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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2019-10-23T06:23:03-07:00 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/2007/03/30/E7-5870.html Proposed Rule - Amendments to Regulation SHO 2007-03-30T00:00:00-07:00 2007-03-30T00:00:00-07:00 E7-5870 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-03-30/pdf/E7-5870.pdf https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5816.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to NYSE Rule 440A (“Telephone Solicitations”) 2007-03-29T00:00:00-07:00 2007-03-29T00:00:00-07:00 E7-5816 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5816.pdf https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5815.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Class Quoting Limit in the Option Class Accredited Home Lenders Holding (LEND) 2007-03-29T00:00:00-07:00 2007-03-29T00:00:00-07:00 E7-5815 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5815.pdf https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5814.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin 2007-03-29T00:00:00-07:00 2007-03-29T00:00:00-07:00 E7-5814 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5814.pdf https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5753.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Approval of Fund Shares Deposited as Margin 2007-03-29T00:00:00-07:00 2007-03-29T00:00:00-07:00 E7-5753 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5753.pdf https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5752.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Membership, Definitions, and the Electronic Pool Notification Service 2007-03-29T00:00:00-07:00 2007-03-29T00:00:00-07:00 E7-5752 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5752.pdf https://regulations.justia.com/regulations/fedreg/2007/03/29/07-1476.html Proposed Rule - Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act 2007-03-29T00:00:00-07:00 2007-03-29T00:00:00-07:00 07-1476 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/07-1476.pdf https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5638.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Dissemination of Currency Spot Values 2007-03-28T00:00:00-07:00 2007-03-28T00:00:00-07:00 E7-5638 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5638.pdf https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5637.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective a Revised Plan for Allocation of Regulatory Responsibilities Between NYSE Arca, Inc. and the National Association of Securities Dealers, Inc. 2007-03-28T00:00:00-07:00 2007-03-28T00:00:00-07:00 E7-5637 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5637.pdf https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5610.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 3 to and Order Granting Accelerated Approval of Proposed Rule Change, as Amended, Relating to the Establishment of NYSE Bonds 2007-03-28T00:00:00-07:00 2007-03-28T00:00:00-07:00 E7-5610 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5610.pdf https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5592.html Notice - Proposed Collection; Comment Request 2007-03-28T00:00:00-07:00 2007-03-28T00:00:00-07:00 E7-5592 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5592.pdf https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5589.html Rule - Technical Amendment to Regulation S-T 2007-03-28T00:00:00-07:00 2007-03-28T00:00:00-07:00 E7-5589 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5589.pdf https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5588.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Intermarket Sweep Orders 2007-03-28T00:00:00-07:00 2007-03-28T00:00:00-07:00 E7-5588 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5588.pdf https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5552.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 2 Thereto Relating to Order and Decorum Regulations 2007-03-27T00:00:00-07:00 2007-03-27T00:00:00-07:00 E7-5552 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5552.pdf https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5551.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Orders With Two-Day Delivery 2007-03-27T00:00:00-07:00 2007-03-27T00:00:00-07:00 E7-5551 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5551.pdf https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5550.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Its Minor Rule Violation Fine Systems 2007-03-27T00:00:00-07:00 2007-03-27T00:00:00-07:00 E7-5550 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5550.pdf https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5549.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to an Amendment to the Options Marketing Fee 2007-03-27T00:00:00-07:00 2007-03-27T00:00:00-07:00 E7-5549 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5549.pdf https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5548.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange's Auto-Quote Options Pricing Functionality 2007-03-27T00:00:00-07:00 2007-03-27T00:00:00-07:00 E7-5548 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5548.pdf https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5547.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Odd Lot Fees for XLE Transactions 2007-03-27T00:00:00-07:00 2007-03-27T00:00:00-07:00 E7-5547 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5547.pdf https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5546.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Penny Increments for Block Mechanism Orders 2007-03-27T00:00:00-07:00 2007-03-27T00:00:00-07:00 E7-5546 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5546.pdf https://regulations.justia.com/regulations/fedreg/2007/03/26/E7-5423.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto To List for Trading Options on the Vanguard® Emerging Markets Exchange Traded Fund 2007-03-26T00:00:00-07:00 2007-03-26T00:00:00-07:00 E7-5423 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-26/pdf/E7-5423.pdf https://regulations.justia.com/regulations/fedreg/2007/03/26/E7-5422.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Amend the By-Laws of NASD To Implement Governance and Related Changes To Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. 2007-03-26T00:00:00-07:00 2007-03-26T00:00:00-07:00 E7-5422 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-26/pdf/E7-5422.pdf https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5429.html Notice - Sunshine Act Meeting 2007-03-23T00:00:00-07:00 2007-03-23T00:00:00-07:00 E7-5429 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5429.pdf https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5351.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Charged to the CDS Clearing and Depository Services, Inc. 2007-03-23T00:00:00-07:00 2007-03-23T00:00:00-07:00 E7-5351 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5351.pdf https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5350.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Charged to the CDS Clearing and Depository Services, Inc. 2007-03-23T00:00:00-07:00 2007-03-23T00:00:00-07:00 E7-5350 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5350.pdf https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5348.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade the Shares of the PowerShares DB U.S. Dollar Index Bullish Fund and the PowerShares DB U.S. Dollar Index Bearish Fund Pursuant to Unlisted Trading Privileges 2007-03-23T00:00:00-07:00 2007-03-23T00:00:00-07:00 E7-5348 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5348.pdf https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5316.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Trade Shares of the PowerShares DB U.S. Dollar Index Funds Pursuant to Unlisted Trading Privileges 2007-03-23T00:00:00-07:00 2007-03-23T00:00:00-07:00 E7-5316 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5316.pdf https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5315.html Notice - John Hancock Life Insurance Company, et al. 2007-03-23T00:00:00-07:00 2007-03-23T00:00:00-07:00 E7-5315 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5315.pdf https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5309.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Apply Non-BeX Executed Trade Fee Retroactively 2007-03-23T00:00:00-07:00 2007-03-23T00:00:00-07:00 E7-5309 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5309.pdf https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5308.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Early Inclusion of NYMEX Holdings, Inc. to the CBOE Exchange Index 2007-03-23T00:00:00-07:00 2007-03-23T00:00:00-07:00 E7-5308 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5308.pdf https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5206.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Reverse Mergers 2007-03-22T00:00:00-07:00 2007-03-22T00:00:00-07:00 E7-5206 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5206.pdf https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5205.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Clarifying the Continued Listing Standards for Units 2007-03-22T00:00:00-07:00 2007-03-22T00:00:00-07:00 E7-5205 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5205.pdf https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5191.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval of a Proposed Rule Change Amending Rules To Require Listed Companies To Make Securities Eligible for the Direct Registration System 2007-03-22T00:00:00-07:00 2007-03-22T00:00:00-07:00 E7-5191 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5191.pdf https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5190.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of a Proposed Rule Change Amending Rules To Require Securities Become Eligible for a Direct Registration System 2007-03-22T00:00:00-07:00 2007-03-22T00:00:00-07:00 E7-5190 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5190.pdf https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5189.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval of a Proposed Rule Change Amending Rules Relating to the Direct Registration System 2007-03-22T00:00:00-07:00 2007-03-22T00:00:00-07:00 E7-5189 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5189.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5136.html Notice - Submission for OMB Review; Comment Request 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5136 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5136.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5133.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule To Make Technical and Updating Changes to Its Reconfirmation and Pricing Service 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5133 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5133.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5131.html Notice - Sunshine Act Meeting 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5131 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5131.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5117.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Linkage Order Fee 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5117 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5117.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5116.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Relating to Multiple Aggregation Units 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5116 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5116.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5115.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Add an Automatic Quote Cancellation Procedure to the Boston Options Exchange Rules 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5115 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5115.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5114.html Notice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Block Trades 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5114 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5114.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5089.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 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5089 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5089.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5088.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Modify the Fee for Connecting to a Nasdaq Data Center Over the Internet 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5088 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5088.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5087.html Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Revise OPRA's Fee Schedule and its “Policies With Respect to Device-Based Fees” 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5087 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5087.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5086.html Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Adopt a Revised Form “Third Party Billing Agreement” 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5086 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5086.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5085.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto To Trade Shares of the PowerShares DB Energy Fund, the PowerShares DB Oil Fund, the PowerShares DB Precious Metals Fund, the PowerShares DB Gold Fund, the PowerShares DB Silver Fund, the PowerShares DB Base Metals Fund, and the PowerShares DB Agriculture Fund Pursuant to Unlisted Trading Privileges 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5085 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5085.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5084.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change as Modified by Amendment No. 1 To Modify an Aspect of the Definition of Independent Director 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5084 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5084.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5060.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees for Full Value Russell Index and Reduced Value Russell Index 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5060 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5060.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5059.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Charges for Equities, ETFs, and Nasdaq UTP Securities 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5059 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5059.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5058.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish a Data Entitlement Named “Depth Feed” Consisting of Data Feeds Nasdaq TotalView and Nasdaq OpenView, and To Establish a Distribution Charge for Depth Feed 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5058 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5058.pdf https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5057.html Notice - Proposed Collection; Comment Request 2007-03-21T00:00:00-07:00 2007-03-21T00:00:00-07:00 E7-5057 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5057.pdf https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-5005.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change to Establish a Passive Price Improvement Order for Specialists and Registered Traders 2007-03-20T00:00:00-07:00 2007-03-20T00:00:00-07:00 E7-5005 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-5005.pdf https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-5003.html Notice - Order Regarding Review of FASB Accounting Support Fee For 2007 Under Section 109 of The Sarbanes-Oxley Act of 2002 2007-03-20T00:00:00-07:00 2007-03-20T00:00:00-07:00 E7-5003 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-5003.pdf https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4978.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Charges for Equities and ETFs 2007-03-20T00:00:00-07:00 2007-03-20T00:00:00-07:00 E7-4978 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4978.pdf https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4977.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Transaction Charges for Equities, ETFs, and Nasdaq UTP Securities 2007-03-20T00:00:00-07:00 2007-03-20T00:00:00-07:00 E7-4977 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4977.pdf https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4976.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Existing Fee Schedules 2007-03-20T00:00:00-07:00 2007-03-20T00:00:00-07:00 E7-4976 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4976.pdf https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4975.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Amendments to Registration Rules of NYSE Arca Equities, Inc. 2007-03-20T00:00:00-07:00 2007-03-20T00:00:00-07:00 E7-4975 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4975.pdf https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4974.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Amendments to Registration Rules of NYSE Arca, Inc 2007-03-20T00:00:00-07:00 2007-03-20T00:00:00-07:00 E7-4974 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4974.pdf https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4973.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin 2007-03-20T00:00:00-07:00 2007-03-20T00:00:00-07:00 E7-4973 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4973.pdf https://regulations.justia.com/regulations/fedreg/2007/03/19/Z7-4515.html Notice - Adoption of Alternative Arrangements Under the National Environmental Policy Act for New Orleans Hurricane and Storm Damage Reduction System 2007-03-19T00:00:00-07:00 2007-03-19T00:00:00-07:00 Z7-4515 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/Z7-4515.pdf https://regulations.justia.com/regulations/fedreg/2007/03/19/Z7-3916.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Port Fees as Modified by Amendment No. 1 2007-03-19T00:00:00-07:00 2007-03-19T00:00:00-07:00 Z7-3916 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/Z7-3916.pdf https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4984.html Notice - Sunshine Act Meetings 2007-03-19T00:00:00-07:00 2007-03-19T00:00:00-07:00 E7-4984 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4984.pdf https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4899.html Notice - Submission for OMB Review; Comment Request 2007-03-19T00:00:00-07:00 2007-03-19T00:00:00-07:00 E7-4899 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4899.pdf https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4898.html Notice - Submission for OMB Review; Comment Request 2007-03-19T00:00:00-07:00 2007-03-19T00:00:00-07:00 E7-4898 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4898.pdf https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4897.html Notice - Submission for OMB Review; Comment Request 2007-03-19T00:00:00-07:00 2007-03-19T00:00:00-07:00 E7-4897 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4897.pdf https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4896.html Notice - Submissions for OMB Review; Comment Request 2007-03-19T00:00:00-07:00 2007-03-19T00:00:00-07:00 E7-4896 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4896.pdf https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4895.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete From Section 804.00 of the Exchange's Listed Company Manual Text That Has Been Superseded 2007-03-19T00:00:00-07:00 2007-03-19T00:00:00-07:00 E7-4895 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4895.pdf https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4894.html Notice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Effective Date of Amendments to NASD's Order Audit Trail System Rules 2007-03-19T00:00:00-07:00 2007-03-19T00:00:00-07:00 E7-4894 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4894.pdf https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4893.html Notice - Submission for OMB Review; Comment Request 2007-03-19T00:00:00-07:00 2007-03-19T00:00:00-07:00 E7-4893 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4893.pdf https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4693.html Proposed Rule - Amendments to Financial Responsibility Rules for Broker-Dealers 2007-03-19T00:00:00-07:00 2007-03-19T00:00:00-07:00 E7-4693 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4693.pdf https://regulations.justia.com/regulations/fedreg/2007/03/19/C7-1163.html Notice - In the Matter of Certain Companies Quoted on the Pink Sheets: Advanced Powerline Technologies Inc.; America Asia Petroleum Corp.; Amerossi Int'l Group, Inc.; Apparel Manufacturing Associates, Inc.; Asgard Holdings Inc.; Biogenerics Ltd.; China Gold Corp.; CTR Investments & Consulting, Inc.; DC Brands International, Inc.; Equal Trading, Inc.; Equitable Mining Corp.; Espion International, Inc.; Goldmark Industries, Inc.; GroFeed Inc.; Healtheuniverse, Inc.; Interlink Global Corp.; Investigative Services Agencies, Inc.; iPackets International, Inc.; Koko Petroleum Inc.; Leatt Corporation; LOM Logistics, Inc.; Modern Energy Corp.; National Healthcare Logistics, Inc.; Presidents Financial Corp.; Red Truck Entertainment Inc.; Relay Capital Corp.; Rodedawg International Industries, Inc.; Rouchon Industries, Inc.; Software Effective Solutions Corp.; Solucorp Industries Ltd.; Sports-stuff.com Inc.; UBA Technology, Inc.; Wataire Industries Inc.; WayPoint Biomedical Holdings, Inc.; Wineco Productions Inc.; Order of Susp 2007-03-19T00:00:00-07:00 2007-03-19T00:00:00-07:00 C7-1163 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/C7-1163.pdf https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4892.html Notice - Roundtable on Interactive Data: Creating Interactive Data To Serve Investors 2007-03-16T00:00:00-07:00 2007-03-16T00:00:00-07:00 E7-4892 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4892.pdf https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4818.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto Relating to Cancellation Fees 2007-03-16T00:00:00-07:00 2007-03-16T00:00:00-07:00 E7-4818 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4818.pdf https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4817.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 To Increase the Class Quoting Limit in the Option Class InterContinental Exchange, Inc. (ICE) 2007-03-16T00:00:00-07:00 2007-03-16T00:00:00-07:00 E7-4817 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4817.pdf https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4815.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Expansion of Business Activities of Archipelago Securities, L.L.C. 2007-03-16T00:00:00-07:00 2007-03-16T00:00:00-07:00 E7-4815 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4815.pdf https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4814.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Daily Share Volume Service and Fees for the Service 2007-03-16T00:00:00-07:00 2007-03-16T00:00:00-07:00 E7-4814 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4814.pdf https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4813.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Individual Investor Express Delivery Service 2007-03-16T00:00:00-07:00 2007-03-16T00:00:00-07:00 E7-4813 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4813.pdf https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4812.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Two Pilot Programs That Allow RMMs and e-DPMs to Have up to One Affiliated Market-Maker Physically Present in the Trading Crowd 2007-03-16T00:00:00-07:00 2007-03-16T00:00:00-07:00 E7-4812 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4812.pdf https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4811.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Incorporate Full Depth of the Nasdaq Quoting of NYSE- and Amex-Listed Stocks into the TotalView Entitlement and Modify the User Fee Schedule for TotalView Data, and To Replace Nasdaq OpenView To Provide the Individual Nasdaq Market Participants' Best Bids and Offers in NYSE- and Amex-Listed Stocks 2007-03-16T00:00:00-07:00 2007-03-16T00:00:00-07:00 E7-4811 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4811.pdf https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4787.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Fees for Round-Lot Transactions in NYSE-Listed Securities (Other Than ETFs) Routed Outside the Book 2007-03-16T00:00:00-07:00 2007-03-16T00:00:00-07:00 E7-4787 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4787.pdf https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4786.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Waive Certain Listing Fees 2007-03-16T00:00:00-07:00 2007-03-16T00:00:00-07:00 E7-4786 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4786.pdf https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4785.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 To Increase the Class Quoting Limit in the Option Class Baidu.com, Inc. (BIDU) 2007-03-16T00:00:00-07:00 2007-03-16T00:00:00-07:00 E7-4785 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4785.pdf https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4784.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an ISE Stock Exchange Fee Waiver 2007-03-16T00:00:00-07:00 2007-03-16T00:00:00-07:00 E7-4784 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4784.pdf https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4783.html Notice - Joint Industry Plan; Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 22 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to Response Time for Certain Orders Sent Through the Linkage, and Notice of Filing of Such Amendment 2007-03-16T00:00:00-07:00 2007-03-16T00:00:00-07:00 E7-4783 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4783.pdf https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4758.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change as amended, to Amend Certain of its Rules to Provide for the Listing and Trading of Options on the CBOE Russell 2000 Volatility Indexsm 2007-03-15T00:00:00-07:00 2007-03-15T00:00:00-07:00 E7-4758 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4758.pdf https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4747.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Amendment Nos. 2 and 3 to Proposed Rule Change Relating to Generic Listing Standards for Series of Portfolio Depositary Receipts and Index Fund Shares Based on Fixed Income Indexes and Accelerated Approval of Proposed Rule Change as Amended 2007-03-15T00:00:00-07:00 2007-03-15T00:00:00-07:00 E7-4747 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4747.pdf https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4722.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Amendment No. 3 to the Proposed Rule Change, and Order Granting Accelerated Approval of Proposed Rule Change as Amended, Relating to a Philadelphia Board of Trade Enterprise License Fee for Dissemination of Certain Market Data 2007-03-15T00:00:00-07:00 2007-03-15T00:00:00-07:00 E7-4722 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4722.pdf https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4721.html Notice - Vanguard Bond Index Funds, et al.; Notice of Application 2007-03-15T00:00:00-07:00 2007-03-15T00:00:00-07:00 E7-4721 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4721.pdf https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4692.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Exemption from Certain of the Exchange's Shareholder Approval Requirements for Limited Partnerships 2007-03-15T00:00:00-07:00 2007-03-15T00:00:00-07:00 E7-4692 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4692.pdf https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4691.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Rule 2113 (Long and Short Sales) 2007-03-15T00:00:00-07:00 2007-03-15T00:00:00-07:00 E7-4691 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4691.pdf https://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4633.html Notice - The RBB Fund, Inc. and Abundance Technologies, Inc.; Notice of Application 2007-03-14T00:00:00-07:00 2007-03-14T00:00:00-07:00 E7-4633 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-14/pdf/E7-4633.pdf https://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4589.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Class Quoting Limit in the Option Class NYSE Group, Inc. (NYX) 2007-03-14T00:00:00-07:00 2007-03-14T00:00:00-07:00 E7-4589 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-14/pdf/E7-4589.pdf https://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4588.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges 2007-03-14T00:00:00-07:00 2007-03-14T00:00:00-07:00 E7-4588 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-14/pdf/E7-4588.pdf https://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4587.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Waive Certain Listing Fees 2007-03-14T00:00:00-07:00 2007-03-14T00:00:00-07:00 E7-4587 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-14/pdf/E7-4587.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4521.html Notice - Hercules Technology Growth Capital, Inc., et al.; Notice of Application 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 E7-4521 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4521.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4508.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Implementation Date of Previously Proposed Amendments to NASD Rules 4632(f) and 6130(e) 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 E7-4508 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4508.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4507.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change as Modified by Amendment No. 1 To Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine Transaction Data 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 E7-4507 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4507.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4506.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 to Assess a Fee for Unsuccessful Appeals Under Rule 11890 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 E7-4506 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4506.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4505.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rules 1012 (General Provisions) and 1013 (New Member Application and Interview) To Require an Applicant for Membership To Submit an Application in the Manner Prescribed by NASD 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 E7-4505 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4505.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4504.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 E7-4504 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4504.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4503.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1, Relating to the Treatment of Limit Orders That Are Submitted to the Boston Options Exchange During a Price Improvement Period 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 E7-4503 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4503.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4463.html Notice - Proposed Collection; Comment Request 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 E7-4463 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4463.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4462.html Notice - Proposed Collection; Comment Request 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 E7-4462 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4462.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4461.html Notice - Proposed Collection; Comment Request 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 E7-4461 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4461.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4460.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Amending Its Schedule of Fees and Charges in Order To Extend a Pilot Program for Option Strategy Executions for a Period of One Year 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 E7-4460 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4460.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4459.html Notice - Proposed Collection; Comment Request 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 E7-4459 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4459.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4458.html Notice - Proposed Collection; Comment Request 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 E7-4458 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4458.pdf https://regulations.justia.com/regulations/fedreg/2007/03/13/07-1163.html Notice - In the Matter of Certain Companies Quoted on the Pink Sheets: Order of Suspension of Trading 2007-03-13T00:00:00-07:00 2007-03-13T00:00:00-07:00 07-1163 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/07-1163.pdf https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4328.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Directed Order Type 2007-03-12T00:00:00-07:00 2007-03-12T00:00:00-07:00 E7-4328 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4328.pdf https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4327.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 123D (Openings and Halts In Trading) 2007-03-12T00:00:00-07:00 2007-03-12T00:00:00-07:00 E7-4327 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4327.pdf https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4326.html Notice - Intermarket Trading System; Notice of Filing and Immediate Effectiveness of the Twenty Fourth Amendment to the ITS Plan Relating to the Elimination of the ITS Plan 2007-03-12T00:00:00-07:00 2007-03-12T00:00:00-07:00 E7-4326 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4326.pdf https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4325.html Notice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the CHX Fee Schedule on a Retroactive Basis to Clarify the Application of a Credit Against Specialist Fixed Fees 2007-03-12T00:00:00-07:00 2007-03-12T00:00:00-07:00 E7-4325 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4325.pdf https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4293.html Notice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; New York Stock Exchange LLC; American Stock Exchange LLC; Order Approving Proposed Rule Changes To Increase the Frequency of the Short Interest Reporting Requirements 2007-03-12T00:00:00-07:00 2007-03-12T00:00:00-07:00 E7-4293 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4293.pdf https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4292.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fees for the CBOE Stock Exchange 2007-03-12T00:00:00-07:00 2007-03-12T00:00:00-07:00 E7-4292 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4292.pdf https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4291.html Notice - SA Investment Partners LLC, et al. 2007-03-12T00:00:00-07:00 2007-03-12T00:00:00-07:00 E7-4291 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4291.pdf https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4219.html Notice - Proposed Collection; Comment Request 2007-03-09T00:00:00-08:00 2007-03-09T00:00:00-08:00 E7-4219 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4219.pdf https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4193.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Trading of 16 Commodity-Related Securities Pursuant to Unlisted Trading Privileges on a Pilot Basis 2007-03-09T00:00:00-08:00 2007-03-09T00:00:00-08:00 E7-4193 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4193.pdf https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4192.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade iShares Silver Trust Pursuant to Unlisted Trading Privileges 2007-03-09T00:00:00-08:00 2007-03-09T00:00:00-08:00 E7-4192 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4192.pdf https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4191.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Request Permanent Approval of a Pilot Program Relating to Market-Makers Quoting Remotely 2007-03-09T00:00:00-08:00 2007-03-09T00:00:00-08:00 E7-4191 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4191.pdf https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4190.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Revising the AEMI and AEMI-One Rules Relating to Portfolio Depositary Receipts and Index Fund Shares 2007-03-09T00:00:00-08:00 2007-03-09T00:00:00-08:00 E7-4190 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4190.pdf https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4189.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collateral Management Service 2007-03-09T00:00:00-08:00 2007-03-09T00:00:00-08:00 E7-4189 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4189.pdf https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4188.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New York Governing Law 2007-03-09T00:00:00-08:00 2007-03-09T00:00:00-08:00 E7-4188 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4188.pdf https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4187.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To Retroactively Reduce Fees for Nasdaq's Risk Management Service 2007-03-09T00:00:00-08:00 2007-03-09T00:00:00-08:00 E7-4187 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4187.pdf https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4186.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 15A.50 Clarifying the Circumstances Under Which the Exchange Will Automatically Route Orders to Other Market Centers to Prevent Trade-Throughs, and Rename Rule 15A 2007-03-09T00:00:00-08:00 2007-03-09T00:00:00-08:00 E7-4186 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4186.pdf https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4185.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rules 4632C and 4632D To Reflect “As/Of” Trade Reporting and the Automated Reporting of Trade Cancellations to the NASD/NSX and NASD/BSE Trade Reporting Facilities 2007-03-09T00:00:00-08:00 2007-03-09T00:00:00-08:00 E7-4185 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4185.pdf https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4125.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Relating to the Establishment of CBOE Stock Exchange, LLC 2007-03-08T00:00:00-08:00 2007-03-08T00:00:00-08:00 E7-4125 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4125.pdf https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4124.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendment No. 1 Relating to Its Non-option Security Trading Rules 2007-03-08T00:00:00-08:00 2007-03-08T00:00:00-08:00 E7-4124 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4124.pdf https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4056.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Participant 2007-03-08T00:00:00-08:00 2007-03-08T00:00:00-08:00 E7-4056 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4056.pdf https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4055.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Participant 2007-03-08T00:00:00-08:00 2007-03-08T00:00:00-08:00 E7-4055 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4055.pdf https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4054.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Member 2007-03-08T00:00:00-08:00 2007-03-08T00:00:00-08:00 E7-4054 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4054.pdf https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4053.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend CBOE Rules Relating to CBOE's Determination to Trade Options on the S&P 100 (XEO) on the Hybrid 2.0 Platform 2007-03-08T00:00:00-08:00 2007-03-08T00:00:00-08:00 E7-4053 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4053.pdf https://regulations.justia.com/regulations/fedreg/2007/03/08/07-1105.html Notice - Sunshine Act Meeting 2007-03-08T00:00:00-08:00 2007-03-08T00:00:00-08:00 07-1105 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/07-1105.pdf https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4042.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Re-Price Orders 2007-03-07T00:00:00-08:00 2007-03-07T00:00:00-08:00 E7-4042 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4042.pdf https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4041.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Relating to the Boston Options Exchange's Minor Rule Violation Plan 2007-03-07T00:00:00-08:00 2007-03-07T00:00:00-08:00 E7-4041 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4041.pdf https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4040.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to the Listing and Trading of Units of the United States Natural Gas Fund, LP 2007-03-07T00:00:00-08:00 2007-03-07T00:00:00-08:00 E7-4040 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4040.pdf https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4039.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the AEMI and AEMI-One Rules Relating to the Publishing of Manual Quotations and Re-Enabling Auto-Ex 2007-03-07T00:00:00-08:00 2007-03-07T00:00:00-08:00 E7-4039 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4039.pdf https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4038.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Trading of the iShares COMEX Gold Trust Pursuant to Unlisted Trading Privileges 2007-03-07T00:00:00-08:00 2007-03-07T00:00:00-08:00 E7-4038 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4038.pdf https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3952.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Alternative Display Facility Quotation Update Fee 2007-03-07T00:00:00-08:00 2007-03-07T00:00:00-08:00 E7-3952 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3952.pdf https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3932.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule To Interpret Rule 5 Section 6 of the Government Securities Division Rules 2007-03-07T00:00:00-08:00 2007-03-07T00:00:00-08:00 E7-3932 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3932.pdf https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3931.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving Proposed Rule Change as Modified by Amendment Nos. 1, 2, and 3 Thereto Relating to Electronically Submitted Limit Orders 2007-03-07T00:00:00-08:00 2007-03-07T00:00:00-08:00 E7-3931 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3931.pdf https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3916.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Port Fees as Modified by Amendment No. 1 2007-03-07T00:00:00-08:00 2007-03-07T00:00:00-08:00 E7-3916 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3916.pdf https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3883.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Arca Marketplace Trading Sessions 2007-03-07T00:00:00-08:00 2007-03-07T00:00:00-08:00 E7-3883 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3883.pdf https://regulations.justia.com/regulations/fedreg/2007/03/06/E7-3837.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the International Securities Exchange, LLC and the National Association of Securities Dealers, Inc. 2007-03-06T00:00:00-08:00 2007-03-06T00:00:00-08:00 E7-3837 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-06/pdf/E7-3837.pdf https://regulations.justia.com/regulations/fedreg/2007/03/06/E7-3795.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 2 Thereto Relating to NYSE Rules 134 and 411 2007-03-06T00:00:00-08:00 2007-03-06T00:00:00-08:00 E7-3795 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-06/pdf/E7-3795.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3784.html Notice - BLDRS Index Funds Trust, et al.; Notice of Application 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3784 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3784.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3773.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Credit Default Options 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3773 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3773.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3772.html Notice - Liberty All-Star Equity Fund, et al.; Notice of Application 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3772 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3772.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3763.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3763 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3763.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3762.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3762 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3762.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3753.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3753 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3753.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3752.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3752 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3752.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3751.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3751 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3751.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3750.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3750 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3750.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3749.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3749 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3749.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3748.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3748 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3748.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3747.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Revise Stock Futures Adjustment Methodology 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3747 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3747.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3746.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3746 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3746.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3745.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3745 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3745.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3744.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3744 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3744.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3743.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3743 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3743.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3742.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3742 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3742.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3741.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3741 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3741.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3740.html 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 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3740 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3740.pdf https://regulations.justia.com/regulations/fedreg/2007/03/05/E7-3739.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Amend Existing Rules for Investment Company Units 2007-03-05T00:00:00-08:00 2007-03-05T00:00:00-08:00 E7-3739 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-05/pdf/E7-3739.pdf https://regulations.justia.com/regulations/fedreg/2007/03/02/E7-3677.html Notice - NASDAQ-100 Trust, Series 1, et al. 2007-03-02T00:00:00-08:00 2007-03-02T00:00:00-08:00 E7-3677 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-02/pdf/E7-3677.pdf https://regulations.justia.com/regulations/fedreg/2007/03/02/E7-3670.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To List and Trade Nine Series of Exchange-Traded Notes of Barclays Bank PLC Linked to the Performance of Sub-Indices of the Dow Jones-AIG Commodity IndexSM 2007-03-02T00:00:00-08:00 2007-03-02T00:00:00-08:00 E7-3670 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-02/pdf/E7-3670.pdf https://regulations.justia.com/regulations/fedreg/2007/03/02/E7-3645.html Notice - Roundtable on International Financial Reporting Standards “Roadmap” 2007-03-02T00:00:00-08:00 2007-03-02T00:00:00-08:00 E7-3645 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-02/pdf/E7-3645.pdf https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3563.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing LEAPS Pursuant to the $2.50 Strike Price Program 2007-03-01T00:00:00-08:00 2007-03-01T00:00:00-08:00 E7-3563 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3563.pdf https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3558.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Foreign Currency Options 2007-03-01T00:00:00-08:00 2007-03-01T00:00:00-08:00 E7-3558 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3558.pdf https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3556.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto Relating to NYSE Rule 116 (“Stop” Constitutes Guarantee) and NYSE Rule 123B (Exchange Automated Order Routing Systems) 2007-03-01T00:00:00-08:00 2007-03-01T00:00:00-08:00 E7-3556 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3556.pdf https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3555.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2007-03-01T00:00:00-08:00 2007-03-01T00:00:00-08:00 E7-3555 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3555.pdf https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3554.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Date for Compliance With Regulation NMS 2007-03-01T00:00:00-08:00 2007-03-01T00:00:00-08:00 E7-3554 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3554.pdf https://regulations.justia.com/regulations/fedreg/2007/03/01/07-917.html Proposed Rule - Proposed Rule Changes of Self-Regulatory Organizations 2007-03-01T00:00:00-08:00 2007-03-01T00:00:00-08:00 07-917 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/07-917.pdf