Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2005/12/14?limit=200&registers=between&mode=atom 2025-01-14T01:12:59-08:00 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/2005/12/14/E5-7339.html Notice - Rydex ETF Trust, et al.; Notice of Application 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7339 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7339.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7338.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 4 Examination Program 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7338 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7338.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7337.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 9/10 Examination Program 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7337 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7337.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7333.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Modify Nasdaq's Auditor Peer Review Requirement 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7333 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7333.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7330.html Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 4 Examination Program 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7330 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7330.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7329.html Notice - Joint Industry Plan; Solicitation of Comments and Order Granting Summary Effectiveness To Request To Extend the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by The Pacific Exchange, Inc., The National Association of Securities Dealers, Inc., The American Stock Exchange LLC, The Boston Stock Exchange, Inc., The Chicago Stock Exchange, Inc., The National Stock Exchange, Inc., and The Philadelphia Stock Exchange, Inc. and To Extend Certain Exemptive Relief 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7329 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7329.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7328.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Pacific Exchange, Inc. and Amendment No. 1 Thereto Relating to the Approval of Securities That Underlie Options Traded on the Exchange 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7328 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7328.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7327.html Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Study Outline and Selection Specifications for the Limited Principal-General Securities Sales Supervisor (Series 9/10) Examination Program 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7327 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7327.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7326.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 4 Examination Program 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7326 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7326.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7325.html Notice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 9/10 Examination Program 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7325 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7325.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7307.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Options Licensing Fee for Options on Certain PowerShares Exchange-Traded Funds 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7307 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7307.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7306.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 9/10 Examination Program 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7306 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7306.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7305.html Notice - Self-Regulatory Organizations; The Depository Trust Company, Fixed Income Clearing Corporation, and National Securities Clearing Corporation; Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7305 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7305.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7304.html Notice - Options Price Reporting Authority; Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information (“OPRA Plan”) to Amend Guideline No. 1 of the Best Bid and Offer Guidelines Adopted Pursuant to the OPRA Plan 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7304 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7304.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7303.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Requirements for Continued Approval of Securities that Underlie Options Traded on the Exchange 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7303 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7303.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7302.html Notice - The Integrity Funds, et al.; Notice of Application 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7302 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7302.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7301.html Notice - Options Price Reporting Authority; Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Provide That Classes of Foreign Currency Options Newly Introduced for Trading on the Philadelphia Stock Exchange Be Treated as Equity/Index Options During a Temporary Period Ending on December 31, 2007 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7301 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7301.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7299.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Maintenance, Retention and Furnishing of Books, Records and Other Information Regarding Payment For Order Flow 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7299 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7299.pdf https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7296.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Trading Pursuant to Unlisted Trading Privileges of the iShares S&P Global 100 Fund 2005-12-14T00:00:00-08:00 2005-12-14T00:00:00-08:00 E5-7296 Notice http://www.gpo.gov/fdsys/pkg/FR-2005-12-14/pdf/E5-7296.pdf