Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2005/04/19?limit=200&registers=between&mode=atom 2024-11-22T20:43:19-08:00 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/2005/04/19/E5-1818.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. Relating to the Delivery of Customer Agreements Containing Predispute Arbitration Clauses 2005-04-19T00:00:00-07:00 2005-04-19T00:00:00-07:00 E5-1818 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-19/pdf/E5-1818.pdf https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1817.html Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change by the New York Stock Exchange, Inc. To Adopt a New Rule (NYSE Rule 401A) Requiring Members and Member Organizations To Respond to Customer Complaints, and Adding Failure To Acknowledge Customer Complaints to the Minor Fine Provisions of NYSE Rule 476A 2005-04-19T00:00:00-07:00 2005-04-19T00:00:00-07:00 E5-1817 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-19/pdf/E5-1817.pdf https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1816.html Notice - Proposed Collection; Comment Request 2005-04-19T00:00:00-07:00 2005-04-19T00:00:00-07:00 E5-1816 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-19/pdf/E5-1816.pdf https://regulations.justia.com/regulations/fedreg/2005/04/19/05-7641.html Rule - Certain Broker-Dealers Deemed Not To Be Investment Advisers 2005-04-19T00:00:00-07:00 2005-04-19T00:00:00-07:00 05-7641 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-19/pdf/05-7641.pdf