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

Results 201 - 250 of 1,775
Proposed Collection; Comment Request
Document Number: E5-6539
Type: Notice
Date: 2005-11-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/28/E5-6539.html
Proposed Collection; Comment Request
Document Number: E5-6538
Type: Notice
Date: 2005-11-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/28/E5-6538.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Amex Initial Listing Standards
Document Number: E5-6537
Type: Notice
Date: 2005-11-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/28/E5-6537.html
Advisory Committee on Smaller Public Companies
Document Number: E5-6516
Type: Notice
Date: 2005-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/25/E5-6516.html
Issuer Delisting; Notice of Application of State Bancorp, Inc. To Withdraw Its Common Stock, $5.00 Par Value, From Listing and Registration on the American Stock Exchange LLC
Document Number: E5-6515
Type: Notice
Date: 2005-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/25/E5-6515.html
Issuer Delisting; Notice of Application of IDACORP, Inc. To Withdraw Its Common Stock, No Par Value, and Preferred Share Purchase Rights From Listing and Registration on the Pacific
Document Number: E5-6514
Type: Notice
Date: 2005-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/25/E5-6514.html
Issuer Delisting; Notice of Application of Sherwood Brands, Inc. To Withdraw Its Common Stock, $.01 Par Value, From Listing and Registration on the American Stock Exchange LLC
Document Number: E5-6513
Type: Notice
Date: 2005-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/25/E5-6513.html
Issuer Delisting; Notice of Application of Cadence Design Systems, Inc. To Withdraw Its Common Stock, $.01 Par Value, and the Preferred Share Purchase Rights From Listing and Registration on the New York Stock Exchange, Inc.
Document Number: E5-6512
Type: Notice
Date: 2005-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/25/E5-6512.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Systems Enhancement for the Processing of Information in Its Restricted Deposit Service
Document Number: E5-6470
Type: Notice
Date: 2005-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/25/E5-6470.html
Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change Relating to the New Canadian Link Service
Document Number: E5-6458
Type: Notice
Date: 2005-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/23/E5-6458.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to Short Sale Delivery Requirements
Document Number: E5-6457
Type: Notice
Date: 2005-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/23/E5-6457.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish a Comprehensive Standard of Care and Limitation of Liability With Respect to Clearing Members
Document Number: E5-6456
Type: Notice
Date: 2005-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/23/E5-6456.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto To Limit the Eligibility for Quotation on the OTCBB of the Securities of an Issuer That Is Repeatedly Delinquent in Its Periodic Reporting Obligations
Document Number: E5-6455
Type: Notice
Date: 2005-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/23/E5-6455.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Deletion of Interpretation and Policy .01(e) to CBOE Rule 5.4
Document Number: E5-6449
Type: Notice
Date: 2005-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/23/E5-6449.html
Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Elimination of Commentary .01(5) to Amex Rule 916 and Amendment to Amex Rules Relating to the Definition of “NMS Stock”
Document Number: E5-6448
Type: Notice
Date: 2005-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/23/E5-6448.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1, 2, 3 and 4 Relating to Listing Standards for Broad-Based Index Options and Concentration Limits for Narrow-Based Index Option Listing Standards
Document Number: E5-6447
Type: Notice
Date: 2005-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/23/E5-6447.html
Sunshine Act Meeting
Document Number: 05-23250
Type: Notice
Date: 2005-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/23/05-23250.html
Filing Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-6411
Type: Notice
Date: 2005-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/22/E5-6411.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Modify and Consolidate Clearing Fund Rules
Document Number: E5-6410
Type: Notice
Date: 2005-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/22/E5-6410.html
Self-Regulatory Organizations; National Stock Exchange; Order Approving Proposed Rule Change, and Amendment Nos. 1, 2, and 3, Thereto, Relating to the Creation of a Regulatory Oversight Committee
Document Number: E5-6409
Type: Notice
Date: 2005-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/22/E5-6409.html
Issuer Delisting; Notice of Application of McRae Industries, Inc. To Withdraw Its Class A Common Stock, $1.00 Par Value and Class B Common Stock, $1.00 Par Value, From Listing and Registration on the American Stock Exchange LLC File No. 1-08578
Document Number: E5-6397
Type: Notice
Date: 2005-11-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/21/E5-6397.html
Allixon International Corp.; Order of Suspension of Trading
Document Number: 05-23079
Type: Notice
Date: 2005-11-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/21/05-23079.html
Sunshine Act Meeting
Document Number: 05-23045
Type: Notice
Date: 2005-11-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/21/05-23045.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Strategic Total Return Securities SM
Document Number: E5-6386
Type: Notice
Date: 2005-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/18/E5-6386.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 the PowerShares Lux Nanotech Portfolio (PXN) and the PowerShares Aerospace & Defense Portfolio (PPA)
Document Number: E5-6381
Type: Notice
Date: 2005-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/18/E5-6381.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Records of Orders and Executions
Document Number: E5-6380
Type: Notice
Date: 2005-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/18/E5-6380.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Interpretation of Exchange Rule 577 and Section 723 of the Amex Company Guide
Document Number: E5-6379
Type: Notice
Date: 2005-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/18/E5-6379.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change to Add Rules Regarding Time Tracking Requirements of Specialists and Specialist Organizations to Its Minor Rule Violation Plan
Document Number: E5-6378
Type: Notice
Date: 2005-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/18/E5-6378.html
AIG SunAmerica Life Assurance Company, et al., Notice of Application
Document Number: E5-6377
Type: Notice
Date: 2005-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/18/E5-6377.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of the Equity Option Transaction Fee Discount for Member Firms Facilitating Customer Orders
Document Number: E5-6376
Type: Notice
Date: 2005-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/18/E5-6376.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to iShares® Index Funds of iShares Trust and iShares, Inc.
Document Number: E5-6375
Type: Notice
Date: 2005-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/18/E5-6375.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Regarding Clearly Erroneous Executions
Document Number: E5-6374
Type: Notice
Date: 2005-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/18/E5-6374.html
Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-6359
Type: Notice
Date: 2005-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/17/E5-6359.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Modify the Pricing for Non-Members Using Nasdaq's Brut Facility
Document Number: E5-6356
Type: Notice
Date: 2005-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/17/E5-6356.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut Facility
Document Number: E5-6355
Type: Notice
Date: 2005-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/17/E5-6355.html
The Integrity Funds and Integrity Money Management, Inc.; Notice of Application
Document Number: E5-6354
Type: Notice
Date: 2005-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/17/E5-6354.html
Securities Exchange Act of 1934; Order Regarding Alternative Net Capital Computation for Lehman Brothers Inc., Which Has Elected To Be Supervised on a Consolidated Basis
Document Number: E5-6327
Type: Notice
Date: 2005-11-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/16/E5-6327.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to Short Sale Delivery Requirements
Document Number: E5-6306
Type: Notice
Date: 2005-11-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/16/E5-6306.html
Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Section 802.01E of the Listed Company Manual
Document Number: 05-22777
Type: Notice
Date: 2005-11-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/16/05-22777.html
Issuer Delisting; Notice of Application of Berkshire Hills Bancorp, Inc. To Withdraw Its Common Stock, $.01 Par Value, From Listing and Registration on the American Stock Exchange LLC
Document Number: E5-6267
Type: Notice
Date: 2005-11-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/15/E5-6267.html
Issuer Delisting; Notice of Application of PAB Bankshares, Inc. To Withdraw Its Common Stock, No Par Value, From Listing and Registration on the American Stock Exchange LLC
Document Number: E5-6266
Type: Notice
Date: 2005-11-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/15/E5-6266.html
Issuer Delisting; Notice of Application of Polydex Pharmaceuticals Limited To Withdraw Its Common Stock, $.0167 Par Value, From Listing and Registration on the Boston Stock Exchange, Inc.
Document Number: E5-6265
Type: Notice
Date: 2005-11-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/15/E5-6265.html
Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Document Number: E5-6264
Type: Notice
Date: 2005-11-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/15/E5-6264.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Options Quote Size Mitigation
Document Number: E5-6263
Type: Notice
Date: 2005-11-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/15/E5-6263.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 MSCI EAFE Value Index Fund and the iShares MSCI EAFE Growth Index Fund
Document Number: E5-6262
Type: Notice
Date: 2005-11-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/15/E5-6262.html
Sunshine Act Meeting Federal Register Citation of Previous Announcement: [To be published]
Document Number: 05-22720
Type: Notice
Date: 2005-11-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/15/05-22720.html
Sunshine Act Meetings
Document Number: 05-22658
Type: Notice
Date: 2005-11-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/15/05-22658.html
Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Remote Market Makers
Document Number: E5-6252
Type: Notice
Date: 2005-11-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/14/E5-6252.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Suspension of Transaction Charges for Specialist Orders in the Nasdaq-100 Tracking Stock® (QQQQ)
Document Number: E5-6251
Type: Notice
Date: 2005-11-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/14/E5-6251.html
Self-Regulatory Organizations; American Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Implementation Date for the ANTE System and Increased Floor Broker Functionality in the ANTE System
Document Number: E5-6250
Type: Notice
Date: 2005-11-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2005/11/14/E5-6250.html
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