<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2005/01/13?registers=between Wed, 15 May 2024 11:57:53 -0700 Wed, 15 May 2024 11:57:53 -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/securities-and-exchange-commission/2005/01/13?registers=between Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-130.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-130.html Thu, 13 Jan 2005 00:00:00 -0800 E5-130 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-130.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by the Chicago Board Options Exchange, Inc., Relating to the Systematizing of Orders in Connection With the Requirement To Design and Implement a Consolidated Options Audit Trail System https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-128.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-128.html Thu, 13 Jan 2005 00:00:00 -0800 E5-128 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-128.pdf Notice - Self-Regulatory Organizations; Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by American Stock Exchange LLC Relating to the Amendment of Exchange Rule 153 https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-127.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-127.html Thu, 13 Jan 2005 00:00:00 -0800 E5-127 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-127.pdf Notice - Self-Regulatory Organizations; Order Granting Accelerated Approval of Proposed Rule Change by Pacific Exchange, Inc., Relating to the Implementation of a New Order Audit Trail System https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-126.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-126.html Thu, 13 Jan 2005 00:00:00 -0800 E5-126 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-126.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated, Relating to a Delay of the Operative Period for Rule 6.45A(c)(iii) https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-124.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-124.html Thu, 13 Jan 2005 00:00:00 -0800 E5-124 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-124.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by the Philadelphia Stock Exchange, Inc. and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 2, 3, 4 and 5 Relating to the Options Floor Broker Management System https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-123.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-123.html Thu, 13 Jan 2005 00:00:00 -0800 E5-123 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-123.pdf Notice - Self Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to Fees for Filing Documents Pursuant to NASD Rule 2710 (Corporate Financing Rule-Underwriting Terms and Arrangements) https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-118.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-118.html Thu, 13 Jan 2005 00:00:00 -0800 E5-118 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-118.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Conforming Change in Rule 1106(a)(3) https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-117.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-117.html Thu, 13 Jan 2005 00:00:00 -0800 E5-117 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-117.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC To Reduce Options Transaction Fees for Exchange Specialists and Registered Options Traders https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-116.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-116.html Thu, 13 Jan 2005 00:00:00 -0800 E5-116 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-116.pdf Notice - Options Price Reporting Authority; Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Guideline 2 of the Capacity Guidelines Adopted in Accordance With the Plan https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-115.html https://regulations.justia.com/regulations/fedreg/2005/01/13/E5-115.html Thu, 13 Jan 2005 00:00:00 -0800 E5-115 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/E5-115.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Odd-Lots in Nasdaq Securities https://regulations.justia.com/regulations/fedreg/2005/01/13/C5-79.html https://regulations.justia.com/regulations/fedreg/2005/01/13/C5-79.html Thu, 13 Jan 2005 00:00:00 -0800 C5-79 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/C5-79.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Boston Stock Exchange, Inc. To Amend the Exchange's Rule Relating to its Regulatory Transaction Fee https://regulations.justia.com/regulations/fedreg/2005/01/13/C4-28669.html https://regulations.justia.com/regulations/fedreg/2005/01/13/C4-28669.html Thu, 13 Jan 2005 00:00:00 -0800 C4-28669 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/C4-28669.pdf Notice - Issuer Delisting; Notice of Application of Premier Farnell Plc To Withdraw Its Ordinary Shares, (5 pence each) (“Ordinary Shares”), Its $1.35 and 89.2p Cumulative Convertible Redeemable Preference Shares (£1 each) (“Preference Shares”), and the American Depositary Shares Representing the Ordinary Shares and Preference Shares, From Listing and Registration on the New York Stock Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2005/01/13/05-704.html https://regulations.justia.com/regulations/fedreg/2005/01/13/05-704.html Thu, 13 Jan 2005 00:00:00 -0800 05-704 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-01-13/pdf/05-704.pdf