<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/01/11?registers=between Mon, 07 Apr 2025 00:10:25 -0700 Mon, 07 Apr 2025 00:10:25 -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/2007/01/11?registers=between Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Amendment of Annual Report Timely Filing Requirements https://regulations.justia.com/regulations/fedreg/2007/01/11/Z6-22201.html https://regulations.justia.com/regulations/fedreg/2007/01/11/Z6-22201.html Thu, 11 Jan 2007 00:00:00 -0800 Z6-22201 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/Z6-22201.pdf Rule - Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products; Correction https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-238.html https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-238.html Thu, 11 Jan 2007 00:00:00 -0800 E7-238 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/E7-238.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify a Fee Schedule for Transactions Executed Through NSX BLADESM https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-236.html https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-236.html Thu, 11 Jan 2007 00:00:00 -0800 E7-236 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/E7-236.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of Benchmark and Qualified Contingent Trades in Nasdaq Securities Before the Trading Phase Date of Regulation NMS https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-235.html https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-235.html Thu, 11 Jan 2007 00:00:00 -0800 E7-235 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/E7-235.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Certain License Fees https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-234.html https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-234.html Thu, 11 Jan 2007 00:00:00 -0800 E7-234 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/E7-234.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Extension of the Pilot Period Applicable to the Listing and Trading of Options on the iShares MSCI Emerging Markets Index https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-233.html https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-233.html Thu, 11 Jan 2007 00:00:00 -0800 E7-233 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/E7-233.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change as Modified by Amendment No. 1 Thereto, Relating to Assignments in Options Based on Root Symbol https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-232.html https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-232.html Thu, 11 Jan 2007 00:00:00 -0800 E7-232 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/E7-232.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding U.S. Dollar-Denominated Foreign Currency Options https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-231.html https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-231.html Thu, 11 Jan 2007 00:00:00 -0800 E7-231 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/E7-231.pdf Proposed Rule - Investment Company Governance; Correction https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-210.html https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-210.html Thu, 11 Jan 2007 00:00:00 -0800 E7-210 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/E7-210.pdf Notice - NexBank Securities, Inc. and NexBank Series; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-209.html https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-209.html Thu, 11 Jan 2007 00:00:00 -0800 E7-209 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/E7-209.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to Its Non-option Security Trading Rules https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-208.html https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-208.html Thu, 11 Jan 2007 00:00:00 -0800 E7-208 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/E7-208.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, 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 to Revise Rule 10322 of the NASD Code of Arbitration Procedure Pertaining to Subpoenas and the Power to Direct Appearances https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-207.html https://regulations.justia.com/regulations/fedreg/2007/01/11/E7-207.html Thu, 11 Jan 2007 00:00:00 -0800 E7-207 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/E7-207.pdf Proposed Rule - Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2007/01/11/E6-22405.html https://regulations.justia.com/regulations/fedreg/2007/01/11/E6-22405.html Thu, 11 Jan 2007 00:00:00 -0800 E6-22405 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/E6-22405.pdf Rule - Fisheries of the Caribbean, Gulf of Mexico, and South Atlantic; Reef Fish Fishery of the Gulf of Mexico; Amendment 26 https://regulations.justia.com/regulations/fedreg/2007/01/11/C6-9342.html https://regulations.justia.com/regulations/fedreg/2007/01/11/C6-9342.html Thu, 11 Jan 2007 00:00:00 -0800 C6-9342 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/C6-9342.pdf Notice - Interagency Statement on Sound Practices Concerning Elevated Risk Complex Structured Finance Activities https://regulations.justia.com/regulations/fedreg/2007/01/11/07-55.html https://regulations.justia.com/regulations/fedreg/2007/01/11/07-55.html Thu, 11 Jan 2007 00:00:00 -0800 07-55 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-11/pdf/07-55.pdf