<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2005/03/04?registers=between Fri, 03 May 2024 14:08:29 -0700 Fri, 03 May 2024 14:08:29 -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/2005/03/04?registers=between Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendments No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 by the New York Stock Exchange, Inc. Relating to Appointments to the NYSE's Board of Arbitration and Other Changes to the NYSE's Arbitration Program https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-900.html https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-900.html Fri, 04 Mar 2005 00:00:00 -0800 E5-900 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-900.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Floor Official Conflicts of Interest https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-899.html https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-899.html Fri, 04 Mar 2005 00:00:00 -0800 E5-899 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-899.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Member Firm Guarantee https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-898.html https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-898.html Fri, 04 Mar 2005 00:00:00 -0800 E5-898 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-898.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendment No. 2 and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 3 and 5 by the Chicago Board Options Exchange, Inc. Relating to the Trading of Complex Orders on the CBOE Hybrid System https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-897.html https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-897.html Fri, 04 Mar 2005 00:00:00 -0800 E5-897 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-897.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto by the Pacific Exchange, Inc. To Trade the streetTRACKS® Gold Shares Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-880.html https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-880.html Fri, 04 Mar 2005 00:00:00 -0800 E5-880 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-880.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending Section 507 of the Amex Company Guide To Conform the Definition of a “Large” Dividend to the Threshold Specified in Section 521 of the Company Guide https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-879.html https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-879.html Fri, 04 Mar 2005 00:00:00 -0800 E5-879 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-879.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees Applicable to Linkage P and P/A Orders https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-878.html https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-878.html Fri, 04 Mar 2005 00:00:00 -0800 E5-878 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-878.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the American Stock Exchange LLC Relating to Fees for Transactions in Options on the Nasdaq 100 Index (NDX) and Mini-Nasdaq 100 Index (MNX) https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-877.html https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-877.html Fri, 04 Mar 2005 00:00:00 -0800 E5-877 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-877.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Listing Standards for Options on Narrow-Based Indexes https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-876.html https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-876.html Fri, 04 Mar 2005 00:00:00 -0800 E5-876 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-876.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to the Adoption of Generic Listing Standards for Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-875.html https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-875.html Fri, 04 Mar 2005 00:00:00 -0800 E5-875 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-875.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated Relating to Exchange Fees for Reduced-Value Options on the Russell 2000 Index https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-874.html https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-874.html Fri, 04 Mar 2005 00:00:00 -0800 E5-874 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-874.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Regarding Procedures for Denying Listing on Nasdaq https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-873.html https://regulations.justia.com/regulations/fedreg/2005/03/04/E5-873.html Fri, 04 Mar 2005 00:00:00 -0800 E5-873 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/E5-873.pdf Proposed Rule - Point of Sale Disclosure Requirements and Confirmation Requirements for Transactions in Mutual Funds, College Savings Plans, and Certain Other Securities, and Amendments to the Registration Form for Mutual Funds https://regulations.justia.com/regulations/fedreg/2005/03/04/05-4215.html https://regulations.justia.com/regulations/fedreg/2005/03/04/05-4215.html Fri, 04 Mar 2005 00:00:00 -0800 05-4215 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/05-4215.pdf Notice - Order Making Fiscal 2005 Mid-Year Adjustment to the Fee Rates Applicable Under Sections 31(b) and (c) of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2005/03/04/05-4214.html https://regulations.justia.com/regulations/fedreg/2005/03/04/05-4214.html Fri, 04 Mar 2005 00:00:00 -0800 05-4214 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-04/pdf/05-4214.pdf