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?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2019-09-18T00:28:00-07:00 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/2007/04/27/E7-8097.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses 2007-04-27T00:00:00-07:00 2007-04-27T00:00:00-07:00 E7-8097 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-27/pdf/E7-8097.pdf https://regulations.justia.com/regulations/fedreg/2007/04/27/E7-8084.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Member Application Processing Fee Changes 2007-04-27T00:00:00-07:00 2007-04-27T00:00:00-07:00 E7-8084 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-27/pdf/E7-8084.pdf https://regulations.justia.com/regulations/fedreg/2007/04/27/E7-8083.html Notice - Submission for OMB Review; Comment Request 2007-04-27T00:00:00-07:00 2007-04-27T00:00:00-07:00 E7-8083 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-27/pdf/E7-8083.pdf https://regulations.justia.com/regulations/fedreg/2007/04/27/E7-8056.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Exchange Rules, or Portions Thereof, Which Have Been Determined by the Exchange to Be Obsolete, Outdated and/or Unnecessary 2007-04-27T00:00:00-07:00 2007-04-27T00:00:00-07:00 E7-8056 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-27/pdf/E7-8056.pdf https://regulations.justia.com/regulations/fedreg/2007/04/27/E7-8055.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule To Describe How a Failure To Comply With Nasdaq's Requirements Concerning Direct Registration Programs Is Treated 2007-04-27T00:00:00-07:00 2007-04-27T00:00:00-07:00 E7-8055 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-27/pdf/E7-8055.pdf https://regulations.justia.com/regulations/fedreg/2007/04/27/E7-8054.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Choice of Law and Forum Selection 2007-04-27T00:00:00-07:00 2007-04-27T00:00:00-07:00 E7-8054 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-27/pdf/E7-8054.pdf https://regulations.justia.com/regulations/fedreg/2007/04/26/E7-7956.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to the Listing and Trading of Options on Vanguard Emerging Markets ETF 2007-04-26T00:00:00-07:00 2007-04-26T00:00:00-07:00 E7-7956 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-26/pdf/E7-7956.pdf https://regulations.justia.com/regulations/fedreg/2007/04/26/E7-7953.html Notice - Joint Industry Plan; Order Granting Permanent Approval of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the Nasdaq Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc 2007-04-26T00:00:00-07:00 2007-04-26T00:00:00-07:00 E7-7953 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-26/pdf/E7-7953.pdf https://regulations.justia.com/regulations/fedreg/2007/04/26/E7-7939.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Amendments to Interpretation to Rule 311(b)(5) (“Co-Designation of Principal Executive Officers”) as Modified by Amendment No. 1 2007-04-26T00:00:00-07:00 2007-04-26T00:00:00-07:00 E7-7939 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-26/pdf/E7-7939.pdf https://regulations.justia.com/regulations/fedreg/2007/04/26/07-2074.html Notice - In the Matter of Internetstudios.com, Inc., and World Cyberlinks Corp. File No. 500-1; Order of Suspension of Trading 2007-04-26T00:00:00-07:00 2007-04-26T00:00:00-07:00 07-2074 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-26/pdf/07-2074.pdf https://regulations.justia.com/regulations/fedreg/2007/04/25/E7-7838.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Waiver of Fees Upon Relisting of Companies Removed for Late Filings 2007-04-25T00:00:00-07:00 2007-04-25T00:00:00-07:00 E7-7838 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-25/pdf/E7-7838.pdf https://regulations.justia.com/regulations/fedreg/2007/04/25/E7-7837.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Class Quoting Limits 2007-04-25T00:00:00-07:00 2007-04-25T00:00:00-07:00 E7-7837 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-25/pdf/E7-7837.pdf https://regulations.justia.com/regulations/fedreg/2007/04/25/E7-7836.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Adopt New Rule 447 (“Emergency Powers”) 2007-04-25T00:00:00-07:00 2007-04-25T00:00:00-07:00 E7-7836 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-25/pdf/E7-7836.pdf https://regulations.justia.com/regulations/fedreg/2007/04/25/E7-7835.html Notice - Sunshine Act Meeting 2007-04-25T00:00:00-07:00 2007-04-25T00:00:00-07:00 E7-7835 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-25/pdf/E7-7835.pdf https://regulations.justia.com/regulations/fedreg/2007/04/24/E7-7746.html Rule - Technical Amendments to Form BD and Form BDW 2007-04-24T00:00:00-07:00 2007-04-24T00:00:00-07:00 E7-7746 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-04-24/pdf/E7-7746.pdf https://regulations.justia.com/regulations/fedreg/2007/04/24/E7-7729.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3 Thereto, To Revise The Nasdaq Capital Market Listing Requirements 2007-04-24T00:00:00-07:00 2007-04-24T00:00:00-07:00 E7-7729 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-24/pdf/E7-7729.pdf https://regulations.justia.com/regulations/fedreg/2007/04/24/E7-7713.html Rule - Covered Securities Pursuant to Section 18 of the Securities Act of 1933 2007-04-24T00:00:00-07:00 2007-04-24T00:00:00-07:00 E7-7713 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-04-24/pdf/E7-7713.pdf https://regulations.justia.com/regulations/fedreg/2007/04/24/E7-7712.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Rule 103B (Specialist Stock Allocation) 2007-04-24T00:00:00-07:00 2007-04-24T00:00:00-07:00 E7-7712 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-24/pdf/E7-7712.pdf https://regulations.justia.com/regulations/fedreg/2007/04/24/E7-7711.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Buy-In Rules 2007-04-24T00:00:00-07:00 2007-04-24T00:00:00-07:00 E7-7711 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-24/pdf/E7-7711.pdf https://regulations.justia.com/regulations/fedreg/2007/04/24/E7-7710.html Notice - Submission of OMB Review; Comment Request 2007-04-24T00:00:00-07:00 2007-04-24T00:00:00-07:00 E7-7710 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-24/pdf/E7-7710.pdf https://regulations.justia.com/regulations/fedreg/2007/04/23/E7-7688.html Notice - Submission for OMB Review; Comment Request 2007-04-23T00:00:00-07:00 2007-04-23T00:00:00-07:00 E7-7688 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-23/pdf/E7-7688.pdf https://regulations.justia.com/regulations/fedreg/2007/04/23/E7-7611.html Notice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Order Granting Approval to Proposed Rule Change Relating to Additional Mark-Up Policy for Transactions in Debt Securities, Except Municipal Securities 2007-04-23T00:00:00-07:00 2007-04-23T00:00:00-07:00 E7-7611 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-23/pdf/E7-7611.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7554.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 Several Option Classes 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7554 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7554.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7553.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Shorten the Minimum Required Time Periods Required Between Tape Indications and Openings or Reopenings 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7553 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7553.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7552.html 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 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7552 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7552.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7495.html Notice - Submission for OMB Review; Comment Request 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7495 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7495.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7494.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List for Trading Options on Commodity Pool Units 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7494 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7494.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7493.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Subsidy Arrangements with Members That Provide or Use Certain Order Routing Functionalities 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7493 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7493.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7492.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Expand Its Price Manipulation Rule To Address Additional Instances of Improper Behavior 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7492 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7492.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7491.html Notice - Submission for OMB Review; Comment Request 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7491 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7491.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7490.html Notice - Submission for OMB Review; Comment Request 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7490 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7490.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7489.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Options Based on Commodity Pool ETFs 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7489 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7489.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7488.html Notice - Proposed Collection; Comment Request 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7488 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7488.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7487.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees of Other Market Centers Related to Clearly Erroneous Rulings 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7487 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7487.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7486.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Units of the United States Natural Gas Fund, LP 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7486 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7486.pdf https://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7485.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 2007-04-20T00:00:00-07:00 2007-04-20T00:00:00-07:00 E7-7485 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7485.pdf https://regulations.justia.com/regulations/fedreg/2007/04/19/Z7-6870.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Customer Orders on the Book 2007-04-19T00:00:00-07:00 2007-04-19T00:00:00-07:00 Z7-6870 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-19/pdf/Z7-6870.pdf https://regulations.justia.com/regulations/fedreg/2007/04/19/E7-7428.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Regarding the Annual Certification of Compliance and Supervisory Processes 2007-04-19T00:00:00-07:00 2007-04-19T00:00:00-07:00 E7-7428 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-19/pdf/E7-7428.pdf https://regulations.justia.com/regulations/fedreg/2007/04/19/E7-7422.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Period for Rule 2.12 Regarding Third-Party Routing Services in Respect of Orders Entered Into NSX BLADE 2007-04-19T00:00:00-07:00 2007-04-19T00:00:00-07:00 E7-7422 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-19/pdf/E7-7422.pdf https://regulations.justia.com/regulations/fedreg/2007/04/19/E7-7421.html Notice - Proposed Collection; Comment Request 2007-04-19T00:00:00-07:00 2007-04-19T00:00:00-07:00 E7-7421 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-19/pdf/E7-7421.pdf https://regulations.justia.com/regulations/fedreg/2007/04/19/C7-1727.html Notice - Notice Pursuant to the National Cooperative Research and Production Act of 1993-LiMo Foundation 2007-04-19T00:00:00-07:00 2007-04-19T00:00:00-07:00 C7-1727 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-19/pdf/C7-1727.pdf https://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7330.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Distributor Fee for Nasdaq Index Weighting Information 2007-04-18T00:00:00-07:00 2007-04-18T00:00:00-07:00 E7-7330 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7330.pdf https://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7324.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, 3, and 4 Thereto and Order Granting Accelerated Approval of the Proposed Rule Change as Modified by Amendments No. 2 and 4 Thereto Adopting Generic Listing Standards for Exchange-Traded Funds Based on International or Global Indexes or Indexes Described in Exchange Rules Previously Approved by the Commission as Underlying Benchmarks for Derivative Securities 2007-04-18T00:00:00-07:00 2007-04-18T00:00:00-07:00 E7-7324 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7324.pdf https://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7323.html Notice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Rule 15B(T) (Protected Bids and Offers of Away Markets) 2007-04-18T00:00:00-07:00 2007-04-18T00:00:00-07:00 E7-7323 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7323.pdf https://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7322.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Clarify the Government Securities Division Rules With Respect to Repo Collateral Substitution Requests 2007-04-18T00:00:00-07:00 2007-04-18T00:00:00-07:00 E7-7322 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7322.pdf https://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7321.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Chicago Board Options Exchange, Incorporated and the National Association of Securities Dealers, Inc. 2007-04-18T00:00:00-07:00 2007-04-18T00:00:00-07:00 E7-7321 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7321.pdf https://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7320.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Create a Pilot Non-Professional Fee for Certain Market Data From the Nasdaq Market Center 2007-04-18T00:00:00-07:00 2007-04-18T00:00:00-07:00 E7-7320 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7320.pdf https://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7319.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Augment the TotalView Enterprise License 2007-04-18T00:00:00-07:00 2007-04-18T00:00:00-07:00 E7-7319 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7319.pdf https://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7318.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive Fees for Distributors of Certain Market Data From the Nasdaq Market Center 2007-04-18T00:00:00-07:00 2007-04-18T00:00:00-07:00 E7-7318 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7318.pdf https://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7317.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower Fees for Distributors of Certain Market Data From the Nasdaq Market Center 2007-04-18T00:00:00-07:00 2007-04-18T00:00:00-07:00 E7-7317 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7317.pdf https://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7316.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Transaction Charges for Equities, ETFs, and Nasdaq UTP Securities 2007-04-18T00:00:00-07:00 2007-04-18T00:00:00-07:00 E7-7316 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7316.pdf https://regulations.justia.com/regulations/fedreg/2007/04/17/E7-7282.html Notice - Sunshine Act Meeting 2007-04-17T00:00:00-07:00 2007-04-17T00:00:00-07:00 E7-7282 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-17/pdf/E7-7282.pdf https://regulations.justia.com/regulations/fedreg/2007/04/17/E7-7225.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendments No. 1 and 2 Relating to the Boston Options Exchange's Minor Rule Violation Plan 2007-04-17T00:00:00-07:00 2007-04-17T00:00:00-07:00 E7-7225 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-17/pdf/E7-7225.pdf https://regulations.justia.com/regulations/fedreg/2007/04/17/E7-7224.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend NYSE Rule 80A.40(b) To Update the Definition of “Program Trading,” To Substitute Simplified Audit Trail Requirements, and To Make Conforming Amendments to NYSE Rule 410B 2007-04-17T00:00:00-07:00 2007-04-17T00:00:00-07:00 E7-7224 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-17/pdf/E7-7224.pdf https://regulations.justia.com/regulations/fedreg/2007/04/17/E7-7223.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Participant Fees and Credits 2007-04-17T00:00:00-07:00 2007-04-17T00:00:00-07:00 E7-7223 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-17/pdf/E7-7223.pdf https://regulations.justia.com/regulations/fedreg/2007/04/17/E7-7222.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Amendments to the Code of Mediation Procedure 2007-04-17T00:00:00-07:00 2007-04-17T00:00:00-07:00 E7-7222 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-17/pdf/E7-7222.pdf https://regulations.justia.com/regulations/fedreg/2007/04/17/07-1913.html Notice - In the Matter of Certain Companies Quoted on the Pink Sheets: Amerossi EC, Inc., Irwin Resources, Inc., Peopleline Telecom, Inc.; Order of Suspension of Trading 2007-04-17T00:00:00-07:00 2007-04-17T00:00:00-07:00 07-1913 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-17/pdf/07-1913.pdf https://regulations.justia.com/regulations/fedreg/2007/04/13/E7-7056.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Adopt Generic Listing Standards for Index-Linked Securities 2007-04-13T00:00:00-07:00 2007-04-13T00:00:00-07:00 E7-7056 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-7056.pdf https://regulations.justia.com/regulations/fedreg/2007/04/13/E7-7055.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendments No. 1, 2, 3, and 4 Thereto to Proposed Rule Change to Amend Rule 619 Pertaining to Subpoenas for the Production of Documents and Appearances of Witnesses 2007-04-13T00:00:00-07:00 2007-04-13T00:00:00-07:00 E7-7055 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-7055.pdf https://regulations.justia.com/regulations/fedreg/2007/04/13/E7-7054.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Allocation and Performance Evaluation Procedures for Securities Admitted to Dealings on an Unlisted Basis 2007-04-13T00:00:00-07:00 2007-04-13T00:00:00-07:00 E7-7054 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-7054.pdf https://regulations.justia.com/regulations/fedreg/2007/04/13/E7-7008.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Representation of Parties in Arbitration and Mediation 2007-04-13T00:00:00-07:00 2007-04-13T00:00:00-07:00 E7-7008 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-7008.pdf https://regulations.justia.com/regulations/fedreg/2007/04/13/E7-7007.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Equity Option and Index Option Floor Brokerage Assessment 2007-04-13T00:00:00-07:00 2007-04-13T00:00:00-07:00 E7-7007 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-7007.pdf https://regulations.justia.com/regulations/fedreg/2007/04/13/E7-7006.html Notice - Proposed Collection; Comment Request 2007-04-13T00:00:00-07:00 2007-04-13T00:00:00-07:00 E7-7006 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-7006.pdf https://regulations.justia.com/regulations/fedreg/2007/04/13/E7-6963.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits 2007-04-13T00:00:00-07:00 2007-04-13T00:00:00-07:00 E7-6963 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-6963.pdf https://regulations.justia.com/regulations/fedreg/2007/04/13/E7-6962.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rules 13 (“Definitions of Orders”) and 17 (“Use of Exchange Facilities”) 2007-04-13T00:00:00-07:00 2007-04-13T00:00:00-07:00 E7-6962 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-6962.pdf https://regulations.justia.com/regulations/fedreg/2007/04/13/E7-6961.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Access to the Exchange by Sponsored Customers 2007-04-13T00:00:00-07:00 2007-04-13T00:00:00-07:00 E7-6961 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-6961.pdf https://regulations.justia.com/regulations/fedreg/2007/04/13/E7-6960.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amex Book Clerks 2007-04-13T00:00:00-07:00 2007-04-13T00:00:00-07:00 E7-6960 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-6960.pdf https://regulations.justia.com/regulations/fedreg/2007/04/13/E7-6959.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Fees for Transactions in Listed and Nasdaq Securities Priced Less Than One Dollar 2007-04-13T00:00:00-07:00 2007-04-13T00:00:00-07:00 E7-6959 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-6959.pdf https://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6935.html Notice - Self-Regulatory Organizations; New York Stock Exchange Inc. (n/k/a New York Stock Exchange LLC); Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change Relating to Amendments to Exchange Rule 611, “Disqualification or Other Disability of Arbitrators” 2007-04-12T00:00:00-07:00 2007-04-12T00:00:00-07:00 E7-6935 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6935.pdf https://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6897.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed Rule Change as Modified by Amendment No. 1 Thereto To List and Trade Four iShares® GS® Commodity Indexed Trusts 2007-04-12T00:00:00-07:00 2007-04-12T00:00:00-07:00 E7-6897 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6897.pdf https://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6894.html Notice - Proposed Collection; Comment Request 2007-04-12T00:00:00-07:00 2007-04-12T00:00:00-07:00 E7-6894 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6894.pdf https://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6893.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change to Extend the Late Trading Session and to Permit Only the Execution of Cross Orders During That Session 2007-04-12T00:00:00-07:00 2007-04-12T00:00:00-07:00 E7-6893 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6893.pdf https://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6892.html Notice - Proposed Collection; Comment Request 2007-04-12T00:00:00-07:00 2007-04-12T00:00:00-07:00 E7-6892 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6892.pdf https://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6891.html Notice - Forward Funds, et al.; Notice of Application 2007-04-12T00:00:00-07:00 2007-04-12T00:00:00-07:00 E7-6891 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6891.pdf https://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6879.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Nasdaq Market Center Fees 2007-04-12T00:00:00-07:00 2007-04-12T00:00:00-07:00 E7-6879 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6879.pdf https://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6878.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Ratio Spreads 2007-04-12T00:00:00-07:00 2007-04-12T00:00:00-07:00 E7-6878 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6878.pdf https://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6870.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Customer Orders on the Book 2007-04-12T00:00:00-07:00 2007-04-12T00:00:00-07:00 E7-6870 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6870.pdf https://regulations.justia.com/regulations/fedreg/2007/04/11/E7-6867.html Notice - Jefferson National Life Insurance Company, et al. 2007-04-11T00:00:00-07:00 2007-04-11T00:00:00-07:00 E7-6867 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-11/pdf/E7-6867.pdf https://regulations.justia.com/regulations/fedreg/2007/04/11/E7-6852.html Notice - MetLife Insurance Company of Connecticut, et al. 2007-04-11T00:00:00-07:00 2007-04-11T00:00:00-07:00 E7-6852 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-11/pdf/E7-6852.pdf https://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6710.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Arca Rule 7.20 and 7.31 2007-04-10T00:00:00-07:00 2007-04-10T00:00:00-07:00 E7-6710 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6710.pdf https://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6709.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Rate-Modified Cash-Settled Foreign Currency Options 2007-04-10T00:00:00-07:00 2007-04-10T00:00:00-07:00 E7-6709 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6709.pdf https://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6675.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 2007-04-10T00:00:00-07:00 2007-04-10T00:00:00-07:00 E7-6675 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6675.pdf https://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6674.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 2007-04-10T00:00:00-07:00 2007-04-10T00:00:00-07:00 E7-6674 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6674.pdf https://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6673.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Section 802.01C of the Listed Company Manual, Clarifying That the Exchange Uses the Closing Price Reported on the Consolidated Tape To Determine Compliance With Its Price Test 2007-04-10T00:00:00-07:00 2007-04-10T00:00:00-07:00 E7-6673 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6673.pdf https://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6672.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2007-04-10T00:00:00-07:00 2007-04-10T00:00:00-07:00 E7-6672 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6672.pdf https://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6671.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Amend CBOE's Membership Application Procedures To Incorporate Individuals Who Are Acting in an Exchange Trading Floor Capacity 2007-04-10T00:00:00-07:00 2007-04-10T00:00:00-07:00 E7-6671 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6671.pdf https://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6670.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove References to Intermarket Trading System (“ITS”) Plan 2007-04-10T00:00:00-07:00 2007-04-10T00:00:00-07:00 E7-6670 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6670.pdf https://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6669.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to the Amended and Restated Certificate of Incorporation of NYSE Euronext 2007-04-10T00:00:00-07:00 2007-04-10T00:00:00-07:00 E7-6669 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6669.pdf https://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6668.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Rate-Modified Foreign Currency Options 2007-04-10T00:00:00-07:00 2007-04-10T00:00:00-07:00 E7-6668 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6668.pdf https://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6655.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Amendment No. 2 to and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto Relating to Foreign Currency Options 2007-04-10T00:00:00-07:00 2007-04-10T00:00:00-07:00 E7-6655 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6655.pdf https://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6496.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, Relating to Options Exchange Officials 2007-04-06T00:00:00-07:00 2007-04-06T00:00:00-07:00 E7-6496 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6496.pdf https://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6495.html Notice - Proposed Collections; Comment Request 2007-04-06T00:00:00-07:00 2007-04-06T00:00:00-07:00 E7-6495 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6495.pdf https://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6494.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to the Amended and Restated Certificate of Incorporation of NYSE Euronext 2007-04-06T00:00:00-07:00 2007-04-06T00:00:00-07:00 E7-6494 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6494.pdf https://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6493.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Portfolio Margining of Customer Securities 2007-04-06T00:00:00-07:00 2007-04-06T00:00:00-07:00 E7-6493 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6493.pdf https://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6492.html Notice - Proposed Collection; Comment Request 2007-04-06T00:00:00-07:00 2007-04-06T00:00:00-07:00 E7-6492 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6492.pdf https://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6491.html Notice - Proposed Collection; Comment Request 2007-04-06T00:00:00-07:00 2007-04-06T00:00:00-07:00 E7-6491 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6491.pdf https://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6392.html Notice - First Trust Exchange-Traded Fund, et al.; Notice of Application 2007-04-06T00:00:00-07:00 2007-04-06T00:00:00-07:00 E7-6392 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6392.pdf https://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6378.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Automated Opening System 2007-04-05T00:00:00-07:00 2007-04-05T00:00:00-07:00 E7-6378 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6378.pdf https://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6377.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change Relating to the Facilitation Mechanism 2007-04-05T00:00:00-07:00 2007-04-05T00:00:00-07:00 E7-6377 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6377.pdf https://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6376.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change as Modified by Amendments No. 1 and 2 Thereto Relating to Rule 18 (Compensation in Relation to System Failure) 2007-04-05T00:00:00-07:00 2007-04-05T00:00:00-07:00 E7-6376 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6376.pdf https://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6375.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Phlx Rule 607 and the XLE Fee Schedule 2007-04-05T00:00:00-07:00 2007-04-05T00:00:00-07:00 E7-6375 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6375.pdf https://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6374.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To Amend the CHX Fee Schedule on a Retroactive Basis To Clarify the Application of a Credit Against Specialist Fixed Fees 2007-04-05T00:00:00-07:00 2007-04-05T00:00:00-07:00 E7-6374 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6374.pdf https://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6373.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2007-04-05T00:00:00-07:00 2007-04-05T00:00:00-07:00 E7-6373 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6373.pdf https://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6372.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Waive Certain Listing Fees for Dually-Listed Issuers Who Delist During 2007 2007-04-05T00:00:00-07:00 2007-04-05T00:00:00-07:00 E7-6372 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6372.pdf https://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6371.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 2007-04-05T00:00:00-07:00 2007-04-05T00:00:00-07:00 E7-6371 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6371.pdf https://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6311.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 Related to Exchange Rule 325 (Capital Requirements for Member Organizations) and Rule 326 (Growth Capital Requirement, Business Reduction Capital Requirement, Unsecured Loans and Advances) 2007-04-05T00:00:00-07:00 2007-04-05T00:00:00-07:00 E7-6311 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6311.pdf https://regulations.justia.com/regulations/fedreg/2007/04/05/E7-5947.html Rule - Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 2007-04-05T00:00:00-07:00 2007-04-05T00:00:00-07:00 E7-5947 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-5947.pdf https://regulations.justia.com/regulations/fedreg/2007/04/05/C7-1476.html Proposed Rule - Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act 2007-04-05T00:00:00-07:00 2007-04-05T00:00:00-07:00 C7-1476 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/C7-1476.pdf https://regulations.justia.com/regulations/fedreg/2007/04/04/E7-6335.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to Trading Three-Character Symbols 2007-04-04T00:00:00-07:00 2007-04-04T00:00:00-07:00 E7-6335 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-04/pdf/E7-6335.pdf https://regulations.justia.com/regulations/fedreg/2007/04/04/E7-6218.html Notice - Proposed Collection; Comment Request 2007-04-04T00:00:00-07:00 2007-04-04T00:00:00-07:00 E7-6218 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-04/pdf/E7-6218.pdf https://regulations.justia.com/regulations/fedreg/2007/04/04/E7-6200.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Relating to Options Based on Commodity Pool ETFs 2007-04-04T00:00:00-07:00 2007-04-04T00:00:00-07:00 E7-6200 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-04/pdf/E7-6200.pdf https://regulations.justia.com/regulations/fedreg/2007/04/04/E7-6189.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 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 Index SM 2007-04-04T00:00:00-07:00 2007-04-04T00:00:00-07:00 E7-6189 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-04/pdf/E7-6189.pdf https://regulations.justia.com/regulations/fedreg/2007/04/04/E7-6179.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 2 Thereto To Amend Rule 4611 Relating to Sponsored Access 2007-04-04T00:00:00-07:00 2007-04-04T00:00:00-07:00 E7-6179 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-04/pdf/E7-6179.pdf https://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6127.html Notice - Proposed Collection; Comment Request 2007-04-03T00:00:00-07:00 2007-04-03T00:00:00-07:00 E7-6127 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6127.pdf https://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6126.html Notice - Proposed Collection; Comment Request 2007-04-03T00:00:00-07:00 2007-04-03T00:00:00-07:00 E7-6126 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6126.pdf https://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6125.html Notice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NASD Rule 7000 Series To Delete References To Systems and Services That Will No Longer Be Provided by NASD 2007-04-03T00:00:00-07:00 2007-04-03T00:00:00-07:00 E7-6125 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6125.pdf https://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6124.html Notice - Sunshine Act Meeting 2007-04-03T00:00:00-07:00 2007-04-03T00:00:00-07:00 E7-6124 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6124.pdf https://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6085.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval To a Proposed Rule Change to Amend Existing Rules for Investment Company Units To Eliminate Requirement Regarding Index Weighting and Calculation Methodology 2007-04-03T00:00:00-07:00 2007-04-03T00:00:00-07:00 E7-6085 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6085.pdf https://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6084.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Accelerated Approval to a Proposed Rule Change as Modified by Amendment No. 1 To Amend Section 703.16 of the NYSE Listed Company Manual To Eliminate Requirement Regarding Index Weighting and Calculation Methodology 2007-04-03T00:00:00-07:00 2007-04-03T00:00:00-07:00 E7-6084 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6084.pdf https://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6083.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change Revising Existing Rules for Portfolio Depositary Receipts and Index Fund Shares 2007-04-03T00:00:00-07:00 2007-04-03T00:00:00-07:00 E7-6083 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6083.pdf https://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6082.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 60 To Allow the Exchange To Identify Its Quotation as Slow Non-Firm During the Manual Reporting of a Block-Sized Transaction 2007-04-03T00:00:00-07:00 2007-04-03T00:00:00-07:00 E7-6082 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6082.pdf https://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6081.html Notice - Silas Partners I, LLC et al.; Notice of Application 2007-04-03T00:00:00-07:00 2007-04-03T00:00:00-07:00 E7-6081 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6081.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5989.html Notice - Self-Regulatory Organization; National Futures Association; Notice of Filing and Immediate Effectiveness of a Proposed Amendment Relating to NFA Compliance Rule 2-10 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5989 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5989.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5988.html 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 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5988 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5988.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5987.html 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 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5987 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5987.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5986.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 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5986 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5986.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5985.html 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 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5985 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5985.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5984.html 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 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5984 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5984.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5983.html 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 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5983 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5983.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5982.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Exchange Rules Regarding Specialist Commissions 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5982 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5982.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5981.html 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. 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5981 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5981.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5980.html 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 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5980 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5980.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5979.html 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 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5979 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5979.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5967.html 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 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5967 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5967.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5966.html 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 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5966 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5966.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5965.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) 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5965 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5965.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5964.html 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 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5964 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5964.pdf https://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5963.html 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 2007-04-02T00:00:00-07:00 2007-04-02T00:00:00-07:00 E7-5963 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5963.pdf