<![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?registers=between&min-day=1&max-day=31 Sat, 27 Apr 2024 11:28:12 -0700 Sat, 27 Apr 2024 11:28:12 -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?registers=between&min-day=1&max-day=31 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 Notice - Securities Exchange Act of 1934; Order Granting Registration of Egan-Jones Rating Company As A Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25244.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25244.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25244 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25244.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 710, Minimum Trading Increments https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25208.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25208.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25208 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25208.pdf Notice - 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 11 Funds of the ProShares Trust Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25207.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25207.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25207 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25207.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25206.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25206.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25206 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25206.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Annual Shareholder Meeting Requirements https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25202.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25202.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25202 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25202.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of the Exchange's Amended and Restated Constitution https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25201.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25201.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25201 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25201.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To List and Trade Options on the iShares MSCI Mexico Index Fund https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25200.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25200.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25200 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25200.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to List and Trade Options on Shares of the iShares MSCI Mexico Index Fund https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25199.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25199.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25199 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25199.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Amending its Obvious Error Rule for Options on Indices, ETFs, and HOLDRS https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25198.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25198.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25198 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25198.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Allow Registered Options Traders to Quote Remotely From Off the Amex's Trading Floor on a Limited Basis https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25197.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25197.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25197 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25197.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Create Exception to Principal Approval Requirements for Certain Filed Sales Material https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25191.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25191.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25191 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25191.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Exchange Rule 325 Relating to Financial Responsibility Requirements of Member Organizations https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25190.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25190.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25190 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25190.pdf Notice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Elimination of Provisions Relating to Rule 10a-1 https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25189.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25189.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25189 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25189.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the New York Stock Exchange LLC Relating to NYSE Rule 300 (Trading Licenses) https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25188.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25188.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25188 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25188.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Amending Its Obvious Error Rule for Options on Indices, ETFs, and HOLDRS https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25187.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25187.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25187 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25187.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to an Amendment to the Municipal Securities Information Library® System To Establish a Pilot System for Consolidated Dissemination of Disclosure Documents and Related Information Through an Internet-Based Public Access Portal https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25186.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25186.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25186 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25186.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 15 (ITS and Pre-Opening Applications) https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25185.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25185.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25185 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25185.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule G-14, Reports of Sales or Purchases, to Extend the Expiration Date of the Three-Hour Exception to the Fifteen-Minute Reporting Deadline https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25184.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25184.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25184 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25184.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Amendment to NYSE Rule 104.21 (“Specialist Organizations-Additional Capital Requirements”) https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25183.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25183.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25183 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25183.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Regarding the CBSX Floor Post https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25182.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25182.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25182 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25182.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Range Options https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25181.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25181.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25181 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25181.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of International Securities Exchange Holdings, Inc.'s Certificate of Incorporation and Trust Agreement https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25180.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25180.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25180 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25180.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a/ Financial Industry Regulatory Authority, Inc.); Order Granting Approval of a Proposed Rule Change Related to Mandated Use of an Automated Liability Notification System https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25179.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25179.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25179 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25179.pdf Notice - 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 Thereto, To List and Trade Shares of Eleven Funds of the ProShares Trust https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24997.html https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24997.html Thu, 27 Dec 2007 00:00:00 -0800 E7-24997 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-27/pdf/E7-24997.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24996.html https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24996.html Thu, 27 Dec 2007 00:00:00 -0800 E7-24996 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-27/pdf/E7-24996.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 List and Trade the BearLinxSM https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24990.html https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24990.html Thu, 27 Dec 2007 00:00:00 -0800 E7-24990 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-27/pdf/E7-24990.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Trading of Certain Securities Outside of the Regular Market Session https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24989.html https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24989.html Thu, 27 Dec 2007 00:00:00 -0800 E7-24989 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-27/pdf/E7-24989.pdf Notice - 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 List and Trade Shares of the iShares MSCI Japan Small Cap Index Fund https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24988.html https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24988.html Thu, 27 Dec 2007 00:00:00 -0800 E7-24988 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-27/pdf/E7-24988.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change as Modified by Amendments No. 1 and 2 Relating to Independent Directors and Audit Committee Members https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24987.html https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24987.html Thu, 27 Dec 2007 00:00:00 -0800 E7-24987 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-27/pdf/E7-24987.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To Amend Listing Fees for Structured Products https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24986.html https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24986.html Thu, 27 Dec 2007 00:00:00 -0800 E7-24986 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-27/pdf/E7-24986.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend Listing Fees for Structured Products, Short-Term Securities, and Debt Securities https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24985.html https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24985.html Thu, 27 Dec 2007 00:00:00 -0800 E7-24985 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-27/pdf/E7-24985.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cleared Contracts Carried in a Proprietary Account https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24984.html https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24984.html Thu, 27 Dec 2007 00:00:00 -0800 E7-24984 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-27/pdf/E7-24984.pdf Rule - Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3 https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24968.html https://regulations.justia.com/regulations/fedreg/2007/12/27/E7-24968.html Thu, 27 Dec 2007 00:00:00 -0800 E7-24968 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-12-27/pdf/E7-24968.pdf Notice - Securities Act of 1933; Securities Exchange Act of 1934; Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2008 https://regulations.justia.com/regulations/fedreg/2007/12/26/E7-24909.html https://regulations.justia.com/regulations/fedreg/2007/12/26/E7-24909.html Wed, 26 Dec 2007 00:00:00 -0800 E7-24909 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-26/pdf/E7-24909.pdf Notice - Advisory Committee on Improvements to Financial Reporting https://regulations.justia.com/regulations/fedreg/2007/12/26/E7-24905.html https://regulations.justia.com/regulations/fedreg/2007/12/26/E7-24905.html Wed, 26 Dec 2007 00:00:00 -0800 E7-24905 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-26/pdf/E7-24905.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center https://regulations.justia.com/regulations/fedreg/2007/12/26/E7-24897.html https://regulations.justia.com/regulations/fedreg/2007/12/26/E7-24897.html Wed, 26 Dec 2007 00:00:00 -0800 E7-24897 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-26/pdf/E7-24897.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Equity Options Obvious Error Rule https://regulations.justia.com/regulations/fedreg/2007/12/26/E7-24890.html https://regulations.justia.com/regulations/fedreg/2007/12/26/E7-24890.html Wed, 26 Dec 2007 00:00:00 -0800 E7-24890 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-26/pdf/E7-24890.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Reduce From Six Months to Three Months the Period for Which a Company's Average Global Market Capitalization Must Exceed the Levels Established by the Exchange's Pure Valuation/Revenue Test https://regulations.justia.com/regulations/fedreg/2007/12/26/E7-24889.html https://regulations.justia.com/regulations/fedreg/2007/12/26/E7-24889.html Wed, 26 Dec 2007 00:00:00 -0800 E7-24889 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-26/pdf/E7-24889.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/12/26/E7-24885.html https://regulations.justia.com/regulations/fedreg/2007/12/26/E7-24885.html Wed, 26 Dec 2007 00:00:00 -0800 E7-24885 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-26/pdf/E7-24885.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Include Volume Executed by Remote Quoting Towards the Earning of Remote Quoting Rights https://regulations.justia.com/regulations/fedreg/2007/12/21/E7-24801.html https://regulations.justia.com/regulations/fedreg/2007/12/21/E7-24801.html Fri, 21 Dec 2007 00:00:00 -0800 E7-24801 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-21/pdf/E7-24801.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Rule 2213, Market Maker Trading Licenses https://regulations.justia.com/regulations/fedreg/2007/12/21/E7-24800.html https://regulations.justia.com/regulations/fedreg/2007/12/21/E7-24800.html Fri, 21 Dec 2007 00:00:00 -0800 E7-24800 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-21/pdf/E7-24800.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating to CBOE Rules Governing Doing Business With the Public https://regulations.justia.com/regulations/fedreg/2007/12/21/E7-24790.html https://regulations.justia.com/regulations/fedreg/2007/12/21/E7-24790.html Fri, 21 Dec 2007 00:00:00 -0800 E7-24790 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-21/pdf/E7-24790.pdf Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade the Shares of 45 Funds of the Rydex ETF Trust Based on Numerous Domestic Securities Indexes Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2007/12/21/E7-24789.html https://regulations.justia.com/regulations/fedreg/2007/12/21/E7-24789.html Fri, 21 Dec 2007 00:00:00 -0800 E7-24789 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-21/pdf/E7-24789.pdf Notice - In the Matter of: Score One, Inc., Physical Property Holdings, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/12/21/07-6174.html https://regulations.justia.com/regulations/fedreg/2007/12/21/07-6174.html Fri, 21 Dec 2007 00:00:00 -0800 07-6174 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-21/pdf/07-6174.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, and Notice of Amendment No. 3 to the Proposed Rule Change Relating to the Listing and Trading of the GreenHaven Continuous Commodity Index Fund https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24729.html https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24729.html Thu, 20 Dec 2007 00:00:00 -0800 E7-24729 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-20/pdf/E7-24729.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to NYSE Rule 92 and Riskless Principal Trading at the Exchange https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24728.html https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24728.html Thu, 20 Dec 2007 00:00:00 -0800 E7-24728 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-20/pdf/E7-24728.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24727.html https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24727.html Thu, 20 Dec 2007 00:00:00 -0800 E7-24727 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-20/pdf/E7-24727.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Require Specialists To Yield Orally Agreed Upon Proprietary Trades to Later-Arriving Customer System Orders https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24726.html https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24726.html Thu, 20 Dec 2007 00:00:00 -0800 E7-24726 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-20/pdf/E7-24726.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change as Modified by Amendment Nos. 2 and 3 Thereto Relating to Rule 104 (Dealings by Specialists) https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24725.html https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24725.html Thu, 20 Dec 2007 00:00:00 -0800 E7-24725 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-20/pdf/E7-24725.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24724.html https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24724.html Thu, 20 Dec 2007 00:00:00 -0800 E7-24724 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-20/pdf/E7-24724.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to a Delta Hedging Exemption From Equity Options Position Limits https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24723.html https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24723.html Thu, 20 Dec 2007 00:00:00 -0800 E7-24723 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-20/pdf/E7-24723.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Commentary .10 to Amex Rule 584 To Delete the Reference to the Weekly Bulletin https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24693.html https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24693.html Thu, 20 Dec 2007 00:00:00 -0800 E7-24693 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-20/pdf/E7-24693.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change Relating to Amendments to Rule G-40 on E-Mail Contacts https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24652.html https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24652.html Thu, 20 Dec 2007 00:00:00 -0800 E7-24652 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-20/pdf/E7-24652.pdf Proposed Rule - Revisions to Form S-11 To Permit Historical Incorporation by Reference https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24617.html https://regulations.justia.com/regulations/fedreg/2007/12/20/E7-24617.html Thu, 20 Dec 2007 00:00:00 -0800 E7-24617 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-12-20/pdf/E7-24617.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Historical ISE Open/Close Trade Profile Fees https://regulations.justia.com/regulations/fedreg/2007/12/19/E7-24583.html https://regulations.justia.com/regulations/fedreg/2007/12/19/E7-24583.html Wed, 19 Dec 2007 00:00:00 -0800 E7-24583 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-19/pdf/E7-24583.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to the $1 Strike Pilot Program https://regulations.justia.com/regulations/fedreg/2007/12/19/E7-24535.html https://regulations.justia.com/regulations/fedreg/2007/12/19/E7-24535.html Wed, 19 Dec 2007 00:00:00 -0800 E7-24535 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-19/pdf/E7-24535.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 2 (“Member,” “Membership,” “Member Firm,” etc.) https://regulations.justia.com/regulations/fedreg/2007/12/19/E7-24534.html https://regulations.justia.com/regulations/fedreg/2007/12/19/E7-24534.html Wed, 19 Dec 2007 00:00:00 -0800 E7-24534 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-19/pdf/E7-24534.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend CBOE Rule 6.13A To Modify the Simple Auction Liaison Auction Process and Incorporate Specific Provisions for Hybrid 3.0 Classes https://regulations.justia.com/regulations/fedreg/2007/12/19/E7-24533.html https://regulations.justia.com/regulations/fedreg/2007/12/19/E7-24533.html Wed, 19 Dec 2007 00:00:00 -0800 E7-24533 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-19/pdf/E7-24533.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Relating to a Corporate Transaction in Which Its Parent, International Securities Exchange Holdings, Inc., Will Become a Wholly-Owned Indirect Subsidiary of Eurex Frankfurt AG https://regulations.justia.com/regulations/fedreg/2007/12/19/E7-24500.html https://regulations.justia.com/regulations/fedreg/2007/12/19/E7-24500.html Wed, 19 Dec 2007 00:00:00 -0800 E7-24500 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-19/pdf/E7-24500.pdf Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Revise OPRA's Fee Schedule https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24485.html https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24485.html Tue, 18 Dec 2007 00:00:00 -0800 E7-24485 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-18/pdf/E7-24485.pdf Notice - Options Price Reporting Authority; Notice of Filing and Order Approving on a Temporary Basis Not To Exceed 120 Days a Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information, as Modified by Amendment No. 1 Thereto, To Modify Various Provisions of the OPRA Plan and the OPRA Fee Schedule To Reflect the Elimination of Separate Fees for Access to Market Data Concerning Certain Foreign Currency Options https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24484.html https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24484.html Tue, 18 Dec 2007 00:00:00 -0800 E7-24484 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-18/pdf/E7-24484.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Class Quoting Limits https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24468.html https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24468.html Tue, 18 Dec 2007 00:00:00 -0800 E7-24468 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-18/pdf/E7-24468.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24467.html https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24467.html Tue, 18 Dec 2007 00:00:00 -0800 E7-24467 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-18/pdf/E7-24467.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the Nasdaq Market Center https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24466.html https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24466.html Tue, 18 Dec 2007 00:00:00 -0800 E7-24466 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-18/pdf/E7-24466.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Short Interest Reporting https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24465.html https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24465.html Tue, 18 Dec 2007 00:00:00 -0800 E7-24465 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-18/pdf/E7-24465.pdf Proposed Rule - Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24384.html https://regulations.justia.com/regulations/fedreg/2007/12/18/E7-24384.html Tue, 18 Dec 2007 00:00:00 -0800 E7-24384 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-12-18/pdf/E7-24384.pdf Notice - In the Matter of: Xiiva Holdings Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/12/18/07-6097.html https://regulations.justia.com/regulations/fedreg/2007/12/18/07-6097.html Tue, 18 Dec 2007 00:00:00 -0800 07-6097 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-18/pdf/07-6097.pdf Notice - In the Matter of: Green Machine Development Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/12/18/07-6096.html https://regulations.justia.com/regulations/fedreg/2007/12/18/07-6096.html Tue, 18 Dec 2007 00:00:00 -0800 07-6096 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-18/pdf/07-6096.pdf Notice - In the Matter of: Avitech Life Sciences, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/12/18/07-6095.html https://regulations.justia.com/regulations/fedreg/2007/12/18/07-6095.html Tue, 18 Dec 2007 00:00:00 -0800 07-6095 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-18/pdf/07-6095.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2007/12/17/E7-24447.html https://regulations.justia.com/regulations/fedreg/2007/12/17/E7-24447.html Mon, 17 Dec 2007 00:00:00 -0800 E7-24447 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-17/pdf/E7-24447.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Cancellation Fees https://regulations.justia.com/regulations/fedreg/2007/12/17/E7-24310.html https://regulations.justia.com/regulations/fedreg/2007/12/17/E7-24310.html Mon, 17 Dec 2007 00:00:00 -0800 E7-24310 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-17/pdf/E7-24310.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA's NYSE Rule 342.13 and the General Securities Principal Examination https://regulations.justia.com/regulations/fedreg/2007/12/17/E7-24309.html https://regulations.justia.com/regulations/fedreg/2007/12/17/E7-24309.html Mon, 17 Dec 2007 00:00:00 -0800 E7-24309 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-17/pdf/E7-24309.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Yield-Based Treasury Securities https://regulations.justia.com/regulations/fedreg/2007/12/17/E7-24308.html https://regulations.justia.com/regulations/fedreg/2007/12/17/E7-24308.html Mon, 17 Dec 2007 00:00:00 -0800 E7-24308 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-17/pdf/E7-24308.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to Choice of Law and Forum Selection https://regulations.justia.com/regulations/fedreg/2007/12/17/E7-24307.html https://regulations.justia.com/regulations/fedreg/2007/12/17/E7-24307.html Mon, 17 Dec 2007 00:00:00 -0800 E7-24307 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-17/pdf/E7-24307.pdf Rule - Revisions to Rules 144 and 145 https://regulations.justia.com/regulations/fedreg/2007/12/17/07-6013.html https://regulations.justia.com/regulations/fedreg/2007/12/17/07-6013.html Mon, 17 Dec 2007 00:00:00 -0800 07-6013 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-12-17/pdf/07-6013.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Step-Outs and Transfers of Sales Fees https://regulations.justia.com/regulations/fedreg/2007/12/14/E7-24201.html https://regulations.justia.com/regulations/fedreg/2007/12/14/E7-24201.html Fri, 14 Dec 2007 00:00:00 -0800 E7-24201 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-14/pdf/E7-24201.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving a Proposed Rule Change Modified by Amendment No. 1 Thereto Relating to Rule 1034, Minimum Increments https://regulations.justia.com/regulations/fedreg/2007/12/14/E7-24195.html https://regulations.justia.com/regulations/fedreg/2007/12/14/E7-24195.html Fri, 14 Dec 2007 00:00:00 -0800 E7-24195 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-14/pdf/E7-24195.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to List and Trade Shares of the iShares S&P GSCI Commodity-Indexed Trust https://regulations.justia.com/regulations/fedreg/2007/12/14/E7-24194.html https://regulations.justia.com/regulations/fedreg/2007/12/14/E7-24194.html Fri, 14 Dec 2007 00:00:00 -0800 E7-24194 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-14/pdf/E7-24194.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24213.html https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24213.html Thu, 13 Dec 2007 00:00:00 -0800 E7-24213 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-13/pdf/E7-24213.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Definition of and Listing Standards for Equity-Linked Notes under NYSE Arca Equities Rules 5.1(b)(14) and 5.2(j)(2) https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24134.html https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24134.html Thu, 13 Dec 2007 00:00:00 -0800 E7-24134 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-13/pdf/E7-24134.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24122.html https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24122.html Thu, 13 Dec 2007 00:00:00 -0800 E7-24122 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-13/pdf/E7-24122.pdf Notice - Options Price Reporting Authority; Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Adopt New Form of Rider to OPRA's Vendor Agreement for Use by Television Companies That Wish To Disseminate OPRA Data https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24121.html https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24121.html Thu, 13 Dec 2007 00:00:00 -0800 E7-24121 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-13/pdf/E7-24121.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rule 2.1 Relating to the Appointment of the Chairman and Members of CBOE's Business Conduct Committee https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24120.html https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24120.html Thu, 13 Dec 2007 00:00:00 -0800 E7-24120 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-13/pdf/E7-24120.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for the CBOE Stock Exchange https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24119.html https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24119.html Thu, 13 Dec 2007 00:00:00 -0800 E7-24119 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-13/pdf/E7-24119.pdf Notice - Self-Regulatory Organizations; The American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce Certain Clearing Fees https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24118.html https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24118.html Thu, 13 Dec 2007 00:00:00 -0800 E7-24118 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-13/pdf/E7-24118.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24088.html https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24088.html Thu, 13 Dec 2007 00:00:00 -0800 E7-24088 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-13/pdf/E7-24088.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Rule 48 Permitting the Exchange to Declare an Extreme Market Volatility Condition https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24083.html https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24083.html Thu, 13 Dec 2007 00:00:00 -0800 E7-24083 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-13/pdf/E7-24083.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24081.html https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24081.html Thu, 13 Dec 2007 00:00:00 -0800 E7-24081 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-13/pdf/E7-24081.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24080.html https://regulations.justia.com/regulations/fedreg/2007/12/13/E7-24080.html Thu, 13 Dec 2007 00:00:00 -0800 E7-24080 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-13/pdf/E7-24080.pdf Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Order Approving Proposed Rule Change, as Modified By Amendment No. 1 Thereto, Amending Nasdaq's Membership Application Rules https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-24045.html https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-24045.html Wed, 12 Dec 2007 00:00:00 -0800 E7-24045 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-12/pdf/E7-24045.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority Inc.); Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Expand the Class of Entities Permitted To Use the Delta Hedging Exemption From Equity Options Position Limits https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-24044.html https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-24044.html Wed, 12 Dec 2007 00:00:00 -0800 E7-24044 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-12/pdf/E7-24044.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-24035.html https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-24035.html Wed, 12 Dec 2007 00:00:00 -0800 E7-24035 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-12/pdf/E7-24035.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-24034.html https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-24034.html Wed, 12 Dec 2007 00:00:00 -0800 E7-24034 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-12/pdf/E7-24034.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Continued Listing Standards for Equity Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-24033.html https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-24033.html Wed, 12 Dec 2007 00:00:00 -0800 E7-24033 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-12/pdf/E7-24033.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Related To Amending Complex Orders Procedures https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-24032.html https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-24032.html Wed, 12 Dec 2007 00:00:00 -0800 E7-24032 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-12/pdf/E7-24032.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; 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 Securities Linked to the Performance of Indexes, Commodities, and Currencies https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23973.html https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23973.html Wed, 12 Dec 2007 00:00:00 -0800 E7-23973 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-12/pdf/E7-23973.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Rule 6.37B and the Quoting Obligations of Lead Market Makers https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23972.html https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23972.html Wed, 12 Dec 2007 00:00:00 -0800 E7-23972 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-12/pdf/E7-23972.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Certain Modifications to the Initial Listing Standards for Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23971.html https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23971.html Wed, 12 Dec 2007 00:00:00 -0800 E7-23971 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-12/pdf/E7-23971.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 Amend the Initial Listing Standards for Other Securities https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23970.html https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23970.html Wed, 12 Dec 2007 00:00:00 -0800 E7-23970 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-12/pdf/E7-23970.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Liability for the Actions or Omission of Amex Book Clerks https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23967.html https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23967.html Wed, 12 Dec 2007 00:00:00 -0800 E7-23967 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-12/pdf/E7-23967.pdf Notice - Consolidated Tape Association; Notice of Filing of the Eleventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23966.html https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23966.html Wed, 12 Dec 2007 00:00:00 -0800 E7-23966 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-12/pdf/E7-23966.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change to Amend Rules Relating to the Execution of Odd Lot Market Orders https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23965.html https://regulations.justia.com/regulations/fedreg/2007/12/12/E7-23965.html Wed, 12 Dec 2007 00:00:00 -0800 E7-23965 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-12/pdf/E7-23965.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Harmonize the Annual Listing Fees for All Exchange Traded Funds https://regulations.justia.com/regulations/fedreg/2007/12/11/Z7-22974.html https://regulations.justia.com/regulations/fedreg/2007/12/11/Z7-22974.html Tue, 11 Dec 2007 00:00:00 -0800 Z7-22974 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-11/pdf/Z7-22974.pdf Rule - Shareholder Proposals Relating to the Election of Directors https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23951.html https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23951.html Tue, 11 Dec 2007 00:00:00 -0800 E7-23951 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-12-11/pdf/E7-23951.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Stock-Option Orders https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23925.html https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23925.html Tue, 11 Dec 2007 00:00:00 -0800 E7-23925 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-11/pdf/E7-23925.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Relating to Restrictions on Acting as Market Makers and Floor Broker https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23924.html https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23924.html Tue, 11 Dec 2007 00:00:00 -0800 E7-23924 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-11/pdf/E7-23924.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC: Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, as Amended, Relating to Linkage Order; Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated; International Securities Exchange, LLC, NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc.: Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Linkage Orders https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23923.html https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23923.html Tue, 11 Dec 2007 00:00:00 -0800 E7-23923 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-11/pdf/E7-23923.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the NYSE Rule 98 Guidelines for Approved Persons Associated With a Specialist's Member Organization https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23922.html https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23922.html Tue, 11 Dec 2007 00:00:00 -0800 E7-23922 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-11/pdf/E7-23922.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Exchange's NYSE BondsSM https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23921.html https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23921.html Tue, 11 Dec 2007 00:00:00 -0800 E7-23921 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-11/pdf/E7-23921.pdf Notice - Joint Industry Plan; Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 25 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage, and Notice of Filing of Such Amendment https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23920.html https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23920.html Tue, 11 Dec 2007 00:00:00 -0800 E7-23920 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-11/pdf/E7-23920.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Market Data and Liquidity Provider Rebate Programs for Transactions Through NSX BLADE https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23919.html https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23919.html Tue, 11 Dec 2007 00:00:00 -0800 E7-23919 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-11/pdf/E7-23919.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Closing Auction Time for Exchange Traded Funds https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23918.html https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23918.html Tue, 11 Dec 2007 00:00:00 -0800 E7-23918 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-11/pdf/E7-23918.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Amend the Limited Liability Company Agreement of The NASDAQ Stock Market LLC; and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23917.html https://regulations.justia.com/regulations/fedreg/2007/12/11/E7-23917.html Tue, 11 Dec 2007 00:00:00 -0800 E7-23917 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-11/pdf/E7-23917.pdf Notice - Proposed Collections; Comment Request https://regulations.justia.com/regulations/fedreg/2007/12/10/E7-23873.html https://regulations.justia.com/regulations/fedreg/2007/12/10/E7-23873.html Mon, 10 Dec 2007 00:00:00 -0800 E7-23873 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-10/pdf/E7-23873.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Position and Exercise Limits https://regulations.justia.com/regulations/fedreg/2007/12/10/E7-23816.html https://regulations.justia.com/regulations/fedreg/2007/12/10/E7-23816.html Mon, 10 Dec 2007 00:00:00 -0800 E7-23816 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-10/pdf/E7-23816.pdf Notice - In the Matter of Roanoke Technology, Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/12/10/07-6005.html https://regulations.justia.com/regulations/fedreg/2007/12/10/07-6005.html Mon, 10 Dec 2007 00:00:00 -0800 07-6005 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-10/pdf/07-6005.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23830.html https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23830.html Fri, 07 Dec 2007 00:00:00 -0800 E7-23830 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-07/pdf/E7-23830.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change Relating To Resolving Uncompared Transactions https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23788.html https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23788.html Fri, 07 Dec 2007 00:00:00 -0800 E7-23788 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-07/pdf/E7-23788.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform SRO Rules to Changes to Rule 10a-1 and Regulation SHO https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23769.html https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23769.html Fri, 07 Dec 2007 00:00:00 -0800 E7-23769 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-07/pdf/E7-23769.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to Binary Options https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23768.html https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23768.html Fri, 07 Dec 2007 00:00:00 -0800 E7-23768 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-07/pdf/E7-23768.pdf Rule - Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23756.html https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23756.html Fri, 07 Dec 2007 00:00:00 -0800 E7-23756 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-12-07/pdf/E7-23756.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Relating to the Extension of the Pilot Program for Initial and Continued Financial Listing Standards for Common Stock of Operating Companies Until May 31, 2008 https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23755.html https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23755.html Fri, 07 Dec 2007 00:00:00 -0800 E7-23755 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-07/pdf/E7-23755.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 3 and 4 Thereto, Relating to Delisting Securities Underlying Low ADV Options https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23754.html https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23754.html Fri, 07 Dec 2007 00:00:00 -0800 E7-23754 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-07/pdf/E7-23754.pdf Notice - Self-Regulatory Organizations; The National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto, To Modify Rebate Programs for Automatic Execution Transactions in Certain Designated ETFs https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23753.html https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23753.html Fri, 07 Dec 2007 00:00:00 -0800 E7-23753 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-07/pdf/E7-23753.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Certain Modifications to the Initial Listing and Trading Standards for Equity Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23750.html https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23750.html Fri, 07 Dec 2007 00:00:00 -0800 E7-23750 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-07/pdf/E7-23750.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2, 3, 4, 5, and 6 Thereto, Relating to the Listing and Trading of Trust Units of the Nuveen Commodities Income and Growth Fund https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23747.html https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23747.html Fri, 07 Dec 2007 00:00:00 -0800 E7-23747 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-07/pdf/E7-23747.pdf Notice - Self-Regulatory Organization; Board of Trade of the City of Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to the Renumbering and Reorganization of Rules Relating to Listing Standards for Security Futures Products https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23721.html https://regulations.justia.com/regulations/fedreg/2007/12/07/E7-23721.html Fri, 07 Dec 2007 00:00:00 -0800 E7-23721 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-07/pdf/E7-23721.pdf Notice - In the Matter of Kimber-X Resources Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/12/07/07-5992.html https://regulations.justia.com/regulations/fedreg/2007/12/07/07-5992.html Fri, 07 Dec 2007 00:00:00 -0800 07-5992 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-07/pdf/07-5992.pdf Notice - Notice of Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23789.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23789.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23789 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23789.pdf Notice - Unified Series Trust and Envestnet Asset Management, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23722.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23722.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23722 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23722.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/2007/12/06/E7-23651.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23651.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23651 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23651.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23641.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23641.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23641 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23641.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Notes Linked to the Performance of the CBOE S&P 500 PutWrite Index (PUTSM https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23640.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23640.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23640 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23640.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23613.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23613.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23613 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23613.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Permit Trading of Shares of 93 Funds of the ProShares Trust Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23611.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23611.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23611 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23611.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Delayed Start Options https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23610.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23610.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23610 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23610.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23609.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23609.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23609 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23609.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Amend the Minimum Quote Size Requirements for Hybrid Opening System Rotations https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23608.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23608.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23608 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23608.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23607.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23607.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23607 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23607.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Charged to Member Organizations for the Use of the On-Line Comparison System https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23599.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23599.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23599 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23599.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them With Similar Rules of Its Affiliates https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23594.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23594.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23594 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23594.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Riskless Principal and Other Exceptions to Amex Rules Prohibiting Members' Proprietary Trading While in Possession of Like or Better-Priced Customer Orders https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23593.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23593.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23593 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23593.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them With Similar Rules of Its Affiliates https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23592.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23592.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23592 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23592.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Hearing Procedures Afforded to an Interested Person and Harmonize Them With Similar Rules of Its Affiliates https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23591.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23591.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23591 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23591.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Transaction Fee Waiver for Options on the Mini-SPX https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23590.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23590.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23590 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23590.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Conforming Changes to Amex Rules Relating to the Amex Book Clerk Program https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23589.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23589.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23589 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23589.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Exchange Rule 103A(a)(3) To Address Changes in the Way the Exchange Delivers Education Programs to its Members and To Clarify That the Mandatory Education Requirement Applies to All Individuals Qualified To Use a Trading License https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23587.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23587.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23587 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23587.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Criteria for Securities That Underlie Options Traded on the Exchange https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23586.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23586.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23586 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23586.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/12/05/E7-23602.html https://regulations.justia.com/regulations/fedreg/2007/12/05/E7-23602.html Wed, 05 Dec 2007 00:00:00 -0800 E7-23602 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-05/pdf/E7-23602.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto to List and Trade Delayed Start Option Series https://regulations.justia.com/regulations/fedreg/2007/12/05/E7-23533.html https://regulations.justia.com/regulations/fedreg/2007/12/05/E7-23533.html Wed, 05 Dec 2007 00:00:00 -0800 E7-23533 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-05/pdf/E7-23533.pdf Notice - Self-Regulatory Organizations; The New York Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, To Amend NYSE Rule 342.13 (“Acceptability of Supervisors”) https://regulations.justia.com/regulations/fedreg/2007/12/05/E7-23532.html https://regulations.justia.com/regulations/fedreg/2007/12/05/E7-23532.html Wed, 05 Dec 2007 00:00:00 -0800 E7-23532 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-05/pdf/E7-23532.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for Trading on the FLEX Hybrid Trading System https://regulations.justia.com/regulations/fedreg/2007/12/04/E7-23399.html https://regulations.justia.com/regulations/fedreg/2007/12/04/E7-23399.html Tue, 04 Dec 2007 00:00:00 -0800 E7-23399 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-04/pdf/E7-23399.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Applicability to Limited Partnerships of Nasdaq's Direct Registration Program Requirements https://regulations.justia.com/regulations/fedreg/2007/12/04/E7-23397.html https://regulations.justia.com/regulations/fedreg/2007/12/04/E7-23397.html Tue, 04 Dec 2007 00:00:00 -0800 E7-23397 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-04/pdf/E7-23397.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No.1 Thereto, To Send P/A Orders Through Linkage Prior to the Opening of Trading https://regulations.justia.com/regulations/fedreg/2007/12/04/E7-23396.html https://regulations.justia.com/regulations/fedreg/2007/12/04/E7-23396.html Tue, 04 Dec 2007 00:00:00 -0800 E7-23396 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-04/pdf/E7-23396.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Expanding Sub-Accounts https://regulations.justia.com/regulations/fedreg/2007/12/03/E7-23320.html https://regulations.justia.com/regulations/fedreg/2007/12/03/E7-23320.html Mon, 03 Dec 2007 00:00:00 -0800 E7-23320 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-03/pdf/E7-23320.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Descriptions of OCC's Assignment Procedures https://regulations.justia.com/regulations/fedreg/2007/12/03/E7-23319.html https://regulations.justia.com/regulations/fedreg/2007/12/03/E7-23319.html Mon, 03 Dec 2007 00:00:00 -0800 E7-23319 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-03/pdf/E7-23319.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Fee Changes on a Retroactive Basis https://regulations.justia.com/regulations/fedreg/2007/12/03/E7-23318.html https://regulations.justia.com/regulations/fedreg/2007/12/03/E7-23318.html Mon, 03 Dec 2007 00:00:00 -0800 E7-23318 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-03/pdf/E7-23318.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, To Amend Listing Fees for Structured Products https://regulations.justia.com/regulations/fedreg/2007/12/03/E7-23317.html https://regulations.justia.com/regulations/fedreg/2007/12/03/E7-23317.html Mon, 03 Dec 2007 00:00:00 -0800 E7-23317 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-03/pdf/E7-23317.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the Nasdaq Market Center https://regulations.justia.com/regulations/fedreg/2007/12/03/E7-23316.html https://regulations.justia.com/regulations/fedreg/2007/12/03/E7-23316.html Mon, 03 Dec 2007 00:00:00 -0800 E7-23316 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-03/pdf/E7-23316.pdf Notice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to the Foreign Currency Payment Option https://regulations.justia.com/regulations/fedreg/2007/12/03/E7-23315.html https://regulations.justia.com/regulations/fedreg/2007/12/03/E7-23315.html Mon, 03 Dec 2007 00:00:00 -0800 E7-23315 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-03/pdf/E7-23315.pdf