Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2005/09/21?limit=200&registers=between&mode=atom 2024-11-24T04:30:23-08:00 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/2005/09/21/05-18817.html Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) 2005-09-21T00:00:00-07:00 2005-09-21T00:00:00-07:00 05-18817 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18817.pdf https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18768.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Modification of the Definition of Firm Customer Quote Size and the Removal of Certain Restrictions on Sending Secondary P/A Orders Under the Linkage Plan 2005-09-21T00:00:00-07:00 2005-09-21T00:00:00-07:00 05-18768 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18768.pdf https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18767.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Changes to NASD Rule 3110 and IM-3110 2005-09-21T00:00:00-07:00 2005-09-21T00:00:00-07:00 05-18767 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18767.pdf https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18766.html Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Add Exchange Rule 123G Prohibiting Trade Shredding 2005-09-21T00:00:00-07:00 2005-09-21T00:00:00-07:00 05-18766 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18766.pdf https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18765.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify, Consolidate, and Clarify Financial Responsibility and Operational Capability Rules 2005-09-21T00:00:00-07:00 2005-09-21T00:00:00-07:00 05-18765 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18765.pdf https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18764.html Notice - Submission for OMB Review; Comment Request 2005-09-21T00:00:00-07:00 2005-09-21T00:00:00-07:00 05-18764 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18764.pdf https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18763.html Notice - Self-Regulatory Organizations; The Depository Trust Company, Fixed Income Clearing Corporation, and National Securities Clearing Corporation; Order Approving Proposed Rule Change To Establish a Fine for Members Failing To Conduct Connectivity Testing 2005-09-21T00:00:00-07:00 2005-09-21T00:00:00-07:00 05-18763 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18763.pdf https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18762.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Pacific Exchange, Inc. To Create a New Order Type-Passive Liquidity Orders-for Use in the ArcaEx Trading Facility of the PCX 2005-09-21T00:00:00-07:00 2005-09-21T00:00:00-07:00 05-18762 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18762.pdf https://regulations.justia.com/regulations/fedreg/2005/09/21/05-18761.html Notice - Securities Exchange Act of 1934 and Investment Company Act of 1940; Order Under Section 17a and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Company Act and Certain Rules Thereunder 2005-09-21T00:00:00-07:00 2005-09-21T00:00:00-07:00 05-18761 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-09-21/pdf/05-18761.pdf