<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/03/05?registers=between Sun, 13 Apr 2025 09:55:47 -0700 Sun, 13 Apr 2025 09:55:47 -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/2007/03/05?registers=between Notice - BLDRS Index Funds Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3784.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3784.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3784 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3784.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Credit Default Options https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3773.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3773.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3773 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3773.pdf Notice - Liberty All-Star Equity Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3772.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3772.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3772 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3772.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Dividend, Merger, and Short Stock Interest Strategies Fee Cap Program https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3763.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3763.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3763 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3763.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Filing Documents Pursuant to the Corporate Financing Rule https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3762.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3762.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3762 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3762.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Change to the Trading Phase Date https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3753.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3753.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3753 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3753.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Dividend, Merger and Short Stock Interest Strategies Fee Cap Pilot Program https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3752.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3752.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3752 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3752.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq's 7000 Series Rules https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3751.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3751.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3751 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3751.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Approval of Fee for NYSE Real-Time Trade Prices https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3750.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3750.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3750 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3750.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Permit Trading Pursuant to Unlisted Trading Privileges of Shares of 93 Funds of the Proshares Trust https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3749.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3749.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3749 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3749.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Amendment No. 3 to and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment Nos. 2 and 3 Thereto To Expand the Scope of IM-2110-2 Relating To Trading Ahead of Customer Limit Orders To Apply to All OTC Equity Securities https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3748.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3748.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3748 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3748.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Revise Stock Futures Adjustment Methodology https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3747.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3747.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3747 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3747.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendment No. 1 Thereto To Provide for an Optional Exchange-Provided Fingerprinting Service and To Amend Its Member Fees To Include a Processing Fee for the Fingerprinting Service https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3746.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3746.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3746 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3746.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Standard Position and Exercise Limit Pilot Program https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3745.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3745.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3745 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3745.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes to the Rules Relating to the NASD/NSX TRF, NASD/BSE TRF, and NASD/NYSE TRF Consistent With the New Requirements of Regulation NMS https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3744.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3744.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3744 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3744.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3743.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3743.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3743 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3743.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 2 Thereto To Trade Certain CurrencyShares Trusts Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3742.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3742.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3742 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3742.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Section 703.16 of the NYSE Listed Company Manual To Eliminate Requirement Regarding Index Calculation Methodology https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3741.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3741.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3741 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3741.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Operative Date of Rules Relating to Regulation NMS https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3740.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3740.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3740 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3740.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Amend Existing Rules for Investment Company Units https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3739.html https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3739.html Mon, 05 Mar 2007 00:00:00 -0800 E7-3739 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3739.pdf