<![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?registers=between&min-day=1&max-day=30 Wed, 22 May 2024 22:04:42 -0700 Wed, 22 May 2024 22:04:42 -0700 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?registers=between&min-day=1&max-day=30 Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Relating to Fees Relating to Merger Spreads and Dividend Spreads https://regulations.justia.com/regulations/fedreg/2005/04/29/E5-2050.html https://regulations.justia.com/regulations/fedreg/2005/04/29/E5-2050.html Fri, 29 Apr 2005 00:00:00 -0700 E5-2050 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-29/pdf/E5-2050.pdf Notice - Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2005/04/29/05-8671.html https://regulations.justia.com/regulations/fedreg/2005/04/29/05-8671.html Fri, 29 Apr 2005 00:00:00 -0700 05-8671 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-29/pdf/05-8671.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/04/29/05-8670.html https://regulations.justia.com/regulations/fedreg/2005/04/29/05-8670.html Fri, 29 Apr 2005 00:00:00 -0700 05-8670 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-29/pdf/05-8670.pdf Notice - Summary of Proposed Committee Agenda of Advisory Committee on Smaller Public Companies https://regulations.justia.com/regulations/fedreg/2005/04/29/05-8622.html https://regulations.justia.com/regulations/fedreg/2005/04/29/05-8622.html Fri, 29 Apr 2005 00:00:00 -0700 05-8622 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-29/pdf/05-8622.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change, and Amendment Nos. 1, 2, and 3 Thereto, by the Boston Stock Exchange, Inc. Relating to the Trading of Market Orders on the Boston Options Exchange https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2044.html https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2044.html Thu, 28 Apr 2005 00:00:00 -0700 E5-2044 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/E5-2044.pdf 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 Nasdaq's Brut Facility https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2043.html https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2043.html Thu, 28 Apr 2005 00:00:00 -0700 E5-2043 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/E5-2043.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Order Approving Proposed Rule Change To Revise Certain Membership Rules Related to the Testing and Orientation Requirements for Nominees of Member Organizations Approved Solely as Clearing Members https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2042.html https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2042.html Thu, 28 Apr 2005 00:00:00 -0700 E5-2042 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/E5-2042.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. To Establish a Unitary Fee Schedule for Distribution of Real Time Data Feed Products Containing Nasdaq Market Center Data https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2041.html https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2041.html Thu, 28 Apr 2005 00:00:00 -0700 E5-2041 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/E5-2041.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend Its Operational Capability Requirement for Membership https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2003.html https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2003.html Thu, 28 Apr 2005 00:00:00 -0700 E5-2003 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/E5-2003.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Changes by the New York Stock Exchange, Inc., and the National Association of Securities Dealers, Inc., To Prohibit Participation by a Research Analyst in a Road Show Related to an Investment Banking Services Transaction and To Require Certain Communications About an Investment Banking Services Transaction To Be Fair, Balanced and Not Misleading https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2002.html https://regulations.justia.com/regulations/fedreg/2005/04/28/E5-2002.html Thu, 28 Apr 2005 00:00:00 -0700 E5-2002 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/E5-2002.pdf Proposed Rule - Proposed Amendments to the Rules of Practice and Related Provisions https://regulations.justia.com/regulations/fedreg/2005/04/28/05-8484.html https://regulations.justia.com/regulations/fedreg/2005/04/28/05-8484.html Thu, 28 Apr 2005 00:00:00 -0700 05-8484 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-28/pdf/05-8484.pdf Notice - New England Life Insurance Co., et al., Notice of Application https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1990.html https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1990.html Wed, 27 Apr 2005 00:00:00 -0700 E5-1990 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-27/pdf/E5-1990.pdf Notice - The PNC Financial Services Group, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1988.html https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1988.html Wed, 27 Apr 2005 00:00:00 -0700 E5-1988 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-27/pdf/E5-1988.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change Relating to the Use of Certain Consolidated Tape Association Financial Status Indicator Fields and Related Disclosure Obligations https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1987.html https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1987.html Wed, 27 Apr 2005 00:00:00 -0700 E5-1987 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-27/pdf/E5-1987.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Arbitration Fees https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1986.html https://regulations.justia.com/regulations/fedreg/2005/04/27/E5-1986.html Wed, 27 Apr 2005 00:00:00 -0700 E5-1986 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-27/pdf/E5-1986.pdf Notice - In the Matter of Weida Communications, Inc., File No. 500-1; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2005/04/27/05-8515.html https://regulations.justia.com/regulations/fedreg/2005/04/27/05-8515.html Wed, 27 Apr 2005 00:00:00 -0700 05-8515 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-27/pdf/05-8515.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Members Using the New Nasdaq Workstation https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1975.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1975.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1975 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1975.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Types of Securities Eligible for FICC's GCF Repo Service to Include Treasury-Inflation Protected Securities https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1974.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1974.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1974 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1974.pdf Notice - UBS Supplementary Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1973.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1973.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1973 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1973.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Procedures With Respect to Deposits of Cash or Securities With an Escrow Bank for Short Positions in Stock Option or Index Option Contracts https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1972.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1972.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1972 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1972.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Technical Changes That Add or Correct Cross-References in Article VIII, Section 5 of the By-Laws and in Rule 910 https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1971.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1971.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1971 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1971.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Non-Members Using the New Nasdaq Workstation https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1970.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1970.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1970 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1970.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Amend NYSE Rule 104 Regarding the Requirement That Specialists Obtain Floor Official Approval for Destabilizing Dealer Account Transactions in ETFs https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1965.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1965.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1965 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1965.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the SizeQuote Mechanism for the Execution of Large-Sized Orders in Open Outcry https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1964.html https://regulations.justia.com/regulations/fedreg/2005/04/26/E5-1964.html Tue, 26 Apr 2005 00:00:00 -0700 E5-1964 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/E5-1964.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/04/26/05-8248.html https://regulations.justia.com/regulations/fedreg/2005/04/26/05-8248.html Tue, 26 Apr 2005 00:00:00 -0700 05-8248 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-26/pdf/05-8248.pdf Notice - Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendment No. 1 by the American Stock Exchange LLC and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Relating to the Adoption of Generic Listing Standards for Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2005/04/25/E5-1949.html https://regulations.justia.com/regulations/fedreg/2005/04/25/E5-1949.html Mon, 25 Apr 2005 00:00:00 -0700 E5-1949 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-25/pdf/E5-1949.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/04/25/E5-1948.html https://regulations.justia.com/regulations/fedreg/2005/04/25/E5-1948.html Mon, 25 Apr 2005 00:00:00 -0700 E5-1948 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-25/pdf/E5-1948.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/04/25/05-8249.html https://regulations.justia.com/regulations/fedreg/2005/04/25/05-8249.html Mon, 25 Apr 2005 00:00:00 -0700 05-8249 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-25/pdf/05-8249.pdf Proposed Rule - Definition of Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2005/04/25/05-8158.html https://regulations.justia.com/regulations/fedreg/2005/04/25/05-8158.html Mon, 25 Apr 2005 00:00:00 -0700 05-8158 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-25/pdf/05-8158.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Yield Underlying Participating Securities (YUPS) https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1915.html https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1915.html Fri, 22 Apr 2005 00:00:00 -0700 E5-1915 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-22/pdf/E5-1915.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5, 6 and 7 Thereto by the American Stock Exchange LLC Relating to the Listing and Trading of Trust Issued Receipts Based on a Single Issuer https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1914.html https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1914.html Fri, 22 Apr 2005 00:00:00 -0700 E5-1914 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-22/pdf/E5-1914.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Nasdaq Opening Process for Nasdaq-Listed Stocks https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1913.html https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1913.html Fri, 22 Apr 2005 00:00:00 -0700 E5-1913 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-22/pdf/E5-1913.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Denying Motion for Reconsideration of Order Setting Aside Earlier Order Issued by Delegated Authority and Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to an Interpretation of Paragraph (b) of Article Fifth of Its Certificate of Incorporation and an Amendment to Rule 3.16(b) https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1912.html https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1912.html Fri, 22 Apr 2005 00:00:00 -0700 E5-1912 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-22/pdf/E5-1912.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Accelerated Approval to a Proposed Rule Change To Adopt an Inactivity Fee To Be Charged Against Remote Market-Makers That Fail To Commence Quoting in Their Appointed Classes https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1884.html https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1884.html Fri, 22 Apr 2005 00:00:00 -0700 E5-1884 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-22/pdf/E5-1884.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Accelerated Approval to a Proposed Rule Change 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 https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1883.html https://regulations.justia.com/regulations/fedreg/2005/04/22/E5-1883.html Fri, 22 Apr 2005 00:00:00 -0700 E5-1883 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-22/pdf/E5-1883.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Solicitation of Municipal Securities Business Under MSRB Rule G-38 https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1879.html https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1879.html Thu, 21 Apr 2005 00:00:00 -0700 E5-1879 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-21/pdf/E5-1879.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the Calculation of the National Best Bid or Offer When Another Exchange Is Disconnected From the Intermarket Options Linkage https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1878.html https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1878.html Thu, 21 Apr 2005 00:00:00 -0700 E5-1878 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-21/pdf/E5-1878.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish a Firm Deadline by Which Members of the Government Securities Division Must Satisfy Clearing Fund Deficiencies https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1877.html https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1877.html Thu, 21 Apr 2005 00:00:00 -0700 E5-1877 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-21/pdf/E5-1877.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Make Clear That the Underlying Index Value for Portfolio Depository Receipts and Index Fund Shares Must Be Disseminated Widely by an Appropriate Service https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1876.html https://regulations.justia.com/regulations/fedreg/2005/04/21/E5-1876.html Thu, 21 Apr 2005 00:00:00 -0700 E5-1876 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-21/pdf/E5-1876.pdf Rule - Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment https://regulations.justia.com/regulations/fedreg/2005/04/21/05-8013.html https://regulations.justia.com/regulations/fedreg/2005/04/21/05-8013.html Thu, 21 Apr 2005 00:00:00 -0700 05-8013 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-21/pdf/05-8013.pdf Notice - Self-Regulatory Organizations; Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto by the Philadelphia Stock Exchange, Inc. Relating to System Changes to the Exchange's Automated Options Market (AUTOM) System https://regulations.justia.com/regulations/fedreg/2005/04/20/E5-1860.html https://regulations.justia.com/regulations/fedreg/2005/04/20/E5-1860.html Wed, 20 Apr 2005 00:00:00 -0700 E5-1860 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-20/pdf/E5-1860.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Definition of Research Analyst in Rule 344 (Research Analysts and Supervisory Analysts) and Rule 472 (Communications With the Public) https://regulations.justia.com/regulations/fedreg/2005/04/20/E5-1859.html https://regulations.justia.com/regulations/fedreg/2005/04/20/E5-1859.html Wed, 20 Apr 2005 00:00:00 -0700 E5-1859 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-20/pdf/E5-1859.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance Automated Customer Account Transfer Service To Permit the Automated Notification of Changes to the Broker-Dealer of Record for Applicable Insurance Products https://regulations.justia.com/regulations/fedreg/2005/04/20/E5-1849.html https://regulations.justia.com/regulations/fedreg/2005/04/20/E5-1849.html Wed, 20 Apr 2005 00:00:00 -0700 E5-1849 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-20/pdf/E5-1849.pdf Rule - First-Time Application of International Financial Reporting Standards https://regulations.justia.com/regulations/fedreg/2005/04/20/05-7706.html https://regulations.justia.com/regulations/fedreg/2005/04/20/05-7706.html Wed, 20 Apr 2005 00:00:00 -0700 05-7706 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-04-20/pdf/05-7706.pdf 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 Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Calculating Net Capital Under OCC Rule 307 https://regulations.justia.com/regulations/fedreg/2005/04/18/E5-1807.html https://regulations.justia.com/regulations/fedreg/2005/04/18/E5-1807.html Mon, 18 Apr 2005 00:00:00 -0700 E5-1807 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-18/pdf/E5-1807.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Frequency of Updates from the National Do-Not-Call Registry Pursuant to Rule G-39 https://regulations.justia.com/regulations/fedreg/2005/04/18/E5-1804.html https://regulations.justia.com/regulations/fedreg/2005/04/18/E5-1804.html Mon, 18 Apr 2005 00:00:00 -0700 E5-1804 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-04-18/pdf/E5-1804.pdf