Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2005/04/13?limit=200&registers=between&mode=atom 2024-05-19T20:01:42-07:00 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/2005/04/13/E5-1748.html Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) 2005-04-13T00:00:00-07:00 2005-04-13T00:00:00-07:00 E5-1748 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1748.pdf https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1747.html Notice - 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 2005-04-13T00:00:00-07:00 2005-04-13T00:00:00-07:00 E5-1747 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1747.pdf https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1746.html Notice - 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 2005-04-13T00:00:00-07:00 2005-04-13T00:00:00-07:00 E5-1746 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1746.pdf https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1745.html Notice - John Hancock Life Insurance Company (U.S.A.), et al., Notice of Application 2005-04-13T00:00:00-07:00 2005-04-13T00:00:00-07:00 E5-1745 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1745.pdf https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1744.html Notice - 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 2005-04-13T00:00:00-07:00 2005-04-13T00:00:00-07:00 E5-1744 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1744.pdf https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1743.html Notice - 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 2005-04-13T00:00:00-07:00 2005-04-13T00:00:00-07:00 E5-1743 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1743.pdf https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1742.html Notice - 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 2005-04-13T00:00:00-07:00 2005-04-13T00:00:00-07:00 E5-1742 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1742.pdf https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1737.html Notice - MetLife Investors Insurance Company, et al.; Notice of Application 2005-04-13T00:00:00-07:00 2005-04-13T00:00:00-07:00 E5-1737 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1737.pdf https://regulations.justia.com/regulations/fedreg/2005/04/13/E5-1736.html Notice - Submission for OMB Review; Comment Request 2005-04-13T00:00:00-07:00 2005-04-13T00:00:00-07:00 E5-1736 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/E5-1736.pdf https://regulations.justia.com/regulations/fedreg/2005/04/13/05-7435.html Notice - 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 2005-04-13T00:00:00-07:00 2005-04-13T00:00:00-07:00 05-7435 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/05-7435.pdf https://regulations.justia.com/regulations/fedreg/2005/04/13/05-7375.html Notice - 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 2005-04-13T00:00:00-07:00 2005-04-13T00:00:00-07:00 05-7375 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/05-7375.pdf https://regulations.justia.com/regulations/fedreg/2005/04/13/05-7366.html Rule - Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations 2005-04-13T00:00:00-07:00 2005-04-13T00:00:00-07:00 05-7366 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-13/pdf/05-7366.pdf