<![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/2007/12/31?registers=between Tue, 12 Aug 2025 03:41:51 -0700 Tue, 12 Aug 2025 03:41:51 -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/2007/12/31?registers=between Notice - The UBS Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25378.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25378.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25378 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25378.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a New Non-Regulatory Trading Halt Condition Under Rule 123D Designated as “Investment Company Units or Index-Linked Securities” https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25376.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25376.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25376 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25376.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. To Require a Non-Streaming Quote Trader Registered Option Traders (“non-SQT ROT”) To Submit a List of Options for Intended Assignment https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25375.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25375.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25375 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25375.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Section 107D(g) of the Amex Company Guide https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25374.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25374.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25374 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25374.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend its Rule 25 To Eliminate a Requirement That a Participant Have a Formal Written Agreement To Use Another Participant's Give-Up https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25373.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25373.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25373 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25373.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Make Technical Amendments to the Uniform Application for Securities Industry Registration or Transfer (“Form U4”), the Uniform Termination Notice for Securities Industry Registration (“Form U5”) and the Uniform Branch Office Form (“Form BR”) https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25370.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25370.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25370 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25370.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Elimination of the Short Sale “tick” and Price Tests https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25369.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25369.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25369 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25369.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 Thereto To Trade Shares of the GreenHaven Continuous Commodity Index Fund Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25368.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25368.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25368 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25368.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving a Proposed Rule Change Relating to Amending By-Law Article X, Section 10-11 https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25367.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25367.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25367 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25367.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to $5 Strike Price Intervals of Options on Exchange-Traded Fund Shares above $200 https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25366.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25366.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25366 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25366.pdf Notice - Main Street Capital Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25357.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25357.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25357 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25357.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Open the Exchange's Equity Trading Platform at 9 a.m. https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25356.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25356.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25356 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25356.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Customized U.S. Dollar-Settled Foreign Currency Options https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25355.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25355.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25355 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25355.pdf Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fee for Registering and Transferring Registration of Associated Persons https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25354.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25354.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25354 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25354.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish a New Class of Off Floor Market Makers in ETFs Called Designated Amex Remote Traders https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25351.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25351.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25351 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25351.pdf Notice - Millennium India Acquisition Company Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25350.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25350.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25350 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25350.pdf Rule - Staff Accounting Bulletin No. 110 https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25178.html https://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25178.html Mon, 31 Dec 2007 00:00:00 -0800 E7-25178 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25178.pdf