Securities and Exchange Commission July 13, 2005 – Federal Register Recent Federal Regulation Documents

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Odd-Lots in Nasdaq Securities

Document Number: E5-3712

Type: Notice

Date: 2005-07-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2005/07/13/E5-3712.html

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change to Provide for a 10-Day Notice Requirement Before a Party Issues a Subpoena to a Non-Party for Pre-Hearing Discovery

Document Number: E5-3711

Type: Notice

Date: 2005-07-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2005/07/13/E5-3711.html

Submission for OMB Review; Comment Request

Document Number: E5-3710

Type: Notice

Date: 2005-07-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2005/07/13/E5-3710.html

Submission for OMB Review; Comment Request

Document Number: E5-3709

Type: Notice

Date: 2005-07-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2005/07/13/E5-3709.html

Securities Exchange Act of 1934; Release No. 51984/July 7, 2005; In the Matter of: The Philadelphia Stock Exchange, Inc.; Order of Summary Abrogation

Document Number: E5-3708

Type: Notice

Date: 2005-07-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2005/07/13/E5-3708.html

Amendments to the Penny Stock Rules

Document Number: 05-13737

Type: Rule

Date: 2005-07-13

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission is amending the definition of ``penny stock'' as well as the requirements for providing certain information to penny stock customers. These amendments are designed to address market changes, evolving communications technology and legislative developments.

https://regulations.justia.com/regulations/fedreg/2005/07/13/05-13737.html

Proposed Collection; Comment Request

Document Number: 05-13715

Type: Notice

Date: 2005-07-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2005/07/13/05-13715.html

Proposed Collection; Comment Request

Document Number: 05-13712

Type: Notice

Date: 2005-07-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2005/07/13/05-13712.html