00E7-19672Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19672.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19671.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Period for Rule 2.12 Regarding Third-Party Routing Services in Respect of Orders Entered into NSX BLADESM2007-10-05T00:00:00-07:002007-10-05T00:00:00-07:00E7-19671Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19671.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19670.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade Shares of the iShares FTSE/Xinhua China 25 Index Fund Pursuant to Unlisted Trading Privileges2007-10-05T00:00:00-07:002007-10-05T00:00:00-07:00E7-19670Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19670.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19639.htmlNotice - Vanguard STAR Funds, et al.; Notice of Application2007-10-04T00:00:00-07:002007-10-04T00:00:00-07:00E7-19639Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19639.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19631.htmlNotice - Fidelity Rutland Square Trust, et al.2007-10-04T00:00:00-07:002007-10-04T00:00:00-07:00E7-19631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19631.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19630.htmlNotice - Van Eck Associates Corporation, et al.; Notice of Application2007-10-04T00:00:00-07:002007-10-04T00:00:00-07:00E7-19630Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19630.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19593.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to the Reporting of Foreign Equity Securities to the Order Audit Trail System2007-10-04T00:00:00-07:002007-10-04T00:00:00-07:00E7-19593Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19593.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19579.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402007-10-04T00:00:00-07:002007-10-04T00:00:00-07:00E7-19579Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19579.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19559.htmlNotice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend Its Bylaws to Confirm That an Exchange Director Cannot Participate in the Determination of Any Matter Involving an Issuer of a Security Listed or To Be Listed on the Exchange, if the Director is a Director, Officer, or Employee of the Issuer2007-10-04T00:00:00-07:002007-10-04T00:00:00-07:00E7-19559Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19559.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19558.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Boston Stock Exchange, Inc; Chicago Board Options Exchange, Incorporated and International Securities Exchange, LLC: Notice of Filing of Proposed Rule Changes Relating to the Definition of a Complex Trade; NYSE Arca, Inc.: Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Definition of a Complex Trade2007-10-04T00:00:00-07:002007-10-04T00:00:00-07:00E7-19558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19558.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19549.htmlNotice - Submission for OMB Review; Comment Request2007-10-04T00:00:00-07:002007-10-04T00:00:00-07:00E7-19549Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19549.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19548.htmlNotice - Submission for OMB Review; Comment Request2007-10-04T00:00:00-07:002007-10-04T00:00:00-07:00E7-19548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19548.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19547.htmlNotice - Submission for OMB Review; Comment Request2007-10-04T00:00:00-07:002007-10-04T00:00:00-07:00E7-19547Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19547.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19546.htmlNotice - Submission for OMB Review; Comment Request2007-10-04T00:00:00-07:002007-10-04T00:00:00-07:00E7-19546Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19546.pdfhttps://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.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19408.htmlNotice - Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-02132007-10-02T00:00:00-07:002007-10-02T00:00:00-07:00E7-19408Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19408.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19404.htmlNotice - 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 XLE Fees2007-10-02T00:00:00-07:002007-10-02T00:00:00-07:00E7-19404Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19404.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19398.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a System Change to the Phlx's Electronic Options Trading Platform, Phlx XL2007-10-02T00:00:00-07:002007-10-02T00:00:00-07:00E7-19398Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19398.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19385.htmlNotice - Claymore Exchange-Traded Fund Trust, et al.; Notice of Application2007-10-02T00:00:00-07:002007-10-02T00:00:00-07:00E7-19385Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19385.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19384.htmlNotice - Sunshine Act Meetings2007-10-02T00:00:00-07:002007-10-02T00:00:00-07:00E7-19384Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19384.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19362.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Accelerated Approval to Proposed Rule Change Relating to Requirements for the Listing and Trading of Commodity-Linked Securities and Currency-Linked Securities2007-10-02T00:00:00-07:002007-10-02T00:00:00-07:00E7-19362Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19362.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19361.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Requirements for Listing Commodity-Linked Securities and Currency-Linked Securities2007-10-02T00:00:00-07:002007-10-02T00:00:00-07:00E7-19361Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19361.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19343.htmlNotice - Public Alert: Unregistered Soliciting Entities (“Pause”) Program2007-10-02T00:00:00-07:002007-10-02T00:00:00-07:00E7-19343Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19343.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19291.htmlNotice - Order Cancelling the Registration of a Transfer Agent2007-10-01T00:00:00-07:002007-10-01T00:00:00-07:00E7-19291Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19291.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19282.htmlNotice - Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al.; Notice of Application and Temporary Order2007-10-01T00:00:00-07:002007-10-01T00:00:00-07:00E7-19282Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19282.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19281.htmlNotice - MMA Praxis Mutual Funds, et al.; Notice of Application2007-10-01T00:00:00-07:002007-10-01T00:00:00-07:00E7-19281Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19281.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19275.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Inspections2007-10-01T00:00:00-07:002007-10-01T00:00:00-07:00E7-19275Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19275.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19274.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adjusting Implementation Schedule of Rule 3523, Tax Services for Persons in Financial Reporting Oversight Roles2007-10-01T00:00:00-07:002007-10-01T00:00:00-07:00E7-19274Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19274.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19273.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade Currency Trust Shares of Seven Currency Trusts Pursuant to Unlisted Trading Privileges2007-10-01T00:00:00-07:002007-10-01T00:00:00-07:00E7-19273Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19273.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19272.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Deletion of Certain Rules That the Amex has Determined Are Obsolete, Outdated, or Unnecessary2007-10-01T00:00:00-07:002007-10-01T00:00:00-07:00E7-19272Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19272.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19271.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Order Approving Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)2007-10-01T00:00:00-07:002007-10-01T00:00:00-07:00E7-19271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19271.pdfhttps://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19270.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Changes in the Name and Investment Objective to the PowerShares DB Precious Metals Fund, the PowerShares DB Gold Fund, and the PowerShares DB Silver Fund2007-10-01T00:00:00-07:002007-10-01T00:00:00-07:00E7-19270Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19270.pdf