<![CDATA[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?registers=between Fri, 22 Nov 2024 20:23:44 -0800 Fri, 22 Nov 2024 20:23:44 -0800 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[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?registers=between 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 https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1818.html https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1818.html Tue, 19 Apr 2005 00:00:00 -0700 E5-1818 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-19/pdf/E5-1818.pdf 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 https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1817.html https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1817.html Tue, 19 Apr 2005 00:00:00 -0700 E5-1817 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-19/pdf/E5-1817.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1816.html https://regulations.justia.com/regulations/fedreg/2005/04/19/E5-1816.html Tue, 19 Apr 2005 00:00:00 -0700 E5-1816 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-19/pdf/E5-1816.pdf Rule - Certain Broker-Dealers Deemed Not To Be Investment Advisers https://regulations.justia.com/regulations/fedreg/2005/04/19/05-7641.html https://regulations.justia.com/regulations/fedreg/2005/04/19/05-7641.html Tue, 19 Apr 2005 00:00:00 -0700 05-7641 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-19/pdf/05-7641.pdf