<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2005/08/09?registers=between Mon, 25 Nov 2024 03:14:24 -0800 Mon, 25 Nov 2024 03:14:24 -0800 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/2005/08/09?registers=between Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4304.html https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4304.html Tue, 09 Aug 2005 00:00:00 -0700 E5-4304 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/E5-4304.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Relating To Listing and Trading of Shares of the xtraShares Trust https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4303.html https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4303.html Tue, 09 Aug 2005 00:00:00 -0700 E5-4303 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/E5-4303.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Rule Regarding Supervisory Control Systems, Rule 3012, To Require Notification of Reliance on “Limited Size and Resources” Exception https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4302.html https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4302.html Tue, 09 Aug 2005 00:00:00 -0700 E5-4302 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/E5-4302.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto To Require Semi-Annual Financial Reporting by Foreign Private Issuers https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4277.html https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4277.html Tue, 09 Aug 2005 00:00:00 -0700 E5-4277 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/E5-4277.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend for Additional Six Months the Pilot Program Permitting a Floor Broker To Use an Exchange Authorized and Provided Portable Telephone on the Exchange Floor https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4276.html https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4276.html Tue, 09 Aug 2005 00:00:00 -0700 E5-4276 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/E5-4276.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Participant Fees and Credits https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4275.html https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4275.html Tue, 09 Aug 2005 00:00:00 -0700 E5-4275 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/E5-4275.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to iShares(r) MSCI EAFE Growth Fund and iShares MSCI EAFE Value Fund https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4274.html https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4274.html Tue, 09 Aug 2005 00:00:00 -0700 E5-4274 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/E5-4274.pdf Notice - Self-Regulatory Organizations; Declaration of Effectiveness of American Stock Exchange LLC Plan for the Implementation of Parts II and IIA of Form X-17A-5 Financial and Operational Combined Uniform Single Report (“FOCUS Report”) and Schedule I Thereunder as Amended https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4273.html https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4273.html Tue, 09 Aug 2005 00:00:00 -0700 E5-4273 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/E5-4273.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participation Guarantees for Floor Brokers Representing Crossing and Facilitation Orders https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4272.html https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4272.html Tue, 09 Aug 2005 00:00:00 -0700 E5-4272 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/E5-4272.pdf Notice - Joint Industry Plan; Notice of Filing of Amendment No. 15 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to a “Trade and Ship” Exception to the Definition of “Trade-Through” and a “Book and Ship” Exception to the Locked Markets Provision https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4271.html https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4271.html Tue, 09 Aug 2005 00:00:00 -0700 E5-4271 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/E5-4271.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Amend NASD Rule 7010(k) Relating to TRACE Transaction Data Fees https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4270.html https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4270.html Tue, 09 Aug 2005 00:00:00 -0700 E5-4270 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/E5-4270.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers Inc.; Notice of Extension of the Comment Period for the Proposed Rule and Amendment No. 1 Thereto Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4269.html https://regulations.justia.com/regulations/fedreg/2005/08/09/E5-4269.html Tue, 09 Aug 2005 00:00:00 -0700 E5-4269 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/E5-4269.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/08/09/05-15792.html https://regulations.justia.com/regulations/fedreg/2005/08/09/05-15792.html Tue, 09 Aug 2005 00:00:00 -0700 05-15792 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/05-15792.pdf Notice - Divedepot.com, Inc., GS Telecom Ltd., Rocky Mountain Financial Enterprises, Inc., US Data Authority, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2005/08/09/05-15791.html https://regulations.justia.com/regulations/fedreg/2005/08/09/05-15791.html Tue, 09 Aug 2005 00:00:00 -0700 05-15791 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/05-15791.pdf Rule - Ownership Reports and Trading by Officers, Directors and Principal Security Holders https://regulations.justia.com/regulations/fedreg/2005/08/09/05-15682.html https://regulations.justia.com/regulations/fedreg/2005/08/09/05-15682.html Tue, 09 Aug 2005 00:00:00 -0700 05-15682 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/05-15682.pdf Rule - Amendments to the Penny Stock Rules https://regulations.justia.com/regulations/fedreg/2005/08/09/05-15681.html https://regulations.justia.com/regulations/fedreg/2005/08/09/05-15681.html Tue, 09 Aug 2005 00:00:00 -0700 05-15681 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/05-15681.pdf Notice - ING USA Annuity & Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2005/08/09/05-15574.html https://regulations.justia.com/regulations/fedreg/2005/08/09/05-15574.html Tue, 09 Aug 2005 00:00:00 -0700 05-15574 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-08-09/pdf/05-15574.pdf