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

Results 151 - 170 of 170
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Equity Option Specialist Deficit (Shortfall) Fee
Document Number: E5-3593
Type: Notice
Date: 2005-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/08/E5-3593.html
Self-Regulatory Organizations; National Stock Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend an Existing Pilot Rule That Stipulates the Price Increment by Which Designated Dealers Must Better Customer Subpenny Orders
Document Number: E5-3592
Type: Notice
Date: 2005-07-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/08/E5-3592.html
Proposed Collection; Comment Request
Document Number: E5-3556
Type: Notice
Date: 2005-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/07/E5-3556.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to an Amendment of Phlx Rule 1023
Document Number: E5-3555
Type: Notice
Date: 2005-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/07/E5-3555.html
Investment Company Governance
Document Number: 05-13314
Type: Rule
Date: 2005-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission has considered further its adoption of amendments to rules under the Investment Company Act of 1940 to require investment companies (``funds'') that rely on certain exemptive rules to adopt certain governance practices. The reconsideration responds to a decision by the United States Court of Appeals for the District of Columbia Circuit remanding to us for further consideration two issues raised by the rulemaking.
https://regulations.justia.com/regulations/fedreg/2005/07/07/05-13314.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of “Non-Professional” and Use of TRACE Transaction Data
Document Number: E5-3544
Type: Notice
Date: 2005-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/06/E5-3544.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to NASD Rule 3011 and the Adoption of New Related Interpretive Material
Document Number: E5-3543
Type: Notice
Date: 2005-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/06/E5-3543.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendments No. 1 and No. 2 Thereto Relating to Honorarium for Arbitrators Deciding Discovery-Related Motions
Document Number: E5-3542
Type: Notice
Date: 2005-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/06/E5-3542.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 445
Document Number: E5-3539
Type: Notice
Date: 2005-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/06/E5-3539.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, and 3 Thereto To Permit Lead Market Makers To Operate From a Remote Location
Document Number: E5-3538
Type: Notice
Date: 2005-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/06/E5-3538.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees for Non-Members Using the New Testing Facility
Document Number: E5-3537
Type: Notice
Date: 2005-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/06/E5-3537.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees for NASD Members Using the New Testing Facility
Document Number: E5-3536
Type: Notice
Date: 2005-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/06/E5-3536.html
In the Matter of St. George Metals, Inc.; Order of Suspension of Trading
Document Number: 05-13329
Type: Notice
Date: 2005-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/06/05-13329.html
Issuer Delisting; Notice of Application of Leucadia National Corporation to Withdraw its Common Stock, $1.00 par value, from Listing and Registration on the Pacific Exchange, Inc.
Document Number: 05-13233
Type: Notice
Date: 2005-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/06/05-13233.html
Issuer Delisting; Notice of Application of Varian Medical Systems, Inc. To Withdraw its Common Stock, $1.00 Par Value, and Associated Preferred Stock Purchase Rights, From Listing and Registration on the Pacific Exchange, Inc.
Document Number: 05-13232
Type: Notice
Date: 2005-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/06/05-13232.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E5-3460
Type: Notice
Date: 2005-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end management company, seeks an order declaring that it has ceased to be an investment company. On April 19, 2005, applicant made a final liquidating distribution to its shareholders based on net asset value. Applicant paid $104,300 in expenses incurred in connection with the liquidation. Filing Dates: The application was filed on May 26, 2005, and amended on June 17, 2005. Applicant's Address: 630 Fifth Ave., 37th Floor, New York, NY 10111.
https://regulations.justia.com/regulations/fedreg/2005/07/01/E5-3460.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Relating to Back-up Trading Arrangements
Document Number: E5-3459
Type: Notice
Date: 2005-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/01/E5-3459.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Proposed Uniform Branch Office Form (“Form BR”)
Document Number: E5-3458
Type: Notice
Date: 2005-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/01/E5-3458.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE OpenBook® Exhibit C
Document Number: E5-3457
Type: Notice
Date: 2005-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/01/E5-3457.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving 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: E5-3456
Type: Notice
Date: 2005-07-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/07/01/E5-3456.html
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