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/2008/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T01:11:27-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2008/05/30/E8-12110.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Payment for Order Flow Pilot Program2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:00E8-12110Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/E8-12110.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/30/E8-12076.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Replace References to Certain Committees With a Reference to the Exchange2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:00E8-12076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/E8-12076.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/30/E8-12075.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 15 (Pre-Opening Indications) and Exchange Rule 123C (Market on the Close Policy and Expiration Procedures)2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:00E8-12075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/E8-12075.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/30/E8-12073.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fixed Return Option Transaction Fees2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:00E8-12073Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/E8-12073.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/30/E8-12068.htmlNotice - Sunshine Act Meeting2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:00E8-12068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/E8-12068.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/30/E8-12034.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Obvious Errors on the Boston Options Exchange2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:00E8-12034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/E8-12034.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/30/E8-12033.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Schedule of Fees To Establish Fees for Transactions in Options on One Premium Product2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:00E8-12033Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/E8-12033.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/30/E8-12032.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Position and Exercise Limits for Options on the DIAMONDS Trust2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:00E8-12032Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/E8-12032.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/30/E8-12031.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, Regarding the Listing and Trading of Binary Options on Broad-Based Security Indexes2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:00E8-12031Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/E8-12031.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/30/E8-12030.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Reduce Certain Order Exposure Times From Three Seconds to One Second2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:00E8-12030Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/E8-12030.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/30/E8-12015.htmlNotice - Proposed Collection; Comment Request2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:00E8-12015Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/E8-12015.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/30/E8-12014.htmlNotice - American International Group, Inc., et al.; Notice of Application2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:00E8-12014Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/E8-12014.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/30/E8-11981.htmlNotice - Proposed Collection; Comment Request2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:00E8-11981Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/E8-11981.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/30/08-1312.htmlNotice - In the Matter of: Affinity Networks, Inc.; Order of Suspension of Trading2008-05-30T00:00:00-07:002008-05-30T00:00:00-07:0008-1312Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-30/pdf/08-1312.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/29/E8-11943.htmlNotice - Matrix Capital Group, Inc. and Matrix Defined Trusts; Notice of Application2008-05-29T00:00:00-07:002008-05-29T00:00:00-07:00E8-11943Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-29/pdf/E8-11943.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/29/E8-11942.htmlNotice - Slick Enterprises, Inc.; Notice of Application2008-05-29T00:00:00-07:002008-05-29T00:00:00-07:00E8-11942Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-29/pdf/E8-11942.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/29/E8-11940.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4350 Related to the Direct Registration Programs2008-05-29T00:00:00-07:002008-05-29T00:00:00-07:00E8-11940Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-29/pdf/E8-11940.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/29/E8-11932.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Permanent Approval of the Exchange's Directed Order Program2008-05-29T00:00:00-07:002008-05-29T00:00:00-07:00E8-11932Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-29/pdf/E8-11932.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/29/E8-11931.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Relating to the Price Improvement Mechanism2008-05-29T00:00:00-07:002008-05-29T00:00:00-07:00E8-11931Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-29/pdf/E8-11931.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/29/E8-11930.htmlNotice - Joint Industry Plan; Notice of Filing and Order Approving on a Temporary Basis Amendment No. 1 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options2008-05-29T00:00:00-07:002008-05-29T00:00:00-07:00E8-11930Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-29/pdf/E8-11930.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/29/08-1307.htmlNotice - In the Matter of: e.Spire Communications, Inc., Empire of Carolina, Inc., Genfinity Corp. GSI Securitization Ltd. (n/k/a GSI Securitization, Inc.), Interliant, Inc. (n/k/a I Successor Corp.), Namibian Minerals Corp., Nix Co., Ltd. (n/k/a Global Energy Resources, Inc.) Number Nine Visual Technology Corp. (n/k/a International Precious Minerals Group, Inc.) NVID International, Inc., Oncor, Inc., and USCI, Inc.; Order of Suspension of Trading2008-05-29T00:00:00-07:002008-05-29T00:00:00-07:0008-1307Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-29/pdf/08-1307.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/28/E8-11832.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of Shares of the AirShares\TM\ EU Carbon Allowances Fund2008-05-28T00:00:00-07:002008-05-28T00:00:00-07:00E8-11832Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-28/pdf/E8-11832.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/27/E8-11808.htmlNotice - Self-Regulatory Organizations; the New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, To Amend NYSE Rule 123A.30 To Permit Certain Convert-and-Parity Orders To Trade on Parity With Other Limit Orders, Including Orders Entered Through Its Designated Order Turnaround System®2008-05-27T00:00:00-07:002008-05-27T00:00:00-07:00E8-11808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-27/pdf/E8-11808.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/27/E8-11723.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 412 To Conform to FINRA Incorporated Versions of NYSE Rule 4122008-05-27T00:00:00-07:002008-05-27T00:00:00-07:00E8-11723Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-27/pdf/E8-11723.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/27/E8-11703.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related To the Hybrid Agency Liaison2008-05-27T00:00:00-07:002008-05-27T00:00:00-07:00E8-11703Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-27/pdf/E8-11703.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/27/E8-11702.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Sponsored Users2008-05-27T00:00:00-07:002008-05-27T00:00:00-07:00E8-11702Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-27/pdf/E8-11702.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/27/E8-11701.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2008-05-27T00:00:00-07:002008-05-27T00:00:00-07:00E8-11701Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-27/pdf/E8-11701.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/23/Z8-11129.htmlNotice - Notice of Proposed Information Collection Requests2008-05-23T00:00:00-07:002008-05-23T00:00:00-07:00Z8-11129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-23/pdf/Z8-11129.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/23/Z8-10725.htmlNotice - Self[dash]Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change to Require Demand Processing for Blind-Brokered Repo Trades2008-05-23T00:00:00-07:002008-05-23T00:00:00-07:00Z8-10725Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-23/pdf/Z8-10725.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/23/E8-11550.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Section 703.21 of the Listed Company Manual Relating to Equity-Linked Debt Securities2008-05-23T00:00:00-07:002008-05-23T00:00:00-07:00E8-11550Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-23/pdf/E8-11550.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/23/E8-11531.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, Relating to Equity Linked Notes2008-05-23T00:00:00-07:002008-05-23T00:00:00-07:00E8-11531Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-23/pdf/E8-11531.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/23/E8-11530.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Relating to Rule 10.12 (Minor Rule Plan) and Underlying Rules2008-05-23T00:00:00-07:002008-05-23T00:00:00-07:00E8-11530Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-23/pdf/E8-11530.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/23/E8-11529.htmlNotice - Self-Regulatory Organizations: Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws2008-05-23T00:00:00-07:002008-05-23T00:00:00-07:00E8-11529Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-23/pdf/E8-11529.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/23/E8-11523.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Schedule of Fees To Establish Fees for Transactions in Options on Five Premium Products2008-05-23T00:00:00-07:002008-05-23T00:00:00-07:00E8-11523Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-23/pdf/E8-11523.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/23/E8-11522.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 3 and 4 Thereto, Relating to Section 31 Related Fees2008-05-23T00:00:00-07:002008-05-23T00:00:00-07:00E8-11522Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-23/pdf/E8-11522.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/22/E8-11434.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to MSRB Rule G-34, CUSIP Numbers and New Issue Requirements, To Require Underwriter Registration and Testing With Depository Trust and Clearing Corporation's New Issue Information Dissemination System2008-05-22T00:00:00-07:002008-05-22T00:00:00-07:00E8-11434Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-22/pdf/E8-11434.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/22/E8-11430.htmlNotice - Submission for OMB Review; Comment Request2008-05-22T00:00:00-07:002008-05-22T00:00:00-07:00E8-11430Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-22/pdf/E8-11430.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/22/E8-11429.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 3 to an Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 2 and 3 Thereto, To Amend Nasdaq's Clearly Erroneous Rule2008-05-22T00:00:00-07:002008-05-22T00:00:00-07:00E8-11429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-22/pdf/E8-11429.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/22/E8-11428.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FLEX Equity Option Opening Transactions2008-05-22T00:00:00-07:002008-05-22T00:00:00-07:00E8-11428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-22/pdf/E8-11428.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/22/E8-11427.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend, Through December 31, 2008, the Pilot Program That Offers Liquidity Takers a Reduced Transaction Fee Structure for Certain Bond Trades Executed on the NYSE Bonds System2008-05-22T00:00:00-07:002008-05-22T00:00:00-07:00E8-11427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-22/pdf/E8-11427.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/22/E8-11426.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Opening of Trading on the NASDAQ Options Market2008-05-22T00:00:00-07:002008-05-22T00:00:00-07:00E8-11426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-22/pdf/E8-11426.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/22/E8-11425.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified, To Eliminate the Coverage Component and Margin Requirement Differential From the Mortgage-Backed Securities Division Participants Fund Calculation2008-05-22T00:00:00-07:002008-05-22T00:00:00-07:00E8-11425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-22/pdf/E8-11425.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/22/E8-11424.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Eligibility Criteria for Components of an Index or Portfolio Underlying Portfolio Depositary Receipts and Index Fund Shares2008-05-22T00:00:00-07:002008-05-22T00:00:00-07:00E8-11424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-22/pdf/E8-11424.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/22/E8-11419.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to the Automated Improvement Auction2008-05-22T00:00:00-07:002008-05-22T00:00:00-07:00E8-11419Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-22/pdf/E8-11419.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/22/E8-11276.htmlNotice - Subcommittee Reports of the SEC Advisory Committee on Improvements to Financial Reporting2008-05-22T00:00:00-07:002008-05-22T00:00:00-07:00E8-11276Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-22/pdf/E8-11276.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/21/E8-11281.htmlNotice - Proposed Collection; Comment Request2008-05-21T00:00:00-07:002008-05-21T00:00:00-07:00E8-11281Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-21/pdf/E8-11281.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/21/E8-11280.htmlNotice - Proposed Collection; Comment Request2008-05-21T00:00:00-07:002008-05-21T00:00:00-07:00E8-11280Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-21/pdf/E8-11280.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/20/E8-11277.htmlNotice - Sunshine Act Meeting2008-05-20T00:00:00-07:002008-05-20T00:00:00-07:00E8-11277Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-20/pdf/E8-11277.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/20/E8-11254.htmlRule - Definition of Eligible Portfolio Company Under the Investment Company Act of 19402008-05-20T00:00:00-07:002008-05-20T00:00:00-07:00E8-11254Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-20/pdf/E8-11254.pdfhttps://regulations.justia.com/regulations/fedreg/2008/05/20/E8-11205.htmlNotice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of a Proposed Rule Change To Amend and Restate Its Articles of Incorporation2008-05-20T00:00:00-07:002008-05-20T00:00:00-07:00E8-11205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-05-20/pdf/E8-11205.pdf