Securities and Exchange Commission April 13, 2005 – Federal Register Recent Federal Regulation Documents

Results 1 - 12 of 12
Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-1748
Type: Notice
Date: 2005-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1748.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut Facility
Document Number: E5-1747
Type: Notice
Date: 2005-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1747.html
Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change by the National Association of Securities Dealers, Inc. to Modify the Pricing for Non-NASD Members Using Nasdaq's Brut Facility
Document Number: E5-1746
Type: Notice
Date: 2005-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1746.html
John Hancock Life Insurance Company (U.S.A.), et al., Notice of Application
Document Number: E5-1745
Type: Notice
Date: 2005-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1745.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National Stock Exchange Relating to the Exchange's Regulatory Transaction Fee
Document Number: E5-1744
Type: Notice
Date: 2005-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1744.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the National Association of Securities Dealers, Inc. Seeking to Modify the Nasdaq Market Center Execution Service to Add an Optional Routing Feature
Document Number: E5-1743
Type: Notice
Date: 2005-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1743.html
Self-Regulatory Organizations; Order Approving Proposed Rule Change by the American Stock Exchange LLC To Require Members To Complete Systems Training and To Include Violations of This Requirement in Its Minor Rule Violation Plan
Document Number: E5-1742
Type: Notice
Date: 2005-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1742.html
MetLife Investors Insurance Company, et al.; Notice of Application
Document Number: E5-1737
Type: Notice
Date: 2005-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1737.html
Submission for OMB Review; Comment Request
Document Number: E5-1736
Type: Notice
Date: 2005-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1736.html
Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval to Proposed Rule Change, and Amendments No. 1 and 2 Thereto, Relating to Revisions to Amex Rule 21, Appointment of Floor Officials
Document Number: 05-7435
Type: Notice
Date: 2005-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/13/05-7435.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 Thereto By the Chicago Board Options Exchange, Incorporated To Amend Rules Relating Margin Treatment on Stock Transactions Effected By an Options Market Maker To Hedge Options Positions
Document Number: 05-7375
Type: Notice
Date: 2005-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/13/05-7375.html
Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations
Document Number: 05-7366
Type: Rule
Date: 2005-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (Commission) is publishing this interpretive release with respect to prohibited conduct in connection with securities distributions, particularly with a focus on initial public offering (IPO) allocations. The Commission is soliciting comment on the issues discussed here.
https://regulations.justia.com/regulations/fedreg/2005/04/13/05-7366.html
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