Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2005/09/16?limit=200&registers=between&mode=atom 2024-11-25T12:59:27-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2005/09/16/E5-5034.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5 and 6 Thereto Relating to Proposed Uniform Definition of “Branch Office” Under NASD Rule 3010(g)(2) 2005-09-16T00:00:00-07:00 2005-09-16T00:00:00-07:00 E5-5034 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-16/pdf/E5-5034.pdf https://regulations.justia.com/regulations/fedreg/2005/09/16/E5-5033.html Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 to the Proposed Rule Change Relating to the Amendment of Rule 342 (Offices-Approval, Supervision and Control) To Provide for a Uniform Definition of “Branch Office” 2005-09-16T00:00:00-07:00 2005-09-16T00:00:00-07:00 E5-5033 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-16/pdf/E5-5033.pdf https://regulations.justia.com/regulations/fedreg/2005/09/16/05-18410.html Notice - Joint Industry Plan; Notice of Filing of Joint Amendment No. 16 to the Intermarket Option Linkage Plan Relating to the Definition of Firm Customer Quote Size and Restrictions on Sending Certain Principal Acting as Agent Orders 2005-09-16T00:00:00-07:00 2005-09-16T00:00:00-07:00 05-18410 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-16/pdf/05-18410.pdf https://regulations.justia.com/regulations/fedreg/2005/09/16/05-18384.html Rule - Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date 2005-09-16T00:00:00-07:00 2005-09-16T00:00:00-07:00 05-18384 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-09-16/pdf/05-18384.pdf