Securities and Exchange Commission February 2007 – Federal Register Recent Federal Regulation Documents

Results 101 - 150 of 155
Federal Register Citation of Previous Announcement: [72 FR 5090, February 2, 2007]
Document Number: 07-610
Type: Notice
Date: 2007-02-09
Agency: Sunshine Act Meeting, Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/09/07-610.html
Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations
Document Number: 07-548
Type: Proposed Rule
Date: 2007-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is proposing for comment rules to implement provisions of the Credit Rating Agency Reform Act of 2006 (the ``Act''), enacted on September 29, 2006. The Act defines the term ``nationally recognized statistical rating organization,'' provides authority for the Commission to implement registration, recordkeeping, financial reporting, and oversight rules with respect to registered credit rating agencies, and directs the Commission to issue final implementing rules no later than 270 days after its enactment (or by June 26, 2007).
https://regulations.justia.com/regulations/fedreg/2007/02/09/07-548.html
Joint Industry Plan; Order Approving Amendment To Add the International Securities Exchange, LLC as Participant to National Market System Plan Establishing Procedures Under Rule 605 of Regulation NMS
Document Number: E7-2093
Type: Notice
Date: 2007-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/08/E7-2093.html
Proposed Collection; Comment Request
Document Number: E7-2086
Type: Notice
Date: 2007-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/08/E7-2086.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 36 (Communication Between Exchange and Members' Offices)
Document Number: E7-2085
Type: Notice
Date: 2007-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/08/E7-2085.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 3 to the Proposed Rule Change, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 2 and 3 To Modify Certain Fees for Listing on The NASDAQ Stock Market and To Make Available Certain Products and Services
Document Number: E7-2083
Type: Notice
Date: 2007-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/08/E7-2083.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendments No. 1, 2, and 3 Thereto To List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the U.S. Dollar/Japanese Yen Exchange Rate
Document Number: E7-2061
Type: Notice
Date: 2007-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/08/E7-2061.html
Country Investors Life Assurance Company, et al.
Document Number: 07-554
Type: Notice
Date: 2007-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants seek an order pursuant to Section 26(c) of the 1940 Act approving the substitution of: (1) Shares of the EquiTrust High Grade Bond Portfolio (``Replacement Portfolio A'') of the EquiTrust Variable Insurance Series Fund (the ``EquiTrust Fund'') for shares of the COUNTRY VP Short-Term Bond Fund (``Replaced Portfolio A'') of the COUNTRY Mutual Funds Trust (the ``COUNTRY Fund''); and (2) shares of the T. Rowe Price Personal Strategy Balanced Portfolio (``Replacement Portfolio B'') of the T. Rowe Price Equity Series, Inc. (the ``T. Rowe Price Fund'') for shares of the COUNTRY VP Balanced Fund (``Replaced Portfolio B'') of the COUNTRY Fund. Shares of Replacement Portfolio A, Replacement Portfolio B, Replaced Portfolio A, and Replaced Portfolio B currently are held by the Life Account and the Annuity Account (each an ``Account,'' together, the ``Accounts'') to support variable life insurance or variable annuity contracts, respectively, issued by the Company (collectively, the ``Contracts'').
https://regulations.justia.com/regulations/fedreg/2007/02/08/07-554.html
In the Matter of CyberKey Solutions, Inc.; Order of Suspension of Trading
Document Number: 07-552
Type: Notice
Date: 2007-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/08/07-552.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to Registration Rules of NYSE Arca Equities, Inc.
Document Number: E7-2000
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/E7-2000.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to Registration Rules of NYSE Arca, Inc.
Document Number: E7-1999
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/E7-1999.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Generic Listing Standards for Series of Portfolio Depositary Receipts and Index Fund Shares Based on Fixed Income Indexes
Document Number: E7-1998
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/E7-1998.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes
Document Number: E7-1997
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/E7-1997.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ Stock Market LLC To Codify Sponsored Access Rule
Document Number: E7-1951
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/E7-1951.html
Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Replace the Government Securities Division Clearing Fund Calculation Methodology With a Yield-Driven Value-at-Risk Methodology
Document Number: E7-1948
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/E7-1948.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Relating to NYSE Regulation, Inc. Policies Regarding Exercise of Power To Fine NYSE Member Organizations and Use of Money Collected as Fines
Document Number: E7-1947
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/E7-1947.html
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Boston Options Exchange Fee Schedule
Document Number: E7-1944
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/E7-1944.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Annual Report Timely Filing Requirements
Document Number: E7-1943
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/E7-1943.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 15B(T) Relating to Intermarket Sweep Orders
Document Number: E7-1942
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/E7-1942.html
Van Eck Associates Corporation, et al.; Notice of Application
Document Number: E7-1939
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/E7-1939.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Arca Marketplace Trading Sessions
Document Number: E7-1938
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/E7-1938.html
Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto Relating to the Listing and Trading of Options on the Nuveen Municipal Fund Index
Document Number: E7-1937
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/E7-1937.html
PowerShares Exchange-Traded Fund Trust, et al.; Notice of Application January 31, 2007.
Document Number: 07-529
Type: Notice
Date: 2007-02-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/07/07-529.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Further Extending the Time Period by Which the Exchange Will Enter Into the NASD/NYSE Arca Options Agreement Pursuant to Rule 17d-2
Document Number: E7-1861
Type: Notice
Date: 2007-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/06/E7-1861.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees for Fiscal Year 2007
Document Number: E7-1860
Type: Notice
Date: 2007-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/06/E7-1860.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Periods for NASD Rules Governing Multiple MPIDs on the Trade Reporting Facilities and on the Alternative Display Facility
Document Number: E7-1859
Type: Notice
Date: 2007-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/06/E7-1859.html
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 19 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
Document Number: E7-1838
Type: Notice
Date: 2007-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/06/E7-1838.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Transaction Charges for Equities and ETFs
Document Number: E7-1830
Type: Notice
Date: 2007-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/06/E7-1830.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Establishment of a Pilot Program That Increases Position and Exercise Limits for Options on the iShares® Russell 2000® Index Fund
Document Number: E7-1829
Type: Notice
Date: 2007-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/06/E7-1829.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to an Interpretation of Paragraph (b) of Article Fifth of Its Certificate of Incorporation
Document Number: E7-1828
Type: Notice
Date: 2007-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/06/E7-1828.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Options Based on Commodity Pool ETFs
Document Number: E7-1827
Type: Notice
Date: 2007-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/06/E7-1827.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto To List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the Euro/U.S. Dollar Exchange Rate
Document Number: E7-1781
Type: Notice
Date: 2007-02-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/05/E7-1781.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto To List and Trade Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of the British Pound/U.S. Dollar Exchange Rate
Document Number: E7-1777
Type: Notice
Date: 2007-02-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/05/E7-1777.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change Relating to Rule 2113 Long and Short Sales
Document Number: E7-1763
Type: Notice
Date: 2007-02-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/05/E7-1763.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E7-1718
Type: Notice
Date: 2007-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On June 18, 2005, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $32,088 incurred in connection with the liquidation were paid by applicant. Filing Date: The application was filed on January 11, 2007. Applicant's Address: One Federal St., Boston, MA 02110.
https://regulations.justia.com/regulations/fedreg/2007/02/02/E7-1718.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of a Proposed Rule Change to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine Transaction Data
Document Number: E7-1690
Type: Notice
Date: 2007-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/02/E7-1690.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish a Passive Price Improvement Order for Specialists and Registered Traders
Document Number: E7-1689
Type: Notice
Date: 2007-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/02/E7-1689.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Operate the Alternative Display Facility on a Permanent Basis
Document Number: E7-1688
Type: Notice
Date: 2007-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/02/E7-1688.html
Sunshine Act Meetings
Document Number: 07-474
Type: Notice
Date: 2007-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/02/07-474.html
In the Matter of Icon International Holdings, Inc., Interchange Medical, Inc., Outsource International, Inc., and Smart Choice Automotive Group, Inc.; Order of Suspension of Trading
Document Number: 07-473
Type: Notice
Date: 2007-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/02/07-473.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the EPN Rules of its Mortgage-Backed Securities Division to Implement New Messaging Capabilities and Establish a Fee Structure
Document Number: E7-1616
Type: Notice
Date: 2007-02-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/01/E7-1616.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Establishment of CBOE Stock Exchange, LLC
Document Number: E7-1595
Type: Notice
Date: 2007-02-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/01/E7-1595.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Arca Marketplace Trading Sessions
Document Number: E7-1593
Type: Notice
Date: 2007-02-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/01/E7-1593.html
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval To Proposed Rule Change as Modified by Amendment No. 1 Thereto, To Implement a Pilot Program To Quote Options in Pennies
Document Number: E7-1592
Type: Notice
Date: 2007-02-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/01/E7-1592.html
Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval to Proposed Rule Change as Modified by Amendment No. 1 Thereto, Relating to the Adoption of a Penny Pilot Program
Document Number: E7-1591
Type: Notice
Date: 2007-02-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/01/E7-1591.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval to Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto, To Implement a Penny Pilot Program To Quote Certain Options in Pennies
Document Number: E7-1590
Type: Notice
Date: 2007-02-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/01/E7-1590.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval to Proposed Rule Change as Modified by Amendment No. 1 Thereto, To Create an Options Penny Pilot Program
Document Number: E7-1589
Type: Notice
Date: 2007-02-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/01/E7-1589.html
Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Definition of Fund Share and Options on Commodity Pool ETFs
Document Number: E7-1588
Type: Notice
Date: 2007-02-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/01/E7-1588.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval to Proposed Rule Change as Modified by Amendment No. 1 Thereto, Relating to the Penny Pilot Program
Document Number: E7-1586
Type: Notice
Date: 2007-02-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/01/E7-1586.html
Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Definition of Fund Share
Document Number: E7-1585
Type: Notice
Date: 2007-02-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/02/01/E7-1585.html
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