Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2005/03/21?limit=200&registers=between&mode=atom 2024-11-26T10:47:03-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1213.html Notice - Burnham Investors Trust, et al., Notice of Application 2005-03-21T00:00:00-08:00 2005-03-21T00:00:00-08:00 E5-1213 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1213.pdf https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1212.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Annual Compliance Meetings 2005-03-21T00:00:00-08:00 2005-03-21T00:00:00-08:00 E5-1212 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1212.pdf https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1211.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated To Adopt an Inactivity Fee To Be Charged Against Remote Market-Makers That Fail To Commence Quoting in Their Appointed Classes 2005-03-21T00:00:00-08:00 2005-03-21T00:00:00-08:00 E5-1211 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1211.pdf https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1210.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto Relating to Position Limits and Exercise Limits 2005-03-21T00:00:00-08:00 2005-03-21T00:00:00-08:00 E5-1210 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1210.pdf https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1209.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend the Criteria Used To Place Members on Surveillance Status and To Eliminate Member and Applicant Financial Responsibility and Operational Capability Questionnaires 2005-03-21T00:00:00-08:00 2005-03-21T00:00:00-08:00 E5-1209 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1209.pdf https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1208.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated To Amend CBOE Rule 8.4 To Remove the Physical Trading Crowd Appointment Alternative for Remote Market-Makers and To Create an “A+” Tier Consisting of the Two Most Actively-Traded Products on the Exchange 2005-03-21T00:00:00-08:00 2005-03-21T00:00:00-08:00 E5-1208 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1208.pdf https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1204.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC Relating to the Use of Certain Consolidated Tape Association Financial Status Indicator Fields and Related Disclosure Obligations 2005-03-21T00:00:00-08:00 2005-03-21T00:00:00-08:00 E5-1204 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1204.pdf https://regulations.justia.com/regulations/fedreg/2005/03/21/E5-1203.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. Relating to Arbitration Fees 2005-03-21T00:00:00-08:00 2005-03-21T00:00:00-08:00 E5-1203 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-03-21/pdf/E5-1203.pdf