Securities and Exchange Commission December 2005 – Federal Register Recent Federal Regulation Documents

Results 101 - 150 of 175
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
Document Number: E5-7326
Type: Notice
Date: 2005-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7326.html
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
Document Number: E5-7325
Type: Notice
Date: 2005-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7325.html
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
Document Number: E5-7307
Type: Notice
Date: 2005-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7307.html
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
Document Number: E5-7306
Type: Notice
Date: 2005-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7306.html
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
Document Number: E5-7305
Type: Notice
Date: 2005-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7305.html
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
Document Number: E5-7304
Type: Notice
Date: 2005-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7304.html
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
Document Number: E5-7303
Type: Notice
Date: 2005-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7303.html
The Integrity Funds, et al.; Notice of Application
Document Number: E5-7302
Type: Notice
Date: 2005-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7302.html
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
Document Number: E5-7301
Type: Notice
Date: 2005-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7301.html
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
Document Number: E5-7299
Type: Notice
Date: 2005-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7299.html
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
Document Number: E5-7296
Type: Notice
Date: 2005-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/14/E5-7296.html
Issuer Delisting; Notice of Application of Sony Corporation To Withdraw Its American Depositary Shares, Each Presenting One Share of Common Stock, No Par Value, From Listing and Registration on the Pacific Exchange, Inc.
Document Number: E5-7265
Type: Notice
Date: 2005-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/13/E5-7265.html
Extension of Order Regarding Broker-Dealer Financial Statement Requirements Under Section 17 of the Exchange Act
Document Number: E5-7264
Type: Notice
Date: 2005-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/13/E5-7264.html
Self-Regulatory Organizations; The Pacific Exchange, Inc.; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Tracking Order Process
Document Number: E5-7263
Type: Notice
Date: 2005-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/13/E5-7263.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change To Establish Rules Governing the Operation of the INET System
Document Number: 05-23946
Type: Notice
Date: 2005-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/13/05-23946.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Exchange's Certificate of Incorporation, Constitution and Rules to Allow Limited Liability Companies to Become Members and Related Changes to the Exchange's 2005 Price List
Document Number: E5-7196
Type: Notice
Date: 2005-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/12/E5-7196.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Restated Certificate of Incorporation of The Nasdaq Stock Market, Inc.
Document Number: E5-7195
Type: Notice
Date: 2005-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/12/E5-7195.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Changes Pertaining to the Enforcement of Decorum Policies
Document Number: E5-7194
Type: Notice
Date: 2005-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/12/E5-7194.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Exposure Period for Crossing Orders in the Hybrid Trading System
Document Number: E5-7193
Type: Notice
Date: 2005-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/12/E5-7193.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to the SizeQuote Mechanism
Document Number: E5-7192
Type: Notice
Date: 2005-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/12/E5-7192.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Amend Its $2.50 Strike Price Interval Program
Document Number: E5-7191
Type: Notice
Date: 2005-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/12/E5-7191.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Transaction Credits for Round Lots of Certain Listed Securities
Document Number: E5-7190
Type: Notice
Date: 2005-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/12/E5-7190.html
Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change To Expand Its $2.50 Strike Price Interval Program
Document Number: E5-7189
Type: Notice
Date: 2005-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/12/E5-7189.html
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Requiring Its Member To Provide Electronic Mail Addresses to the Exchange
Document Number: E5-7188
Type: Notice
Date: 2005-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/12/E5-7188.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Elimination of Position and Exercise Limits on NDX Options
Document Number: E5-7187
Type: Notice
Date: 2005-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/12/E5-7187.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Pilot Program Relating to Minimum Numerical Standards in Section 102.01A of the Listed Company Manual
Document Number: E5-7181
Type: Notice
Date: 2005-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/12/E5-7181.html
Sunshine Act Meeting
Document Number: 05-23964
Type: Notice
Date: 2005-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/12/05-23964.html
Sunshine Act Meeting
Document Number: 05-23963
Type: Notice
Date: 2005-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/12/05-23963.html
Proposed Collection; Comment Request
Document Number: E5-7115
Type: Notice
Date: 2005-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/09/E5-7115.html
Proposed Collection; Comment Request
Document Number: E5-7114
Type: Notice
Date: 2005-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/09/E5-7114.html
Proposed Collection; Comment Request
Document Number: E5-7113
Type: Notice
Date: 2005-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/09/E5-7113.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program Relating to the Retail Automatic Execution System
Document Number: E5-7103
Type: Notice
Date: 2005-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/09/E5-7103.html
Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change Relating to the Amex Listing Agreement
Document Number: E5-7102
Type: Notice
Date: 2005-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/09/E5-7102.html
Proposed Collection; Comment Request
Document Number: E5-7099
Type: Notice
Date: 2005-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/09/E5-7099.html
Firsthand Funds and Firsthand Capital Management, Inc.; Notice of Application
Document Number: 05-23844
Type: Notice
Date: 2005-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/09/05-23844.html
Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
Document Number: 05-23843
Type: Rule
Date: 2005-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (Commission) is publishing this interpretive release with respect to accounting for sales of vaccines and bioterror countermeasures to the Federal government for placement into stockpiles related to the Vaccines for Children Program or the Strategic National Stockpile.
https://regulations.justia.com/regulations/fedreg/2005/12/09/05-23843.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Prohibit the Practice of Unbundling Orders to Maximize Rebates of Fees
Document Number: E5-7071
Type: Notice
Date: 2005-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/08/E5-7071.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Transaction Fees and a Fee Waiver for Options on the Mini-SPX
Document Number: E5-7067
Type: Notice
Date: 2005-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/08/E5-7067.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Gasoline Index Futures
Document Number: E5-7065
Type: Notice
Date: 2005-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/08/E5-7065.html
MGI Funds and Mercer Global Investments, Inc.; Notice of Application
Document Number: E5-7058
Type: Notice
Date: 2005-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/08/E5-7058.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Trading Pursuant to Unlisted Trading Privileges of the iShares® Lehman TIPS Bond Fund
Document Number: E5-7057
Type: Notice
Date: 2005-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/08/E5-7057.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Margin Deposits for a Customers' Lien Account
Document Number: 05-23801
Type: Notice
Date: 2005-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/08/05-23801.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obligations of Designated Primary Market Makers During the Implementation of the PAR Official Program
Document Number: E5-6986
Type: Notice
Date: 2005-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/07/E5-6986.html
Issuer Delisting; Notice of Application of SJW Corp. To Withdraw Its Common Stock, $1.042 Par Value, From Listing and Registration on the American Stock Exchange LLC File No. 1-08966
Document Number: E5-6983
Type: Notice
Date: 2005-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/07/E5-6983.html
Issuer Delisting; Notice of Application of Applera Corporation To Withdraw Its Applera Corporation-Applied Biosystems Group Common Stock $.01 Par Value, Together With Rights To Purchase Series A Participating Junior Preferred Stock, $.01 Par Value, and Applera Corporation-Celera Genomics Group Common Stock, $.01 Par Value, Together With Rights To Purchase Series B Participating Junior Preferred Stock, $.01 Par Value, From Listing and Registration on the Pacific Exchange, Inc. File No. 1-04389
Document Number: E5-6982
Type: Notice
Date: 2005-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/07/E5-6982.html
Proposed Collection; Comment Request
Document Number: E5-6980
Type: Notice
Date: 2005-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/07/E5-6980.html
Proposed Collection; Comment Request
Document Number: E5-6979
Type: Notice
Date: 2005-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/07/E5-6979.html
Sunshine Act Meeting
Document Number: 05-23783
Type: Notice
Date: 2005-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/07/05-23783.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Federal Reserve's National Settlement System
Document Number: E5-6888
Type: Notice
Date: 2005-12-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/06/E5-6888.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the Operation of Primary Market Maker Memberships
Document Number: E5-6887
Type: Notice
Date: 2005-12-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/12/06/E5-6887.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.