<![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?registers=between&min-day=1&max-day=31 Sat, 27 Apr 2024 01:46:38 -0700 Sat, 27 Apr 2024 01:46:38 -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?registers=between&min-day=1&max-day=31 Proposed Rule - Amendments to Regulation SHO https://regulations.justia.com/regulations/fedreg/2007/03/30/E7-5870.html https://regulations.justia.com/regulations/fedreg/2007/03/30/E7-5870.html Fri, 30 Mar 2007 00:00:00 -0700 E7-5870 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-03-30/pdf/E7-5870.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to NYSE Rule 440A (“Telephone Solicitations”) https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5816.html https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5816.html Thu, 29 Mar 2007 00:00:00 -0700 E7-5816 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5816.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5815.html https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5815.html Thu, 29 Mar 2007 00:00:00 -0700 E7-5815 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5815.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5814.html https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5814.html Thu, 29 Mar 2007 00:00:00 -0700 E7-5814 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5814.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5753.html https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5753.html Thu, 29 Mar 2007 00:00:00 -0700 E7-5753 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5753.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5752.html https://regulations.justia.com/regulations/fedreg/2007/03/29/E7-5752.html Thu, 29 Mar 2007 00:00:00 -0700 E7-5752 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/E7-5752.pdf Proposed Rule - Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act https://regulations.justia.com/regulations/fedreg/2007/03/29/07-1476.html https://regulations.justia.com/regulations/fedreg/2007/03/29/07-1476.html Thu, 29 Mar 2007 00:00:00 -0700 07-1476 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-03-29/pdf/07-1476.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5638.html https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5638.html Wed, 28 Mar 2007 00:00:00 -0700 E7-5638 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5638.pdf 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. https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5637.html https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5637.html Wed, 28 Mar 2007 00:00:00 -0700 E7-5637 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5637.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5610.html https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5610.html Wed, 28 Mar 2007 00:00:00 -0700 E7-5610 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5610.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5592.html https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5592.html Wed, 28 Mar 2007 00:00:00 -0700 E7-5592 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5592.pdf Rule - Technical Amendment to Regulation S-T https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5589.html https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5589.html Wed, 28 Mar 2007 00:00:00 -0700 E7-5589 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5589.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Intermarket Sweep Orders https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5588.html https://regulations.justia.com/regulations/fedreg/2007/03/28/E7-5588.html Wed, 28 Mar 2007 00:00:00 -0700 E7-5588 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-28/pdf/E7-5588.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5552.html https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5552.html Tue, 27 Mar 2007 00:00:00 -0700 E7-5552 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5552.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5551.html https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5551.html Tue, 27 Mar 2007 00:00:00 -0700 E7-5551 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5551.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5550.html https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5550.html Tue, 27 Mar 2007 00:00:00 -0700 E7-5550 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5550.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5549.html https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5549.html Tue, 27 Mar 2007 00:00:00 -0700 E7-5549 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5549.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5548.html https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5548.html Tue, 27 Mar 2007 00:00:00 -0700 E7-5548 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5548.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5547.html https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5547.html Tue, 27 Mar 2007 00:00:00 -0700 E7-5547 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5547.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5546.html https://regulations.justia.com/regulations/fedreg/2007/03/27/E7-5546.html Tue, 27 Mar 2007 00:00:00 -0700 E7-5546 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-27/pdf/E7-5546.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/26/E7-5423.html https://regulations.justia.com/regulations/fedreg/2007/03/26/E7-5423.html Mon, 26 Mar 2007 00:00:00 -0700 E7-5423 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-26/pdf/E7-5423.pdf 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. https://regulations.justia.com/regulations/fedreg/2007/03/26/E7-5422.html https://regulations.justia.com/regulations/fedreg/2007/03/26/E7-5422.html Mon, 26 Mar 2007 00:00:00 -0700 E7-5422 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-26/pdf/E7-5422.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5429.html https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5429.html Fri, 23 Mar 2007 00:00:00 -0700 E7-5429 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5429.pdf 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. https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5351.html https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5351.html Fri, 23 Mar 2007 00:00:00 -0700 E7-5351 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5351.pdf 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. https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5350.html https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5350.html Fri, 23 Mar 2007 00:00:00 -0700 E7-5350 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5350.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5348.html https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5348.html Fri, 23 Mar 2007 00:00:00 -0700 E7-5348 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5348.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5316.html https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5316.html Fri, 23 Mar 2007 00:00:00 -0700 E7-5316 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5316.pdf Notice - John Hancock Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5315.html https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5315.html Fri, 23 Mar 2007 00:00:00 -0700 E7-5315 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5315.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5309.html https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5309.html Fri, 23 Mar 2007 00:00:00 -0700 E7-5309 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5309.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5308.html https://regulations.justia.com/regulations/fedreg/2007/03/23/E7-5308.html Fri, 23 Mar 2007 00:00:00 -0700 E7-5308 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-23/pdf/E7-5308.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Reverse Mergers https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5206.html https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5206.html Thu, 22 Mar 2007 00:00:00 -0700 E7-5206 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5206.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5205.html https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5205.html Thu, 22 Mar 2007 00:00:00 -0700 E7-5205 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5205.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5191.html https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5191.html Thu, 22 Mar 2007 00:00:00 -0700 E7-5191 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5191.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5190.html https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5190.html Thu, 22 Mar 2007 00:00:00 -0700 E7-5190 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5190.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval of a Proposed Rule Change Amending Rules Relating to the Direct Registration System https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5189.html https://regulations.justia.com/regulations/fedreg/2007/03/22/E7-5189.html Thu, 22 Mar 2007 00:00:00 -0700 E7-5189 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-22/pdf/E7-5189.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5136.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5136.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5136 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5136.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5133.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5133.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5133 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5133.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5131.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5131.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5131 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5131.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5117.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5117.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5117 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5117.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5116.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5116.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5116 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5116.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5115.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5115.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5115 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5115.pdf Notice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Block Trades https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5114.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5114.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5114 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5114.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5089.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5089.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5089 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5089.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5088.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5088.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5088 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5088.pdf 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” https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5087.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5087.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5087 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5087.pdf Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Adopt a Revised Form “Third Party Billing Agreement” https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5086.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5086.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5086 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5086.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5085.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5085.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5085 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5085.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5084.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5084.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5084 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5084.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5060.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5060.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5060 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5060.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5059.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5059.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5059 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5059.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5058.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5058.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5058 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5058.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5057.html https://regulations.justia.com/regulations/fedreg/2007/03/21/E7-5057.html Wed, 21 Mar 2007 00:00:00 -0700 E7-5057 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-21/pdf/E7-5057.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-5005.html https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-5005.html Tue, 20 Mar 2007 00:00:00 -0700 E7-5005 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-5005.pdf Notice - Order Regarding Review of FASB Accounting Support Fee For 2007 Under Section 109 of The Sarbanes-Oxley Act of 2002 https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-5003.html https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-5003.html Tue, 20 Mar 2007 00:00:00 -0700 E7-5003 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-5003.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4978.html https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4978.html Tue, 20 Mar 2007 00:00:00 -0700 E7-4978 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4978.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4977.html https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4977.html Tue, 20 Mar 2007 00:00:00 -0700 E7-4977 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4977.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Existing Fee Schedules https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4976.html https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4976.html Tue, 20 Mar 2007 00:00:00 -0700 E7-4976 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4976.pdf 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. https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4975.html https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4975.html Tue, 20 Mar 2007 00:00:00 -0700 E7-4975 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4975.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Amendments to Registration Rules of NYSE Arca, Inc https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4974.html https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4974.html Tue, 20 Mar 2007 00:00:00 -0700 E7-4974 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4974.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Portfolio Margin https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4973.html https://regulations.justia.com/regulations/fedreg/2007/03/20/E7-4973.html Tue, 20 Mar 2007 00:00:00 -0700 E7-4973 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-20/pdf/E7-4973.pdf Notice - Adoption of Alternative Arrangements Under the National Environmental Policy Act for New Orleans Hurricane and Storm Damage Reduction System https://regulations.justia.com/regulations/fedreg/2007/03/19/Z7-4515.html https://regulations.justia.com/regulations/fedreg/2007/03/19/Z7-4515.html Mon, 19 Mar 2007 00:00:00 -0700 Z7-4515 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/Z7-4515.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/19/Z7-3916.html https://regulations.justia.com/regulations/fedreg/2007/03/19/Z7-3916.html Mon, 19 Mar 2007 00:00:00 -0700 Z7-3916 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/Z7-3916.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4984.html https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4984.html Mon, 19 Mar 2007 00:00:00 -0700 E7-4984 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4984.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4899.html https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4899.html Mon, 19 Mar 2007 00:00:00 -0700 E7-4899 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4899.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4898.html https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4898.html Mon, 19 Mar 2007 00:00:00 -0700 E7-4898 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4898.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4897.html https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4897.html Mon, 19 Mar 2007 00:00:00 -0700 E7-4897 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4897.pdf Notice - Submissions for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4896.html https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4896.html Mon, 19 Mar 2007 00:00:00 -0700 E7-4896 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4896.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4895.html https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4895.html Mon, 19 Mar 2007 00:00:00 -0700 E7-4895 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4895.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4894.html https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4894.html Mon, 19 Mar 2007 00:00:00 -0700 E7-4894 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4894.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4893.html https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4893.html Mon, 19 Mar 2007 00:00:00 -0700 E7-4893 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4893.pdf Proposed Rule - Amendments to Financial Responsibility Rules for Broker-Dealers https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4693.html https://regulations.justia.com/regulations/fedreg/2007/03/19/E7-4693.html Mon, 19 Mar 2007 00:00:00 -0700 E7-4693 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/E7-4693.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/19/C7-1163.html https://regulations.justia.com/regulations/fedreg/2007/03/19/C7-1163.html Mon, 19 Mar 2007 00:00:00 -0700 C7-1163 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-19/pdf/C7-1163.pdf Notice - Roundtable on Interactive Data: Creating Interactive Data To Serve Investors https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4892.html https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4892.html Fri, 16 Mar 2007 00:00:00 -0700 E7-4892 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4892.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4818.html https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4818.html Fri, 16 Mar 2007 00:00:00 -0700 E7-4818 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4818.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4817.html https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4817.html Fri, 16 Mar 2007 00:00:00 -0700 E7-4817 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4817.pdf 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. https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4815.html https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4815.html Fri, 16 Mar 2007 00:00:00 -0700 E7-4815 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4815.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4814.html https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4814.html Fri, 16 Mar 2007 00:00:00 -0700 E7-4814 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4814.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4813.html https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4813.html Fri, 16 Mar 2007 00:00:00 -0700 E7-4813 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4813.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4812.html https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4812.html Fri, 16 Mar 2007 00:00:00 -0700 E7-4812 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4812.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4811.html https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4811.html Fri, 16 Mar 2007 00:00:00 -0700 E7-4811 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4811.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4787.html https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4787.html Fri, 16 Mar 2007 00:00:00 -0700 E7-4787 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4787.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Waive Certain Listing Fees https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4786.html https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4786.html Fri, 16 Mar 2007 00:00:00 -0700 E7-4786 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4786.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4785.html https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4785.html Fri, 16 Mar 2007 00:00:00 -0700 E7-4785 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4785.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4784.html https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4784.html Fri, 16 Mar 2007 00:00:00 -0700 E7-4784 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4784.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4783.html https://regulations.justia.com/regulations/fedreg/2007/03/16/E7-4783.html Fri, 16 Mar 2007 00:00:00 -0700 E7-4783 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-16/pdf/E7-4783.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4758.html https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4758.html Thu, 15 Mar 2007 00:00:00 -0700 E7-4758 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4758.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4747.html https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4747.html Thu, 15 Mar 2007 00:00:00 -0700 E7-4747 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4747.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4722.html https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4722.html Thu, 15 Mar 2007 00:00:00 -0700 E7-4722 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4722.pdf Notice - Vanguard Bond Index Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4721.html https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4721.html Thu, 15 Mar 2007 00:00:00 -0700 E7-4721 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4721.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4692.html https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4692.html Thu, 15 Mar 2007 00:00:00 -0700 E7-4692 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4692.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Rule 2113 (Long and Short Sales) https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4691.html https://regulations.justia.com/regulations/fedreg/2007/03/15/E7-4691.html Thu, 15 Mar 2007 00:00:00 -0700 E7-4691 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-15/pdf/E7-4691.pdf Notice - The RBB Fund, Inc. and Abundance Technologies, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4633.html https://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4633.html Wed, 14 Mar 2007 00:00:00 -0700 E7-4633 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-14/pdf/E7-4633.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4589.html https://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4589.html Wed, 14 Mar 2007 00:00:00 -0700 E7-4589 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-14/pdf/E7-4589.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges https://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4588.html https://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4588.html Wed, 14 Mar 2007 00:00:00 -0700 E7-4588 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-14/pdf/E7-4588.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Waive Certain Listing Fees https://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4587.html https://regulations.justia.com/regulations/fedreg/2007/03/14/E7-4587.html Wed, 14 Mar 2007 00:00:00 -0700 E7-4587 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-14/pdf/E7-4587.pdf Notice - Hercules Technology Growth Capital, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4521.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4521.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4521 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4521.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4508.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4508.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4508 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4508.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4507.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4507.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4507 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4507.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4506.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4506.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4506 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4506.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4505.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4505.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4505 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4505.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4504.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4504.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4504 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4504.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4503.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4503.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4503 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4503.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4463.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4463.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4463 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4463.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4462.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4462.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4462 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4462.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4461.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4461.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4461 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4461.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4460.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4460.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4460 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4460.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4459.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4459.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4459 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4459.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4458.html https://regulations.justia.com/regulations/fedreg/2007/03/13/E7-4458.html Tue, 13 Mar 2007 00:00:00 -0700 E7-4458 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/E7-4458.pdf Notice - In the Matter of Certain Companies Quoted on the Pink Sheets: Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/03/13/07-1163.html https://regulations.justia.com/regulations/fedreg/2007/03/13/07-1163.html Tue, 13 Mar 2007 00:00:00 -0700 07-1163 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-13/pdf/07-1163.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4328.html https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4328.html Mon, 12 Mar 2007 00:00:00 -0700 E7-4328 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4328.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4327.html https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4327.html Mon, 12 Mar 2007 00:00:00 -0700 E7-4327 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4327.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4326.html https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4326.html Mon, 12 Mar 2007 00:00:00 -0700 E7-4326 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4326.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4325.html https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4325.html Mon, 12 Mar 2007 00:00:00 -0700 E7-4325 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4325.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4293.html https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4293.html Mon, 12 Mar 2007 00:00:00 -0700 E7-4293 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4293.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4292.html https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4292.html Mon, 12 Mar 2007 00:00:00 -0700 E7-4292 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4292.pdf Notice - SA Investment Partners LLC, et al. https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4291.html https://regulations.justia.com/regulations/fedreg/2007/03/12/E7-4291.html Mon, 12 Mar 2007 00:00:00 -0700 E7-4291 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-12/pdf/E7-4291.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4219.html https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4219.html Fri, 09 Mar 2007 00:00:00 -0800 E7-4219 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4219.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4193.html https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4193.html Fri, 09 Mar 2007 00:00:00 -0800 E7-4193 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4193.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4192.html https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4192.html Fri, 09 Mar 2007 00:00:00 -0800 E7-4192 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4192.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4191.html https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4191.html Fri, 09 Mar 2007 00:00:00 -0800 E7-4191 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4191.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4190.html https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4190.html Fri, 09 Mar 2007 00:00:00 -0800 E7-4190 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4190.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collateral Management Service https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4189.html https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4189.html Fri, 09 Mar 2007 00:00:00 -0800 E7-4189 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4189.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New York Governing Law https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4188.html https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4188.html Fri, 09 Mar 2007 00:00:00 -0800 E7-4188 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4188.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4187.html https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4187.html Fri, 09 Mar 2007 00:00:00 -0800 E7-4187 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4187.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4186.html https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4186.html Fri, 09 Mar 2007 00:00:00 -0800 E7-4186 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4186.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4185.html https://regulations.justia.com/regulations/fedreg/2007/03/09/E7-4185.html Fri, 09 Mar 2007 00:00:00 -0800 E7-4185 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-09/pdf/E7-4185.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4125.html https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4125.html Thu, 08 Mar 2007 00:00:00 -0800 E7-4125 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4125.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4124.html https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4124.html Thu, 08 Mar 2007 00:00:00 -0800 E7-4124 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4124.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Participant https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4056.html https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4056.html Thu, 08 Mar 2007 00:00:00 -0800 E7-4056 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4056.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Participant https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4055.html https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4055.html Thu, 08 Mar 2007 00:00:00 -0800 E7-4055 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4055.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Member https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4054.html https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4054.html Thu, 08 Mar 2007 00:00:00 -0800 E7-4054 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4054.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4053.html https://regulations.justia.com/regulations/fedreg/2007/03/08/E7-4053.html Thu, 08 Mar 2007 00:00:00 -0800 E7-4053 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/E7-4053.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/03/08/07-1105.html https://regulations.justia.com/regulations/fedreg/2007/03/08/07-1105.html Thu, 08 Mar 2007 00:00:00 -0800 07-1105 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-08/pdf/07-1105.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4042.html https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4042.html Wed, 07 Mar 2007 00:00:00 -0800 E7-4042 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4042.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4041.html https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4041.html Wed, 07 Mar 2007 00:00:00 -0800 E7-4041 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4041.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4040.html https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4040.html Wed, 07 Mar 2007 00:00:00 -0800 E7-4040 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4040.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4039.html https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4039.html Wed, 07 Mar 2007 00:00:00 -0800 E7-4039 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4039.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4038.html https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-4038.html Wed, 07 Mar 2007 00:00:00 -0800 E7-4038 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-4038.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3952.html https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3952.html Wed, 07 Mar 2007 00:00:00 -0800 E7-3952 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3952.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3932.html https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3932.html Wed, 07 Mar 2007 00:00:00 -0800 E7-3932 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3932.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3931.html https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3931.html Wed, 07 Mar 2007 00:00:00 -0800 E7-3931 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3931.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3916.html https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3916.html Wed, 07 Mar 2007 00:00:00 -0800 E7-3916 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3916.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Arca Marketplace Trading Sessions https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3883.html https://regulations.justia.com/regulations/fedreg/2007/03/07/E7-3883.html Wed, 07 Mar 2007 00:00:00 -0800 E7-3883 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-07/pdf/E7-3883.pdf 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. https://regulations.justia.com/regulations/fedreg/2007/03/06/E7-3837.html https://regulations.justia.com/regulations/fedreg/2007/03/06/E7-3837.html Tue, 06 Mar 2007 00:00:00 -0800 E7-3837 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-06/pdf/E7-3837.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/06/E7-3795.html https://regulations.justia.com/regulations/fedreg/2007/03/06/E7-3795.html Tue, 06 Mar 2007 00:00:00 -0800 E7-3795 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-06/pdf/E7-3795.pdf 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 Notice - NASDAQ-100 Trust, Series 1, et al. https://regulations.justia.com/regulations/fedreg/2007/03/02/E7-3677.html https://regulations.justia.com/regulations/fedreg/2007/03/02/E7-3677.html Fri, 02 Mar 2007 00:00:00 -0800 E7-3677 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-02/pdf/E7-3677.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/02/E7-3670.html https://regulations.justia.com/regulations/fedreg/2007/03/02/E7-3670.html Fri, 02 Mar 2007 00:00:00 -0800 E7-3670 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-02/pdf/E7-3670.pdf Notice - Roundtable on International Financial Reporting Standards “Roadmap” https://regulations.justia.com/regulations/fedreg/2007/03/02/E7-3645.html https://regulations.justia.com/regulations/fedreg/2007/03/02/E7-3645.html Fri, 02 Mar 2007 00:00:00 -0800 E7-3645 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-02/pdf/E7-3645.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3563.html https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3563.html Thu, 01 Mar 2007 00:00:00 -0800 E7-3563 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3563.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3558.html https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3558.html Thu, 01 Mar 2007 00:00:00 -0800 E7-3558 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3558.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3556.html https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3556.html Thu, 01 Mar 2007 00:00:00 -0800 E7-3556 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3556.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3555.html https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3555.html Thu, 01 Mar 2007 00:00:00 -0800 E7-3555 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3555.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3554.html https://regulations.justia.com/regulations/fedreg/2007/03/01/E7-3554.html Thu, 01 Mar 2007 00:00:00 -0800 E7-3554 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/E7-3554.pdf Proposed Rule - Proposed Rule Changes of Self-Regulatory Organizations https://regulations.justia.com/regulations/fedreg/2007/03/01/07-917.html https://regulations.justia.com/regulations/fedreg/2007/03/01/07-917.html Thu, 01 Mar 2007 00:00:00 -0800 07-917 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-03-01/pdf/07-917.pdf