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

Results 51 - 100 of 129
Proposed Collection; Comment Request
Document Number: E5-1802
Type: Notice
Date: 2005-04-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/18/E5-1802.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment to Rule G-8, on Recordkeeping, to Add Requirement for Predispute Arbitration Agreements With Customers, and Amendment to Rule A-11, on Indemnification, to Delete Obsolete References to Arbitrators
Document Number: 05-7650
Type: Notice
Date: 2005-04-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/18/05-7650.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. Relating to Adjusting the Implementation Date of Previously Adopted PCXE Listing Fees for Exchange-Traded Funds and Closed-End Funds
Document Number: 05-7644
Type: Notice
Date: 2005-04-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/18/05-7644.html
Issuer Delisting; Notice of Application of E-Z-EM, Inc. To Withdraw Its Common Stock, $.10 Par Value, From Listing and Registration on the American Stock Exchange LLC File No. 1-11479
Document Number: 05-7639
Type: Notice
Date: 2005-04-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/18/05-7639.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change to Establish a Comprehensive Standard of Care and Limitation of Liability to its Members
Document Number: Z5-1566
Type: Notice
Date: 2005-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/15/Z5-1566.html
Options Price Reporting Authority; Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Clarify How the Requirements of the OPRA Plan Pertaining to Vendors Apply to Persons Who Redistribute OPRA Data Over the Internet
Document Number: E5-1786
Type: Notice
Date: 2005-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/15/E5-1786.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to NASD Rules 4510(a) and 4520(a) to Clarify Rule Language Regarding Entry and Application Fees for Issuers Listed on a National Securities Exchange That Transfer Their Listing to Nasdaq
Document Number: E5-1785
Type: Notice
Date: 2005-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/15/E5-1785.html
Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendments Nos. 1, 2, and 3 by the Pacific Exchange, Inc. Relating to Adjournments of a Hearing Within Three Business Days of a Scheduled Hearing Session
Document Number: E5-1784
Type: Notice
Date: 2005-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/15/E5-1784.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Pilot Period to Increase Position and Exercise Limits for Equity Options and Establishing a Reverse Collar Hedge Exemption
Document Number: E5-1783
Type: Notice
Date: 2005-04-15
Agency: Securtites and Exchange Commission, Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/15/E5-1783.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Relating to Trading Options on Full and Reduced Values of the ISE 250 Index, the ISE 100 Index and the ISE 50 Index, Including Long-Term Options
Document Number: C5-6743
Type: Notice
Date: 2005-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/15/C5-6743.html
Sunshine Act Meeting
Document Number: 05-7746
Type: Notice
Date: 2005-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/15/05-7746.html
Proposed Collection; Comment Request
Document Number: E5-1760
Type: Notice
Date: 2005-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/14/E5-1760.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto by the Chicago Board Options Exchange, Incorporated Relating to Back-up Trading Arrangements
Document Number: E5-1758
Type: Notice
Date: 2005-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/14/E5-1758.html
John Hancock Life Insurance Company, et al.
Document Number: 05-7602
Type: Notice
Date: 2005-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/14/05-7602.html
John Hancock Life Insurance Company, et al.
Document Number: 05-7496
Type: Notice
Date: 2005-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/14/05-7496.html
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
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change Relating to Floor Official Conflicts of Interest
Document Number: E5-1697
Type: Notice
Date: 2005-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1697.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. Relating to the Annual Membership Fees Payable by Electronic Access Members of the Exchange
Document Number: E5-1696
Type: Notice
Date: 2005-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1696.html
Proposed Collection; Comment Request
Document Number: E5-1695
Type: Notice
Date: 2005-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1695.html
Proposed Collection; Comment Request
Document Number: E5-1673
Type: Notice
Date: 2005-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1673.html
Proposed Collection; Comment Request
Document Number: E5-1672
Type: Notice
Date: 2005-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1672.html
Proposed Collection; Comment Request
Document Number: E5-1671
Type: Notice
Date: 2005-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1671.html
Proposed Extension of Existing Collection; Comment Request
Document Number: E5-1669
Type: Notice
Date: 2005-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1669.html
Proposed Collection; Comment Request
Document Number: E5-1668
Type: Notice
Date: 2005-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1668.html
Proposed Collection; Comment Request
Document Number: E5-1666
Type: Notice
Date: 2005-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1666.html
Proposed Collection; Comment Request
Document Number: E5-1665
Type: Notice
Date: 2005-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/12/E5-1665.html
In the Matter of Bio-Heal Laboratories, Inc.; Order of Suspension of Trading
Document Number: 05-7414
Type: Notice
Date: 2005-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/12/05-7414.html
Proposed Collection; Comment Request
Document Number: 05-7301
Type: Notice
Date: 2005-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/12/05-7301.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the American Stock Exchange LLC Relating to Specialist Liability for Failure To Send a Report to an Order-Providing Member
Document Number: E5-1663
Type: Notice
Date: 2005-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/11/E5-1663.html
Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-1662
Type: Notice
Date: 2005-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/11/E5-1662.html
Sunshine Act Meeting
Document Number: 05-7300
Type: Notice
Date: 2005-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/11/05-7300.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, and Amendment No. 1 Thereto, by the Chicago Board Options Exchange, Incorporated Relating to the Appointment of the Chairman and Members of CBOE's Regulatory Oversight Committee
Document Number: E5-1621
Type: Notice
Date: 2005-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/08/E5-1621.html
Sunshine Act Meeting
Document Number: 05-7186
Type: Notice
Date: 2005-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/08/05-7186.html
Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-1601
Type: Notice
Date: 2005-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1601.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Board Options Exchange, Incorporated Relating to a Fee Cap for Options Dividend Spread Transactions
Document Number: E5-1600
Type: Notice
Date: 2005-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1600.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the New York Stock Exchange, Inc. To Extend for Additional Four Months Its Pilot Program Permitting a Floor Broker To Use an Exchange Authorized and Provided Portable Telephone on the Exchange Floor
Document Number: E5-1599
Type: Notice
Date: 2005-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1599.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of 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)
Document Number: E5-1591
Type: Notice
Date: 2005-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1591.html
Proposed Collection; Comment Request
Document Number: E5-1590
Type: Notice
Date: 2005-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1590.html
Proposed Collection; Comment Request
Document Number: E5-1589
Type: Notice
Date: 2005-04-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/04/07/E5-1589.html
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