Securities and Exchange Commission March 17, 2005 – Federal Register Recent Federal Regulation Documents

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Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-1166
Type: Notice
Date: 2005-03-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/03/17/E5-1166.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing of Proposed Rule Change To Revise Certain Membership Rules Related to the Testing and Orientation Requirements for Nominees of Member Organizations Approved Solely as Clearing Members
Document Number: E5-1165
Type: Notice
Date: 2005-03-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/03/17/E5-1165.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Its Operational Capability Requirement for Membership
Document Number: E5-1164
Type: Notice
Date: 2005-03-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/03/17/E5-1164.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend the Membership Standards Required of Insurance Companies
Document Number: E5-1163
Type: Notice
Date: 2005-03-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/03/17/E5-1163.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Changes by the New York Stock Exchange, Inc., and the National Association of Securities Dealers, Inc., To Prohibit Participation by a Research Analyst in a Road Show Related to an Investment Banking Services Transaction and To Require Certain Communications About an Investment Banking Services Transaction To Be Fair, Balanced and Not Misleading
Document Number: E5-1161
Type: Notice
Date: 2005-03-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/03/17/E5-1161.html
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