<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2005/10?registers=between&min-day=1&max-day=31 Thu, 02 May 2024 13:46:20 -0700 Thu, 02 May 2024 13:46:20 -0700 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/2005/10?registers=between&min-day=1&max-day=31 Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Payment for Order Flow Program in Effect in September and October 2004 https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-6002.html https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-6002.html Mon, 31 Oct 2005 00:00:00 -0800 E5-6002 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-31/pdf/E5-6002.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Maturity Periods Set Forth in Margin Factor Tables https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-6001.html https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-6001.html Mon, 31 Oct 2005 00:00:00 -0800 E5-6001 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-31/pdf/E5-6001.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 2 Thereto Relating to Crediting of Certain DPM Principal Acting as Agent Order Transaction Fees https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-6000.html https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-6000.html Mon, 31 Oct 2005 00:00:00 -0800 E5-6000 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-31/pdf/E5-6000.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Require Members To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-5999.html https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-5999.html Mon, 31 Oct 2005 00:00:00 -0800 E5-5999 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-31/pdf/E5-5999.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Require Members To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-5998.html https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-5998.html Mon, 31 Oct 2005 00:00:00 -0800 E5-5998 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-31/pdf/E5-5998.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Use of Contra CUSIP Numbers To Segregate Partially-Called Positions of Participants in Variable Rate Demand Obligation Issues https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-5997.html https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-5997.html Mon, 31 Oct 2005 00:00:00 -0800 E5-5997 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-31/pdf/E5-5997.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.: Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Amending the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-5991.html https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-5991.html Mon, 31 Oct 2005 00:00:00 -0800 E5-5991 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-31/pdf/E5-5991.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Require Members To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-5990.html https://regulations.justia.com/regulations/fedreg/2005/10/31/E5-5990.html Mon, 31 Oct 2005 00:00:00 -0800 E5-5990 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-31/pdf/E5-5990.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Rule Change To Adopt a Market Turner Priority for Index Options and Options on ETFs on the Exchange's Hybrid System https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5980.html https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5980.html Fri, 28 Oct 2005 00:00:00 -0700 E5-5980 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-28/pdf/E5-5980.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Exchange's Order Priority Rule and the Mandatory Use of Order Match Functionalities https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5976.html https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5976.html Fri, 28 Oct 2005 00:00:00 -0700 E5-5976 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-28/pdf/E5-5976.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Proposal To Place an Immediate Moratorium on the Qualification and Registration of New Competitive Traders and Registered Competitive Market Makers https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5975.html https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5975.html Fri, 28 Oct 2005 00:00:00 -0700 E5-5975 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-28/pdf/E5-5975.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change Relating to the Elimination of Position and Exercise Limits on NDX Options https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5974.html https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5974.html Fri, 28 Oct 2005 00:00:00 -0700 E5-5974 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-28/pdf/E5-5974.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to the Elimination of Position and Exercise Limits on NDX Options https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5973.html https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5973.html Fri, 28 Oct 2005 00:00:00 -0700 E5-5973 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-28/pdf/E5-5973.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change To Amend Article XX, Rule 37(a)(3) To Eliminate its Requirement That Specialists Guarantee Execution of Limit Orders When Certain Conditions Occur in Another Market https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5972.html https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5972.html Fri, 28 Oct 2005 00:00:00 -0700 E5-5972 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-28/pdf/E5-5972.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Charges for Communications Fees To Continue Operating Legacy Communication Networks https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5971.html https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5971.html Fri, 28 Oct 2005 00:00:00 -0700 E5-5971 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-28/pdf/E5-5971.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Rule 891 Relating to Transfer Agents https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5970.html https://regulations.justia.com/regulations/fedreg/2005/10/28/E5-5970.html Fri, 28 Oct 2005 00:00:00 -0700 E5-5970 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-28/pdf/E5-5970.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2005/10/27/05-21518.html https://regulations.justia.com/regulations/fedreg/2005/10/27/05-21518.html Thu, 27 Oct 2005 00:00:00 -0700 05-21518 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-27/pdf/05-21518.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to Amex Rules 26 and 27 https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5946.html https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5946.html Wed, 26 Oct 2005 00:00:00 -0700 E5-5946 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-26/pdf/E5-5946.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Transaction Fees Assessed on DIAMONDS Options https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5945.html https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5945.html Wed, 26 Oct 2005 00:00:00 -0700 E5-5945 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-26/pdf/E5-5945.pdf Notice - Ameritas Variable Life Insurance Company, et al.: https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5944.html https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5944.html Wed, 26 Oct 2005 00:00:00 -0700 E5-5944 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-26/pdf/E5-5944.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Federal Reserve's National Settlement System https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5943.html https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5943.html Wed, 26 Oct 2005 00:00:00 -0700 E5-5943 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-26/pdf/E5-5943.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Modify Nasdaq's Auditor Peer Review Requirement https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5942.html https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5942.html Wed, 26 Oct 2005 00:00:00 -0700 E5-5942 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-26/pdf/E5-5942.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to Certain Sections of the Exchange Constitution Concerning the Exchange's Hearing Board and Related Amendments to Exchange Rule 475 and Rule 476 https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5923.html https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5923.html Wed, 26 Oct 2005 00:00:00 -0700 E5-5923 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-26/pdf/E5-5923.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Amendments No. 3 and 4 to Proposed Rule Change To Amend NASD Rule 2320(a) Governing Best Execution https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5922.html https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5922.html Wed, 26 Oct 2005 00:00:00 -0700 E5-5922 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-26/pdf/E5-5922.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change To Establish Certain Fees With Respect to Transactions Executed Through the Intermarket Trading System https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5921.html https://regulations.justia.com/regulations/fedreg/2005/10/26/E5-5921.html Wed, 26 Oct 2005 00:00:00 -0700 E5-5921 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-26/pdf/E5-5921.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Amex Listing Agreement https://regulations.justia.com/regulations/fedreg/2005/10/25/E5-5892.html https://regulations.justia.com/regulations/fedreg/2005/10/25/E5-5892.html Tue, 25 Oct 2005 00:00:00 -0700 E5-5892 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-25/pdf/E5-5892.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change To Establish Certain Fees With Respect to Transactions Executed Through the Intermarket Trading System https://regulations.justia.com/regulations/fedreg/2005/10/25/E5-5891.html https://regulations.justia.com/regulations/fedreg/2005/10/25/E5-5891.html Tue, 25 Oct 2005 00:00:00 -0700 E5-5891 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-25/pdf/E5-5891.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Requiring the Chicago Stock Exchange's Participants To Provide Electronic Mail Addresses to the Exchange https://regulations.justia.com/regulations/fedreg/2005/10/25/E5-5880.html https://regulations.justia.com/regulations/fedreg/2005/10/25/E5-5880.html Tue, 25 Oct 2005 00:00:00 -0700 E5-5880 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-25/pdf/E5-5880.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule and Amendment No. 1 Thereto Relating to a Proposed Interpretation to Rule 342 (Offices-Approval, Supervision, and Control) https://regulations.justia.com/regulations/fedreg/2005/10/25/E5-5879.html https://regulations.justia.com/regulations/fedreg/2005/10/25/E5-5879.html Tue, 25 Oct 2005 00:00:00 -0700 E5-5879 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-25/pdf/E5-5879.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/10/25/05-21355.html https://regulations.justia.com/regulations/fedreg/2005/10/25/05-21355.html Tue, 25 Oct 2005 00:00:00 -0700 05-21355 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-25/pdf/05-21355.pdf Proposed Rule - Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2005/10/25/05-21247.html https://regulations.justia.com/regulations/fedreg/2005/10/25/05-21247.html Tue, 25 Oct 2005 00:00:00 -0700 05-21247 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2005-10-25/pdf/05-21247.pdf Notice - BBH Fund, Inc. and Brown Brothers Harriman & Co.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/10/24/E5-5862.html https://regulations.justia.com/regulations/fedreg/2005/10/24/E5-5862.html Mon, 24 Oct 2005 00:00:00 -0700 E5-5862 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-24/pdf/E5-5862.pdf Notice - Advisory Committee on Smaller Public Companies https://regulations.justia.com/regulations/fedreg/2005/10/24/E5-5861.html https://regulations.justia.com/regulations/fedreg/2005/10/24/E5-5861.html Mon, 24 Oct 2005 00:00:00 -0700 E5-5861 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-24/pdf/E5-5861.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rule 8.4 Relating to Remote Market-Maker Appointments https://regulations.justia.com/regulations/fedreg/2005/10/24/E5-5860.html https://regulations.justia.com/regulations/fedreg/2005/10/24/E5-5860.html Mon, 24 Oct 2005 00:00:00 -0700 E5-5860 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-24/pdf/E5-5860.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Options on a Reduced-Value Version of the Standard and Poor's 500 Stock Index https://regulations.justia.com/regulations/fedreg/2005/10/24/E5-5859.html https://regulations.justia.com/regulations/fedreg/2005/10/24/E5-5859.html Mon, 24 Oct 2005 00:00:00 -0700 E5-5859 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-24/pdf/E5-5859.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Participant Fees and Credits https://regulations.justia.com/regulations/fedreg/2005/10/24/E5-5858.html https://regulations.justia.com/regulations/fedreg/2005/10/24/E5-5858.html Mon, 24 Oct 2005 00:00:00 -0700 E5-5858 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-24/pdf/E5-5858.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Restated Certificate of Incorporation of the Nasdaq Stock Market, Inc. https://regulations.justia.com/regulations/fedreg/2005/10/24/E5-5843.html https://regulations.justia.com/regulations/fedreg/2005/10/24/E5-5843.html Mon, 24 Oct 2005 00:00:00 -0700 E5-5843 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-24/pdf/E5-5843.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Clarify the Listing Standards Applicable to Companies in Bankruptcy Proceedings https://regulations.justia.com/regulations/fedreg/2005/10/20/E5-5787.html https://regulations.justia.com/regulations/fedreg/2005/10/20/E5-5787.html Thu, 20 Oct 2005 00:00:00 -0700 E5-5787 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-20/pdf/E5-5787.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Odd-Lot Order Processing Fees https://regulations.justia.com/regulations/fedreg/2005/10/20/E5-5786.html https://regulations.justia.com/regulations/fedreg/2005/10/20/E5-5786.html Thu, 20 Oct 2005 00:00:00 -0700 E5-5786 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-20/pdf/E5-5786.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Adoption of an Options Licensing Fee for the First Trust Dow Jones Select MicroCap Index Fund (FDM) https://regulations.justia.com/regulations/fedreg/2005/10/20/E5-5785.html https://regulations.justia.com/regulations/fedreg/2005/10/20/E5-5785.html Thu, 20 Oct 2005 00:00:00 -0700 E5-5785 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-20/pdf/E5-5785.pdf Rule - Adoption of Amendment to Delegation of Authority to Secretary of the Commission https://regulations.justia.com/regulations/fedreg/2005/10/20/05-20973.html https://regulations.justia.com/regulations/fedreg/2005/10/20/05-20973.html Thu, 20 Oct 2005 00:00:00 -0700 05-20973 Rule http://www.gpo.gov/fdsys/pkg/FR-2005-10-20/pdf/05-20973.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/10/19/E5-5747.html https://regulations.justia.com/regulations/fedreg/2005/10/19/E5-5747.html Wed, 19 Oct 2005 00:00:00 -0700 E5-5747 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-19/pdf/E5-5747.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/10/19/E5-5746.html https://regulations.justia.com/regulations/fedreg/2005/10/19/E5-5746.html Wed, 19 Oct 2005 00:00:00 -0700 E5-5746 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-19/pdf/E5-5746.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/10/19/E5-5745.html https://regulations.justia.com/regulations/fedreg/2005/10/19/E5-5745.html Wed, 19 Oct 2005 00:00:00 -0700 E5-5745 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-19/pdf/E5-5745.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/10/19/E5-5744.html https://regulations.justia.com/regulations/fedreg/2005/10/19/E5-5744.html Wed, 19 Oct 2005 00:00:00 -0700 E5-5744 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-19/pdf/E5-5744.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2005/10/19/E5-5743.html https://regulations.justia.com/regulations/fedreg/2005/10/19/E5-5743.html Wed, 19 Oct 2005 00:00:00 -0700 E5-5743 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-19/pdf/E5-5743.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Market Maker Quotation Obligations https://regulations.justia.com/regulations/fedreg/2005/10/19/E5-5742.html https://regulations.justia.com/regulations/fedreg/2005/10/19/E5-5742.html Wed, 19 Oct 2005 00:00:00 -0700 E5-5742 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-19/pdf/E5-5742.pdf Notice - ING Partners, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5735.html https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5735.html Tue, 18 Oct 2005 00:00:00 -0700 E5-5735 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-18/pdf/E5-5735.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5729.html https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5729.html Tue, 18 Oct 2005 00:00:00 -0700 E5-5729 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-18/pdf/E5-5729.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to an Automated Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5728.html https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5728.html Tue, 18 Oct 2005 00:00:00 -0700 E5-5728 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-18/pdf/E5-5728.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5727.html https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5727.html Tue, 18 Oct 2005 00:00:00 -0700 E5-5727 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-18/pdf/E5-5727.pdf Notice - Self-Regulatory Organizations; National Stock Exchange; Notice of Filing of Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, To Amend the Exchange's Customer Priority Rule To Require Designated Dealers To Implement and Maintain Automated Compliance Systems https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5726.html https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5726.html Tue, 18 Oct 2005 00:00:00 -0700 E5-5726 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-18/pdf/E5-5726.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5725.html https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5725.html Tue, 18 Oct 2005 00:00:00 -0700 E5-5725 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-18/pdf/E5-5725.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5724.html https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5724.html Tue, 18 Oct 2005 00:00:00 -0700 E5-5724 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-18/pdf/E5-5724.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5722.html https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5722.html Tue, 18 Oct 2005 00:00:00 -0700 E5-5722 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-18/pdf/E5-5722.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change To Establish Certain Fees With Respect to Transactions Executed Through the Intermarket Trading System https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5721.html https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5721.html Tue, 18 Oct 2005 00:00:00 -0700 E5-5721 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-18/pdf/E5-5721.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5720.html https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5720.html Tue, 18 Oct 2005 00:00:00 -0700 E5-5720 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-18/pdf/E5-5720.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Contingency Trading Procedures https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5719.html https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5719.html Tue, 18 Oct 2005 00:00:00 -0700 E5-5719 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-18/pdf/E5-5719.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Relating to Expansion of OATS Reporting Requirements to OTC Equity Securities https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5718.html https://regulations.justia.com/regulations/fedreg/2005/10/18/E5-5718.html Tue, 18 Oct 2005 00:00:00 -0700 E5-5718 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-18/pdf/E5-5718.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 4 to the Proposed Rule Change Relating to Listing Standards for Broad-Based Index Options https://regulations.justia.com/regulations/fedreg/2005/10/18/05-20775.html https://regulations.justia.com/regulations/fedreg/2005/10/18/05-20775.html Tue, 18 Oct 2005 00:00:00 -0700 05-20775 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-18/pdf/05-20775.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Dissemination of the Underlying Index Value for Trust Shares and Index Fund Shares https://regulations.justia.com/regulations/fedreg/2005/10/14/E5-5653.html https://regulations.justia.com/regulations/fedreg/2005/10/14/E5-5653.html Fri, 14 Oct 2005 00:00:00 -0700 E5-5653 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-14/pdf/E5-5653.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc., Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Amend NYSE Rule 440A Relating to Telephone Solicitation https://regulations.justia.com/regulations/fedreg/2005/10/14/E5-5652.html https://regulations.justia.com/regulations/fedreg/2005/10/14/E5-5652.html Fri, 14 Oct 2005 00:00:00 -0700 E5-5652 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-14/pdf/E5-5652.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 2 Thereto Relating to an Interpretation of Exchange Rule 452 https://regulations.justia.com/regulations/fedreg/2005/10/14/E5-5646.html https://regulations.justia.com/regulations/fedreg/2005/10/14/E5-5646.html Fri, 14 Oct 2005 00:00:00 -0700 E5-5646 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-14/pdf/E5-5646.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Its October 2005 Equity Options Payment for Order Flow Program https://regulations.justia.com/regulations/fedreg/2005/10/14/E5-5645.html https://regulations.justia.com/regulations/fedreg/2005/10/14/E5-5645.html Fri, 14 Oct 2005 00:00:00 -0700 E5-5645 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-14/pdf/E5-5645.pdf Notice - Self-Regulatory Organizations; National Stock Exchange; Notice of Filing of Proposed Rule Change, and Amendment Nos. 1, 2, and 3, Thereto, Relating to the Creation of a Regulatory Oversight Committee https://regulations.justia.com/regulations/fedreg/2005/10/14/E5-5644.html https://regulations.justia.com/regulations/fedreg/2005/10/14/E5-5644.html Fri, 14 Oct 2005 00:00:00 -0700 E5-5644 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-14/pdf/E5-5644.pdf Notice - Self-Regulatory Organizations; National Stock Exchange; Notice of Filing of Proposed Rule Change, and Amendment Nos. 1, 2, and 3, Thereto, Relating to the Creation of a Regulatory Oversight Committee https://regulations.justia.com/regulations/fedreg/2005/10/14/E5-5643.html https://regulations.justia.com/regulations/fedreg/2005/10/14/E5-5643.html Fri, 14 Oct 2005 00:00:00 -0700 E5-5643 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-14/pdf/E5-5643.pdf Notice - Approval of Investment Adviser Registration Depository Filing Fees https://regulations.justia.com/regulations/fedreg/2005/10/13/E5-5599.html https://regulations.justia.com/regulations/fedreg/2005/10/13/E5-5599.html Thu, 13 Oct 2005 00:00:00 -0700 E5-5599 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-13/pdf/E5-5599.pdf Notice - New York Life Insurance and Annuity Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2005/10/13/E5-5598.html https://regulations.justia.com/regulations/fedreg/2005/10/13/E5-5598.html Thu, 13 Oct 2005 00:00:00 -0700 E5-5598 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-13/pdf/E5-5598.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Directed Order Process https://regulations.justia.com/regulations/fedreg/2005/10/13/E5-5594.html https://regulations.justia.com/regulations/fedreg/2005/10/13/E5-5594.html Thu, 13 Oct 2005 00:00:00 -0700 E5-5594 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-13/pdf/E5-5594.pdf Notice - Advisory Committee on Smaller Public Companies https://regulations.justia.com/regulations/fedreg/2005/10/13/05-20569.html https://regulations.justia.com/regulations/fedreg/2005/10/13/05-20569.html Thu, 13 Oct 2005 00:00:00 -0700 05-20569 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-13/pdf/05-20569.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Disclaimer of Warranties by SIG Indices, LLLP https://regulations.justia.com/regulations/fedreg/2005/10/12/E5-5584.html https://regulations.justia.com/regulations/fedreg/2005/10/12/E5-5584.html Wed, 12 Oct 2005 00:00:00 -0700 E5-5584 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-12/pdf/E5-5584.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Deletion of Interpretation and Policy .01(e) to CBOE Rule 5.4 https://regulations.justia.com/regulations/fedreg/2005/10/12/E5-5583.html https://regulations.justia.com/regulations/fedreg/2005/10/12/E5-5583.html Wed, 12 Oct 2005 00:00:00 -0700 E5-5583 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-12/pdf/E5-5583.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change Relating to Participant Fees and Credits https://regulations.justia.com/regulations/fedreg/2005/10/12/E5-5582.html https://regulations.justia.com/regulations/fedreg/2005/10/12/E5-5582.html Wed, 12 Oct 2005 00:00:00 -0700 E5-5582 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-12/pdf/E5-5582.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Regarding Lead Market Maker's Guaranteed Participation in Trades Executed by Public Outcry https://regulations.justia.com/regulations/fedreg/2005/10/12/E5-5581.html https://regulations.justia.com/regulations/fedreg/2005/10/12/E5-5581.html Wed, 12 Oct 2005 00:00:00 -0700 E5-5581 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-12/pdf/E5-5581.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/10/12/E5-5580.html https://regulations.justia.com/regulations/fedreg/2005/10/12/E5-5580.html Wed, 12 Oct 2005 00:00:00 -0700 E5-5580 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-12/pdf/E5-5580.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Elimination of Commentary .01(5) to Amex Rule 916 https://regulations.justia.com/regulations/fedreg/2005/10/12/E5-5574.html https://regulations.justia.com/regulations/fedreg/2005/10/12/E5-5574.html Wed, 12 Oct 2005 00:00:00 -0700 E5-5574 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-12/pdf/E5-5574.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 9/10 Examination Program https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5565.html https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5565.html Tue, 11 Oct 2005 00:00:00 -0700 E5-5565 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-11/pdf/E5-5565.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify and Consolidate Clearing Fund Rules https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5564.html https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5564.html Tue, 11 Oct 2005 00:00:00 -0700 E5-5564 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-11/pdf/E5-5564.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval to Proposed Rule Change and Amendment Nos. 1, 2, and 3 and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 4 Relating to Listing and Trading of Shares of the xtraShares Trust https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5563.html https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5563.html Tue, 11 Oct 2005 00:00:00 -0700 E5-5563 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-11/pdf/E5-5563.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 4 Examination Program https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5562.html https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5562.html Tue, 11 Oct 2005 00:00:00 -0700 E5-5562 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-11/pdf/E5-5562.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 6 Examination Program https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5561.html https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5561.html Tue, 11 Oct 2005 00:00:00 -0700 E5-5561 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-11/pdf/E5-5561.pdf Notice - Issuer Delisting; Notice of Application of Meredith Enterprises, Inc. to Withdraw Its Common Stock, $.01 Par Value, From Listing and Registration on the American Stock Exchange LLC https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5560.html https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5560.html Tue, 11 Oct 2005 00:00:00 -0700 E5-5560 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-11/pdf/E5-5560.pdf Notice - Issuer Delisting; Notice of Application of Valley Forge Scientific Corp. To Withdraw Its Common Stock, No Par Value, From Listing and Registration on the Boston Stock Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5559.html https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5559.html Tue, 11 Oct 2005 00:00:00 -0700 E5-5559 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-11/pdf/E5-5559.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change Relating to Amendments to MSRB Rule G-20, on Gifts and Gratuities, and MSRB Rule G-8, on Recordkeeping https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5545.html https://regulations.justia.com/regulations/fedreg/2005/10/11/E5-5545.html Tue, 11 Oct 2005 00:00:00 -0700 E5-5545 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-11/pdf/E5-5545.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/10/11/05-20389.html https://regulations.justia.com/regulations/fedreg/2005/10/11/05-20389.html Tue, 11 Oct 2005 00:00:00 -0700 05-20389 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-11/pdf/05-20389.pdf Notice - The Nasdaq Stock Market Inc., Notice of Filing of Amendment Nos. 4 and 5 to Its Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2005/10/11/05-20314.html https://regulations.justia.com/regulations/fedreg/2005/10/11/05-20314.html Tue, 11 Oct 2005 00:00:00 -0700 05-20314 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-11/pdf/05-20314.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change Relating to the Proposed Uniform Branch Office Registration Form (“Form BR”) https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5535.html https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5535.html Fri, 07 Oct 2005 00:00:00 -0700 E5-5535 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-07/pdf/E5-5535.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to the Proposed Rule Change Relating to the Proposed Uniform Branch Office Registration Form (“Form BR”) and Amendments to the Uniform Application for Securities Industry Registration or Transfer (“Form U4”) and the Uniform Termination Notice for Securities Industry Registration (“Form U5”) https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5534.html https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5534.html Fri, 07 Oct 2005 00:00:00 -0700 E5-5534 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-07/pdf/E5-5534.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rule 11890 https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5533.html https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5533.html Fri, 07 Oct 2005 00:00:00 -0700 E5-5533 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-07/pdf/E5-5533.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change to Add Rules Regarding Time Tracking Requirements of Specialists and Specialist Organizations to Its Minor Rule Violation Plan https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5531.html https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5531.html Fri, 07 Oct 2005 00:00:00 -0700 E5-5531 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-07/pdf/E5-5531.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 2 and 3 Thereto Relating to Exposure of Orders in the PCX Plus Crossing Mechanism https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5525.html https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5525.html Fri, 07 Oct 2005 00:00:00 -0700 E5-5525 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-07/pdf/E5-5525.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Procedures Relating to the Destruction of Certain Non-Transferable Securities Certificates That Are Held in DTC's Internal Removal Account Known as PREM https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5524.html https://regulations.justia.com/regulations/fedreg/2005/10/07/E5-5524.html Fri, 07 Oct 2005 00:00:00 -0700 E5-5524 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-07/pdf/E5-5524.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2005/10/06/E5-5488.html https://regulations.justia.com/regulations/fedreg/2005/10/06/E5-5488.html Thu, 06 Oct 2005 00:00:00 -0700 E5-5488 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-06/pdf/E5-5488.pdf Notice - Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) https://regulations.justia.com/regulations/fedreg/2005/10/06/E5-5475.html https://regulations.justia.com/regulations/fedreg/2005/10/06/E5-5475.html Thu, 06 Oct 2005 00:00:00 -0700 E5-5475 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-06/pdf/E5-5475.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Remote Market-Maker Transaction Fees https://regulations.justia.com/regulations/fedreg/2005/10/06/E5-5470.html https://regulations.justia.com/regulations/fedreg/2005/10/06/E5-5470.html Thu, 06 Oct 2005 00:00:00 -0700 E5-5470 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-06/pdf/E5-5470.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Implementation of a Cancellation Fee for Equities and ETFs https://regulations.justia.com/regulations/fedreg/2005/10/06/E5-5469.html https://regulations.justia.com/regulations/fedreg/2005/10/06/E5-5469.html Thu, 06 Oct 2005 00:00:00 -0700 E5-5469 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-06/pdf/E5-5469.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 4 Thereto Relating to a Prohibition on Using a Layoff Service Unless the Service Provides Required Information to the Exchange https://regulations.justia.com/regulations/fedreg/2005/10/06/E5-5468.html https://regulations.justia.com/regulations/fedreg/2005/10/06/E5-5468.html Thu, 06 Oct 2005 00:00:00 -0700 E5-5468 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-06/pdf/E5-5468.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2005/10/06/05-20182.html https://regulations.justia.com/regulations/fedreg/2005/10/06/05-20182.html Thu, 06 Oct 2005 00:00:00 -0700 05-20182 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-06/pdf/05-20182.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto To Temporarily Suspend Specialist Transaction Charges for the Nasdaq-100 Index Tracking Stock® (QQQQ) https://regulations.justia.com/regulations/fedreg/2005/10/05/E5-5454.html https://regulations.justia.com/regulations/fedreg/2005/10/05/E5-5454.html Wed, 05 Oct 2005 00:00:00 -0700 E5-5454 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-05/pdf/E5-5454.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change Relating to Summary Orders in the Nasdaq Market Center https://regulations.justia.com/regulations/fedreg/2005/10/05/E5-5450.html https://regulations.justia.com/regulations/fedreg/2005/10/05/E5-5450.html Wed, 05 Oct 2005 00:00:00 -0700 E5-5450 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-05/pdf/E5-5450.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating to the Integration of Regulatory Staff into Floor Official Rulings and the Review of Floor Official Rulings and Expediting the Process for Appealing Floor Official Rulings https://regulations.justia.com/regulations/fedreg/2005/10/05/E5-5449.html https://regulations.justia.com/regulations/fedreg/2005/10/05/E5-5449.html Wed, 05 Oct 2005 00:00:00 -0700 E5-5449 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-05/pdf/E5-5449.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Amendment No. 2 to Proposed Rule Change by Relating to Amendments To Order Audit Trail System Rules and Notice of and Order Granting Accelerated Approval to Amendment No. 3 https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19809.html https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19809.html Tue, 04 Oct 2005 00:00:00 -0700 05-19809 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-04/pdf/05-19809.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to the Proposed Rule Change, To Amend NASD Rule 7090 To Modify the Annual Listing and Administrative Fees https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19808.html https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19808.html Tue, 04 Oct 2005 00:00:00 -0700 05-19808 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-04/pdf/05-19808.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Its Minor Rule Plan and Recommended Fine Schedule in Connection With Rules Regarding Principal Orders, Principal Acting as Agent Orders, and Limitations on Principal Order Access https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19807.html https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19807.html Tue, 04 Oct 2005 00:00:00 -0700 05-19807 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-04/pdf/05-19807.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Reduce the Value of PHLX Housing SectorSM https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19806.html https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19806.html Tue, 04 Oct 2005 00:00:00 -0700 05-19806 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-04/pdf/05-19806.pdf Notice - Issuer Delisting; Notice of Application of Measurement Specialties, Inc. To Withdraw Its Common Stock, No Par Value, From Listing and Registration on the American Stock Exchange LLC https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19805.html https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19805.html Tue, 04 Oct 2005 00:00:00 -0700 05-19805 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-04/pdf/05-19805.pdf Notice - Issuer Delisting; Notice of Application of Vulcan International Corporation To Withdraw Its Common Stock, No Par Value, From Listing and Registration on the American Stock Exchange LLC https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19804.html https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19804.html Tue, 04 Oct 2005 00:00:00 -0700 05-19804 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-04/pdf/05-19804.pdf Notice - Issuer Delisting; Notice of Application of Baker Hughes Incorporated To Withdraw Its Common Stock, $1.00 Par Value, From Listing and Registration on the Pacific Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19803.html https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19803.html Tue, 04 Oct 2005 00:00:00 -0700 05-19803 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-04/pdf/05-19803.pdf Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Rescinding Pilot Rules Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration and Section 1281.92 of the California Code of Civil Procedure https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19773.html https://regulations.justia.com/regulations/fedreg/2005/10/04/05-19773.html Tue, 04 Oct 2005 00:00:00 -0700 05-19773 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-04/pdf/05-19773.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Regarding Fees for Closed-End Funds Listing on The Nasdaq SmallCap Market https://regulations.justia.com/regulations/fedreg/2005/10/03/E5-5354.html https://regulations.justia.com/regulations/fedreg/2005/10/03/E5-5354.html Mon, 03 Oct 2005 00:00:00 -0700 E5-5354 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-03/pdf/E5-5354.pdf Notice - Self-Regulatory Organizations; American Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Options Licensing Fees for Certain PowerShares ETF Options https://regulations.justia.com/regulations/fedreg/2005/10/03/E5-5347.html https://regulations.justia.com/regulations/fedreg/2005/10/03/E5-5347.html Mon, 03 Oct 2005 00:00:00 -0700 E5-5347 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-03/pdf/E5-5347.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Proactive Limit Orders https://regulations.justia.com/regulations/fedreg/2005/10/03/E5-5346.html https://regulations.justia.com/regulations/fedreg/2005/10/03/E5-5346.html Mon, 03 Oct 2005 00:00:00 -0700 E5-5346 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-03/pdf/E5-5346.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Revising the Implementation Date for the ANTE System https://regulations.justia.com/regulations/fedreg/2005/10/03/E5-5345.html https://regulations.justia.com/regulations/fedreg/2005/10/03/E5-5345.html Mon, 03 Oct 2005 00:00:00 -0700 E5-5345 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-03/pdf/E5-5345.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Transfer Agent Drop Service https://regulations.justia.com/regulations/fedreg/2005/10/03/E5-5344.html https://regulations.justia.com/regulations/fedreg/2005/10/03/E5-5344.html Mon, 03 Oct 2005 00:00:00 -0700 E5-5344 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-03/pdf/E5-5344.pdf Notice - Advisory Committee on Smaller Public Companies; Meeting https://regulations.justia.com/regulations/fedreg/2005/10/03/05-19802.html https://regulations.justia.com/regulations/fedreg/2005/10/03/05-19802.html Mon, 03 Oct 2005 00:00:00 -0700 05-19802 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-10-03/pdf/05-19802.pdf