Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/01/25?limit=200&registers=between&mode=atom 2024-04-15T21:45:19-07:00 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/2007/01/25/E7-1110.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Amending Associate Member Fees 2007-01-25T00:00:00-08:00 2007-01-25T00:00:00-08:00 E7-1110 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1110.pdf https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1109.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.: Order Approving Proposed Rule Change; American Stock Exchange LLC; Chicago Board Options Exchange, Incorporated; and NYSEArca, Inc.: Order Granting Accelerated Approval to Proposed Rule Changes; and Boston Stock Exchange, Inc.: Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to the Definition of “Complex Trade” as Applied to Trades Through the Options Intermarket Linkage 2007-01-25T00:00:00-08:00 2007-01-25T00:00:00-08:00 E7-1109 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1109.pdf https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1108.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Amendment No. 6 and Order Granting Accelerated Approval to Proposed Rule Change Relating to the Release of Information Through NASD's BrokerCheck 2007-01-25T00:00:00-08:00 2007-01-25T00:00:00-08:00 E7-1108 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1108.pdf https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1107.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change Relating To Returning Excess Clearing Fund Collateral 2007-01-25T00:00:00-08:00 2007-01-25T00:00:00-08:00 E7-1107 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1107.pdf https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1105.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for Nasdaq Members Using the Nasdaq Market Center 2007-01-25T00:00:00-08:00 2007-01-25T00:00:00-08:00 E7-1105 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1105.pdf https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1103.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of a Previous Rule Change Relating to Information Contained in a Directed Order on the Boston Options Exchange 2007-01-25T00:00:00-08:00 2007-01-25T00:00:00-08:00 E7-1103 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1103.pdf https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1061.html Notice - Hercules Technology Growth Capital, Inc.; Notice of Application 2007-01-25T00:00:00-08:00 2007-01-25T00:00:00-08:00 E7-1061 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1061.pdf https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1060.html Notice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Relating to the Application of NASD Rule 2790 to Issuer-Directed Securities 2007-01-25T00:00:00-08:00 2007-01-25T00:00:00-08:00 E7-1060 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1060.pdf https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1059.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Accelerate the Expiration Date of American-Style Equity Options That Have Been Adjusted To Call for Cash-Only Delivery 2007-01-25T00:00:00-08:00 2007-01-25T00:00:00-08:00 E7-1059 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1059.pdf https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1058.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Trade Shares of 81 Funds of the ProShares Trust Pursuant to Unlisted Trading Privileges 2007-01-25T00:00:00-08:00 2007-01-25T00:00:00-08:00 E7-1058 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1058.pdf https://regulations.justia.com/regulations/fedreg/2007/01/25/E7-1057.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendments No. 1 and 2 Thereto Relating to the Listing and Trading of Shares of Funds of the ProShares Trust 2007-01-25T00:00:00-08:00 2007-01-25T00:00:00-08:00 E7-1057 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-01-25/pdf/E7-1057.pdf