<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/04/02?registers=between Wed, 01 May 2024 05:51:02 -0700 Wed, 01 May 2024 05:51:02 -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/2007/04/02?registers=between Notice - Self-Regulatory Organization; National Futures Association; Notice of Filing and Immediate Effectiveness of a Proposed Amendment Relating to NFA Compliance Rule 2-10 https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5989.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5989.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5989 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5989.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Transactions Executed Through NSX BLADE and ITS Plans Priced at Less Than $1.00 Per Share https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5988.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5988.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5988 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5988.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain Types of Orders on Ox https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5987.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5987.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5987 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5987.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/2007/04/02/E7-5986.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5986.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5986 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5986.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Exchange's Tape Rebate Programs for Transactions Through NSTS to Establish an Equivalent Tape A Rebate Program https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5985.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5985.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5985 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5985.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify Fees for Transactions Executed Through NSTS and ITS Plans https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5984.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5984.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5984 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5984.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change to Amend Listing and Annual Fees Applicable to Investment Company Units, Currency Trust Shares, Commodity Trust Shares and streetTRACKS® Gold Shares https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5983.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5983.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5983 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5983.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Exchange Rules Regarding Specialist Commissions https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5982.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5982.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5982 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5982.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Granting Approval of Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange, LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the New York Stock Exchange, LLC, the NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5981.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5981.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5981 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5981.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to Off-Floor DPMs https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5980.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5980.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5980 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5980.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New NASD Rule 7000E Series Relating to Fees and Credits for the NASD/NYSE Trade Reporting Facility https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5979.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5979.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5979 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5979.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC and Chicago Board Options Exchange, Incorporated: Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes; Boston Stock Exchange, Inc.; International Securities Exchange, LLC; NYSE Arca, Inc.; and Philadelphia Stock Exchange, Inc.: Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to Linkage Orders https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5967.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5967.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5967 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5967.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading One-, Two-, and Three-Character Symbols https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5966.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5966.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5966 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5966.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/2007/04/02/E7-5965.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5965.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5965 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5965.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Exempt Limited Partnerships From Certain of Its Shareholder Approval Rules https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5964.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5964.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5964 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5964.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Existing BeX Fee Schedule https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5963.html https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5963.html Mon, 02 Apr 2007 00:00:00 -0700 E7-5963 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5963.pdf