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

Results 101 - 150 of 170
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, to Provide Written Explanations in Arbitration Awards Upon the Request of Customers, or of Associated Persons in Industry Controversies
Document Number: E5-3770
Type: Notice
Date: 2005-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/15/E5-3770.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Obvious Error Rule for Equity Options
Document Number: E5-3769
Type: Notice
Date: 2005-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/15/E5-3769.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Amend Its Summary Fine Schedule for Position Limit Violations
Document Number: E5-3747
Type: Notice
Date: 2005-07-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/14/E5-3747.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Amend NASD's Minor Rule Violation Plan
Document Number: E5-3746
Type: Notice
Date: 2005-07-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/14/E5-3746.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to the Assignment of RAES Orders to Logged-In Market-Makers Participating on RAES
Document Number: E5-3745
Type: Notice
Date: 2005-07-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/14/E5-3745.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Article XX, Rule 37(a)(3) of Its Rules To Eliminate Its Requirement That Specialists Guarantee Execution of Limit Orders When Certain Conditions Occur in Another Market
Document Number: E5-3743
Type: Notice
Date: 2005-07-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/14/E5-3743.html
Notice of an Application of the New York Stock Exchange, Inc. for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 and Request for Comment
Document Number: E5-3742
Type: Notice
Date: 2005-07-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/14/E5-3742.html
Intermarket Trading System; Order Granting Approval of the Twenty First Amendment to the ITS Plan Relating to the Recognition of the Automatic Generation of Outgoing ITS Commitments
Document Number: E5-3730
Type: Notice
Date: 2005-07-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/14/E5-3730.html
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Add New Account Identification Codes
Document Number: E5-3729
Type: Notice
Date: 2005-07-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/14/E5-3729.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Its Market Data Rebate Program To Allow Equity Trading Permit Holders To Receive Rebates on an Estimated Basis
Document Number: E5-3724
Type: Notice
Date: 2005-07-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/14/E5-3724.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Temporary Reallocation of Securities Among Specialists
Document Number: E5-3722
Type: Notice
Date: 2005-07-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/14/E5-3722.html
Filing Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-3721
Type: Notice
Date: 2005-07-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/14/E5-3721.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Require Members That Use Appendix E To Calculate Net Capital To File Supplemental and Alternative Reports
Document Number: E5-3720
Type: Notice
Date: 2005-07-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/14/E5-3720.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Volume Weighted Average Price Crosses
Document Number: 05-13842
Type: Notice
Date: 2005-07-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/14/05-13842.html
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
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Revising Various Implementation Dates for the ANTE System
Document Number: E5-3684
Type: Notice
Date: 2005-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/12/E5-3684.html
Self-Regulatory Organizations; New York Stock Exchange Inc.; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto To Eliminate Rule 496 and To Amend the Listed Company Manual Relating to Transfer Agents
Document Number: E5-3683
Type: Notice
Date: 2005-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/12/E5-3683.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to the Listing and Trading of Leveraged Index Return Notes Linked to the Nikkei 225 Index
Document Number: E5-3682
Type: Notice
Date: 2005-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/12/E5-3682.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Facilitation of Complex Orders
Document Number: E5-3667
Type: Notice
Date: 2005-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/12/E5-3667.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Obvious Error Rules
Document Number: E5-3666
Type: Notice
Date: 2005-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/12/E5-3666.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to a Prohibition on Using a Layoff Service Unless the Service Provides Required Information to the Exchange
Document Number: E5-3665
Type: Notice
Date: 2005-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/12/E5-3665.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Fee Changes
Document Number: E5-3664
Type: Notice
Date: 2005-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/12/E5-3664.html
Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-3663
Type: Notice
Date: 2005-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/12/E5-3663.html
Sunshine Act Meeting
Document Number: 05-13710
Type: Notice
Date: 2005-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/12/05-13710.html
Issuer Delisting; Notice of Application of NutriSystem, Inc., To Withdraw Its Common Stock, $.001 Par Value, From Listing and Registration on the American Stock Exchange LLC
Document Number: 05-13605
Type: Notice
Date: 2005-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/12/05-13605.html
Issuer Delisting; Notice of Application of AMETEK, Inc. To Withdraw Its Common Stock, $.01 Par Value, From Listing and Registration on the Pacific Exchange, Inc. File No. 1-12981
Document Number: 05-13604
Type: Notice
Date: 2005-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/12/05-13604.html
Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: 05-13603
Type: Notice
Date: 2005-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/12/05-13603.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to an Amendment to the Generic Listing Standards for Index-Linked Securities
Document Number: 05-13602
Type: Notice
Date: 2005-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/12/05-13602.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimals
Document Number: E5-3624
Type: Notice
Date: 2005-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/11/E5-3624.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Fee Changes for Transactions in Options on the Standard & Poor's Depository Receipts ® on a Retroactive Basis
Document Number: E5-3623
Type: Notice
Date: 2005-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/11/E5-3623.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Continuation of a Quote Assist Feature in the ANTE System on a Pilot Basis
Document Number: E5-3622
Type: Notice
Date: 2005-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/11/E5-3622.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand Maximum Single Order Share Size Limits in Nasdaq's Brut Facility
Document Number: E5-3621
Type: Notice
Date: 2005-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/11/E5-3621.html
Self-Regulatory Organization; Chicago Mercantile Exchange; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Listing Standards for Security Futures Products
Document Number: E5-3620
Type: Notice
Date: 2005-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/11/E5-3620.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Charges for Communications Fees To Continue Operating Legacy Communication Networks
Document Number: E5-3619
Type: Notice
Date: 2005-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/11/E5-3619.html
Self-Regulatory Organization; Chicago Mercantile Exchange; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Rules Governing Contract Specifications for Physically Delivered Single Security Futures
Document Number: E5-3618
Type: Notice
Date: 2005-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/11/E5-3618.html
Self-Regulatory Organization; Chicago Mercantile Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rules Governing Security Futures Adjustments
Document Number: E5-3617
Type: Notice
Date: 2005-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/11/E5-3617.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Technical Amendment to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business
Document Number: E5-3616
Type: Notice
Date: 2005-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/11/E5-3616.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Month-End Performance Data for Municipal Fund Securities Under MSRB Rule G-21
Document Number: E5-3615
Type: Notice
Date: 2005-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/11/E5-3615.html
In the Matter of Asia4Sale.com, Inc., Pacific Vision Group, Inc., and Idoleyez Corporation; Order of Suspension of Trading
Document Number: 05-13631
Type: Notice
Date: 2005-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/11/05-13631.html
Issuer Delisting; Notice of Application of American Power Conversion Corporation To Withdraw Its Common Stock, $.01 Par Value, From Listing and Registration on the Pacific Exchange, Inc.
Document Number: 05-13547
Type: Notice
Date: 2005-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/11/05-13547.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Securities in Subpenny Increments
Document Number: 05-13546
Type: Notice
Date: 2005-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/11/05-13546.html
Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Rule Interpretation Relating to Trading of Nasdaq National Market Securities in Subpenny Increments
Document Number: E5-3598
Type: Notice
Date: 2005-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/08/E5-3598.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Hybrid Opening System
Document Number: E5-3594
Type: Notice
Date: 2005-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/08/E5-3594.html
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