Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/01/17?limit=200&registers=between&mode=atom 2024-12-26T23:54:12-08:00 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/2007/01/17/E7-548.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC and the National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Changes To Amend NYSE Rules 472 and 344, and NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-548 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-548.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-547.html Notice - Privacy Act of 1974: Notice of Alteration to Two Existing Systems of Records 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-547 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-547.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-546.html Notice - Submission for OMB Review; Comment Request 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-546 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-546.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-545.html Notice - Proposed Collection; Comment Request 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-545 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-545.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-543.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ Stock Market LLC To Codify Sponsored Access Rule 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-543 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-543.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-540.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval to Proposed Rule Change To Codify a Fee Schedule for the Sale of Open and Close Volume Data on CBOE Listed Options by Market Data Express, LLC 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-540 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-540.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-539.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the National Association of Securities Dealers, Inc. 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-539 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-539.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-538.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Procedures for At-Risk Cross Transactions 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-538 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-538.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-536.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-536 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-536.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-535.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Relating to NYSE Rule 1300 (Gold Shares) and NYSE Rule 51 (Hours of Business) 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-535 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-535.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-528.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Relating to Exchange Rule 342 (“Offices-Approval, Supervision and Control”) 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-528 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-528.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-526.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change To Implement a Quote Mitigation Plan 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-526 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-526.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-525.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical and Grammatical Corrections to Rule 10308 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-525 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-525.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-479.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Adopt an Appeal Fee 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-479 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-479.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/E7-478.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Special Order Fees 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 E7-478 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/E7-478.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/07-159.html Notice - Pathways Group, Inc. (n/k/a Bicoastal Communications, Inc.); Order of Suspension of Trading 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 07-159 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/07-159.pdf https://regulations.justia.com/regulations/fedreg/2007/01/17/07-147.html Notice - Sunshine Act Meeting 2007-01-17T00:00:00-08:00 2007-01-17T00:00:00-08:00 07-147 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-17/pdf/07-147.pdf