Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/04?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-18T05:26:38-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2007/04/27/E7-8097.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Regarding the Amendment of NYSE Rule 300 Relating to Trading Licenses2007-04-27T00:00:00-07:002007-04-27T00:00:00-07:00E7-8097Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-27/pdf/E7-8097.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/27/E7-8084.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Member Application Processing Fee Changes2007-04-27T00:00:00-07:002007-04-27T00:00:00-07:00E7-8084Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-27/pdf/E7-8084.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/27/E7-8083.htmlNotice - Submission for OMB Review; Comment Request2007-04-27T00:00:00-07:002007-04-27T00:00:00-07:00E7-8083Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-27/pdf/E7-8083.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/27/E7-8056.htmlNotice - 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Change Amending Certain Exchange Rules, or Portions Thereof, Which Have Been Determined by the Exchange to Be Obsolete, Outdated and/or Unnecessary2007-04-27T00:00:00-07:002007-04-27T00:00:00-07:00E7-8056Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-27/pdf/E7-8056.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/27/E7-8055.htmlNotice - 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 Treated2007-04-27T00:00:00-07:002007-04-27T00:00:00-07:00E7-8055Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-27/pdf/E7-8055.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/27/E7-8054.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Choice of Law and Forum Selection2007-04-27T00:00:00-07:002007-04-27T00:00:00-07:00E7-8054Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-27/pdf/E7-8054.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/26/E7-7956.htmlNotice - 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 ETF2007-04-26T00:00:00-07:002007-04-26T00:00:00-07:00E7-7956Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-26/pdf/E7-7956.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/26/E7-7953.htmlNotice - 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, Inc2007-04-26T00:00:00-07:002007-04-26T00:00:00-07:00E7-7953Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-26/pdf/E7-7953.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/26/E7-7939.htmlNotice - 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. 12007-04-26T00:00:00-07:002007-04-26T00:00:00-07:00E7-7939Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-26/pdf/E7-7939.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/26/07-2074.htmlNotice - In the Matter of Internetstudios.com, Inc., and World Cyberlinks Corp. File No. 500-1; Order of Suspension of Trading2007-04-26T00:00:00-07:002007-04-26T00:00:00-07:0007-2074Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-26/pdf/07-2074.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/25/E7-7838.htmlNotice - 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 Filings2007-04-25T00:00:00-07:002007-04-25T00:00:00-07:00E7-7838Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-25/pdf/E7-7838.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/25/E7-7837.htmlNotice - 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 Limits2007-04-25T00:00:00-07:002007-04-25T00:00:00-07:00E7-7837Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-25/pdf/E7-7837.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/25/E7-7836.htmlNotice - 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”)2007-04-25T00:00:00-07:002007-04-25T00:00:00-07:00E7-7836Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-25/pdf/E7-7836.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/25/E7-7835.htmlNotice - Sunshine Act Meeting2007-04-25T00:00:00-07:002007-04-25T00:00:00-07:00E7-7835Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-25/pdf/E7-7835.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/24/E7-7746.htmlRule - Technical Amendments to Form BD and Form BDW2007-04-24T00:00:00-07:002007-04-24T00:00:00-07:00E7-7746Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-24/pdf/E7-7746.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/24/E7-7729.htmlNotice - 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 Requirements2007-04-24T00:00:00-07:002007-04-24T00:00:00-07:00E7-7729Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-24/pdf/E7-7729.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/24/E7-7713.htmlRule - Covered Securities Pursuant to Section 18 of the Securities Act of 19332007-04-24T00:00:00-07:002007-04-24T00:00:00-07:00E7-7713Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-24/pdf/E7-7713.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/24/E7-7712.htmlNotice - 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)2007-04-24T00:00:00-07:002007-04-24T00:00:00-07:00E7-7712Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-24/pdf/E7-7712.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/24/E7-7711.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Buy-In Rules2007-04-24T00:00:00-07:002007-04-24T00:00:00-07:00E7-7711Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-24/pdf/E7-7711.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/24/E7-7710.htmlNotice - Submission of OMB Review; Comment Request2007-04-24T00:00:00-07:002007-04-24T00:00:00-07:00E7-7710Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-24/pdf/E7-7710.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/23/E7-7688.htmlNotice - Submission for OMB Review; Comment Request2007-04-23T00:00:00-07:002007-04-23T00:00:00-07:00E7-7688Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-23/pdf/E7-7688.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/23/E7-7611.htmlNotice - 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 Securities2007-04-23T00:00:00-07:002007-04-23T00:00:00-07:00E7-7611Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-23/pdf/E7-7611.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7554.htmlNotice - 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 Classes2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7554Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7554.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7553.htmlNotice - 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 Reopenings2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7553.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7552.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Existing BeX Fee Schedule2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7552.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7495.htmlNotice - Submission for OMB Review; Comment Request2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7495.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7494.htmlNotice - 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 Units2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7494Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7494.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7493.htmlNotice - 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 Functionalities2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7493Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7493.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7492.htmlNotice - 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 Behavior2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7492Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7492.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7491.htmlNotice - Submission for OMB Review; Comment Request2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7491Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7491.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7490.htmlNotice - Submission for OMB Review; Comment Request2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7490Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7490.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7489.htmlNotice - 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 ETFs2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7489Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7489.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7488.htmlNotice - Proposed Collection; Comment Request2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7488Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7488.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7487.htmlNotice - 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 Rulings2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7487Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7487.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7486.htmlNotice - 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, LP2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7486Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7486.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/20/E7-7485.htmlNotice - 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 Center2007-04-20T00:00:00-07:002007-04-20T00:00:00-07:00E7-7485Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-20/pdf/E7-7485.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/19/Z7-6870.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Customer Orders on the Book2007-04-19T00:00:00-07:002007-04-19T00:00:00-07:00Z7-6870Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-19/pdf/Z7-6870.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/19/E7-7428.htmlNotice - 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 Processes2007-04-19T00:00:00-07:002007-04-19T00:00:00-07:00E7-7428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-19/pdf/E7-7428.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/19/E7-7422.htmlNotice - 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 BLADE2007-04-19T00:00:00-07:002007-04-19T00:00:00-07:00E7-7422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-19/pdf/E7-7422.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/19/E7-7421.htmlNotice - Proposed Collection; Comment Request2007-04-19T00:00:00-07:002007-04-19T00:00:00-07:00E7-7421Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-19/pdf/E7-7421.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/19/C7-1727.htmlNotice - Notice Pursuant to the National Cooperative Research and Production Act of 1993-LiMo Foundation2007-04-19T00:00:00-07:002007-04-19T00:00:00-07:00C7-1727Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-19/pdf/C7-1727.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7330.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Distributor Fee for Nasdaq Index Weighting Information2007-04-18T00:00:00-07:002007-04-18T00:00:00-07:00E7-7330Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7330.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7324.htmlNotice - 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 Securities2007-04-18T00:00:00-07:002007-04-18T00:00:00-07:00E7-7324Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7324.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7323.htmlNotice - 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)2007-04-18T00:00:00-07:002007-04-18T00:00:00-07:00E7-7323Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7323.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7322.htmlNotice - 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 Requests2007-04-18T00:00:00-07:002007-04-18T00:00:00-07:00E7-7322Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7322.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7321.htmlNotice - 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.2007-04-18T00:00:00-07:002007-04-18T00:00:00-07:00E7-7321Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7321.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7320.htmlNotice - 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 Center2007-04-18T00:00:00-07:002007-04-18T00:00:00-07:00E7-7320Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7320.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7319.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Augment the TotalView Enterprise License2007-04-18T00:00:00-07:002007-04-18T00:00:00-07:00E7-7319Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7319.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7318.htmlNotice - 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 Center2007-04-18T00:00:00-07:002007-04-18T00:00:00-07:00E7-7318Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7318.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7317.htmlNotice - 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 Center2007-04-18T00:00:00-07:002007-04-18T00:00:00-07:00E7-7317Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7317.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/18/E7-7316.htmlNotice - 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 Securities2007-04-18T00:00:00-07:002007-04-18T00:00:00-07:00E7-7316Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-18/pdf/E7-7316.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/17/E7-7282.htmlNotice - Sunshine Act Meeting2007-04-17T00:00:00-07:002007-04-17T00:00:00-07:00E7-7282Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-17/pdf/E7-7282.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/17/E7-7225.htmlNotice - 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 Plan2007-04-17T00:00:00-07:002007-04-17T00:00:00-07:00E7-7225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-17/pdf/E7-7225.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/17/E7-7224.htmlNotice - 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 410B2007-04-17T00:00:00-07:002007-04-17T00:00:00-07:00E7-7224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-17/pdf/E7-7224.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/17/E7-7223.htmlNotice - 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 Credits2007-04-17T00:00:00-07:002007-04-17T00:00:00-07:00E7-7223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-17/pdf/E7-7223.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/17/E7-7222.htmlNotice - 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 Procedure2007-04-17T00:00:00-07:002007-04-17T00:00:00-07:00E7-7222Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-17/pdf/E7-7222.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/17/07-1913.htmlNotice - In the Matter of Certain Companies Quoted on the Pink Sheets: Amerossi EC, Inc., Irwin Resources, Inc., Peopleline Telecom, Inc.; Order of Suspension of Trading2007-04-17T00:00:00-07:002007-04-17T00:00:00-07:0007-1913Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-17/pdf/07-1913.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/13/E7-7056.htmlNotice - 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 Securities2007-04-13T00:00:00-07:002007-04-13T00:00:00-07:00E7-7056Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-7056.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/13/E7-7055.htmlNotice - 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 Witnesses2007-04-13T00:00:00-07:002007-04-13T00:00:00-07:00E7-7055Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-7055.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/13/E7-7054.htmlNotice - 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 Basis2007-04-13T00:00:00-07:002007-04-13T00:00:00-07:00E7-7054Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-7054.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/13/E7-7008.htmlNotice - 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 Mediation2007-04-13T00:00:00-07:002007-04-13T00:00:00-07:00E7-7008Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-7008.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/13/E7-7007.htmlNotice - 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 Assessment2007-04-13T00:00:00-07:002007-04-13T00:00:00-07:00E7-7007Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-7007.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/13/E7-7006.htmlNotice - Proposed Collection; Comment Request2007-04-13T00:00:00-07:002007-04-13T00:00:00-07:00E7-7006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-7006.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/13/E7-6963.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits2007-04-13T00:00:00-07:002007-04-13T00:00:00-07:00E7-6963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-6963.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/13/E7-6962.htmlNotice - 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”)2007-04-13T00:00:00-07:002007-04-13T00:00:00-07:00E7-6962Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-6962.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/13/E7-6961.htmlNotice - 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 Customers2007-04-13T00:00:00-07:002007-04-13T00:00:00-07:00E7-6961Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-6961.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/13/E7-6960.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amex Book Clerks2007-04-13T00:00:00-07:002007-04-13T00:00:00-07:00E7-6960Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-6960.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/13/E7-6959.htmlNotice - 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 Dollar2007-04-13T00:00:00-07:002007-04-13T00:00:00-07:00E7-6959Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-13/pdf/E7-6959.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6935.htmlNotice - 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”2007-04-12T00:00:00-07:002007-04-12T00:00:00-07:00E7-6935Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6935.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6897.htmlNotice - 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 Trusts2007-04-12T00:00:00-07:002007-04-12T00:00:00-07:00E7-6897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6897.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6894.htmlNotice - Proposed Collection; Comment Request2007-04-12T00:00:00-07:002007-04-12T00:00:00-07:00E7-6894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6894.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6893.htmlNotice - 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 Session2007-04-12T00:00:00-07:002007-04-12T00:00:00-07:00E7-6893Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6893.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6892.htmlNotice - Proposed Collection; Comment Request2007-04-12T00:00:00-07:002007-04-12T00:00:00-07:00E7-6892Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6892.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6891.htmlNotice - Forward Funds, et al.; Notice of Application2007-04-12T00:00:00-07:002007-04-12T00:00:00-07:00E7-6891Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6891.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6879.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Nasdaq Market Center Fees2007-04-12T00:00:00-07:002007-04-12T00:00:00-07:00E7-6879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6879.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6878.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Ratio Spreads2007-04-12T00:00:00-07:002007-04-12T00:00:00-07:00E7-6878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6878.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/12/E7-6870.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to Customer Orders on the Book2007-04-12T00:00:00-07:002007-04-12T00:00:00-07:00E7-6870Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-12/pdf/E7-6870.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/11/E7-6867.htmlNotice - Jefferson National Life Insurance Company, et al.2007-04-11T00:00:00-07:002007-04-11T00:00:00-07:00E7-6867Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-11/pdf/E7-6867.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/11/E7-6852.htmlNotice - MetLife Insurance Company of Connecticut, et al.2007-04-11T00:00:00-07:002007-04-11T00:00:00-07:00E7-6852Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-11/pdf/E7-6852.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6710.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Arca Rule 7.20 and 7.312007-04-10T00:00:00-07:002007-04-10T00:00:00-07:00E7-6710Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6710.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6709.htmlNotice - 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 Options2007-04-10T00:00:00-07:002007-04-10T00:00:00-07:00E7-6709Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6709.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6675.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Arca Marketplace Trading Sessions2007-04-10T00:00:00-07:002007-04-10T00:00:00-07:00E7-6675Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6675.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6674.htmlNotice - 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 Center2007-04-10T00:00:00-07:002007-04-10T00:00:00-07:00E7-6674Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6674.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6673.htmlNotice - 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 Test2007-04-10T00:00:00-07:002007-04-10T00:00:00-07:00E7-6673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6673.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6672.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2007-04-10T00:00:00-07:002007-04-10T00:00:00-07:00E7-6672Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6672.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6671.htmlNotice - 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 Capacity2007-04-10T00:00:00-07:002007-04-10T00:00:00-07:00E7-6671Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6671.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6670.htmlNotice - 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”) Plan2007-04-10T00:00:00-07:002007-04-10T00:00:00-07:00E7-6670Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6670.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6669.htmlNotice - 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 Euronext2007-04-10T00:00:00-07:002007-04-10T00:00:00-07:00E7-6669Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6669.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6668.htmlNotice - 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 Options2007-04-10T00:00:00-07:002007-04-10T00:00:00-07:00E7-6668Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6668.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/10/E7-6655.htmlNotice - 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 Options2007-04-10T00:00:00-07:002007-04-10T00:00:00-07:00E7-6655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-10/pdf/E7-6655.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6496.htmlNotice - 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 Officials2007-04-06T00:00:00-07:002007-04-06T00:00:00-07:00E7-6496Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6496.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6495.htmlNotice - Proposed Collections; Comment Request2007-04-06T00:00:00-07:002007-04-06T00:00:00-07:00E7-6495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6495.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6494.htmlNotice - 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 Euronext2007-04-06T00:00:00-07:002007-04-06T00:00:00-07:00E7-6494Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6494.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6493.htmlNotice - 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 Securities2007-04-06T00:00:00-07:002007-04-06T00:00:00-07:00E7-6493Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6493.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6492.htmlNotice - Proposed Collection; Comment Request2007-04-06T00:00:00-07:002007-04-06T00:00:00-07:00E7-6492Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6492.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6491.htmlNotice - Proposed Collection; Comment Request2007-04-06T00:00:00-07:002007-04-06T00:00:00-07:00E7-6491Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6491.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/06/E7-6392.htmlNotice - First Trust Exchange-Traded Fund, et al.; Notice of Application2007-04-06T00:00:00-07:002007-04-06T00:00:00-07:00E7-6392Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-06/pdf/E7-6392.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6378.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Automated Opening System2007-04-05T00:00:00-07:002007-04-05T00:00:00-07:00E7-6378Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6378.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6377.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change Relating to the Facilitation Mechanism2007-04-05T00:00:00-07:002007-04-05T00:00:00-07:00E7-6377Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6377.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6376.htmlNotice - 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)2007-04-05T00:00:00-07:002007-04-05T00:00:00-07:00E7-6376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6376.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6375.htmlNotice - 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 Schedule2007-04-05T00:00:00-07:002007-04-05T00:00:00-07:00E7-6375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6375.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6374.htmlNotice - 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 Fees2007-04-05T00:00:00-07:002007-04-05T00:00:00-07:00E7-6374Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6374.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6373.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402007-04-05T00:00:00-07:002007-04-05T00:00:00-07:00E7-6373Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6373.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6372.htmlNotice - 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 20072007-04-05T00:00:00-07:002007-04-05T00:00:00-07:00E7-6372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6372.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6371.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an ISE Stock Exchange Fee Waiver2007-04-05T00:00:00-07:002007-04-05T00:00:00-07:00E7-6371Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6371.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/05/E7-6311.htmlNotice - 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)2007-04-05T00:00:00-07:002007-04-05T00:00:00-07:00E7-6311Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-6311.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/05/E7-5947.htmlRule - 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 19342007-04-05T00:00:00-07:002007-04-05T00:00:00-07:00E7-5947Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/E7-5947.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/05/C7-1476.htmlProposed Rule - Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act2007-04-05T00:00:00-07:002007-04-05T00:00:00-07:00C7-1476Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-05/pdf/C7-1476.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/04/E7-6335.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to Trading Three-Character Symbols2007-04-04T00:00:00-07:002007-04-04T00:00:00-07:00E7-6335Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-04/pdf/E7-6335.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/04/E7-6218.htmlNotice - Proposed Collection; Comment Request2007-04-04T00:00:00-07:002007-04-04T00:00:00-07:00E7-6218Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-04/pdf/E7-6218.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/04/E7-6200.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Relating to Options Based on Commodity Pool ETFs2007-04-04T00:00:00-07:002007-04-04T00:00:00-07:00E7-6200Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-04/pdf/E7-6200.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/04/E7-6189.htmlNotice - 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 SM2007-04-04T00:00:00-07:002007-04-04T00:00:00-07:00E7-6189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-04/pdf/E7-6189.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/04/E7-6179.htmlNotice - 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 Access2007-04-04T00:00:00-07:002007-04-04T00:00:00-07:00E7-6179Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-04/pdf/E7-6179.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6127.htmlNotice - Proposed Collection; Comment Request2007-04-03T00:00:00-07:002007-04-03T00:00:00-07:00E7-6127Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6127.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6126.htmlNotice - Proposed Collection; Comment Request2007-04-03T00:00:00-07:002007-04-03T00:00:00-07:00E7-6126Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6126.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6125.htmlNotice - 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 NASD2007-04-03T00:00:00-07:002007-04-03T00:00:00-07:00E7-6125Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6125.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6124.htmlNotice - Sunshine Act Meeting2007-04-03T00:00:00-07:002007-04-03T00:00:00-07:00E7-6124Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6124.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6085.htmlNotice - 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 Methodology2007-04-03T00:00:00-07:002007-04-03T00:00:00-07:00E7-6085Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6085.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6084.htmlNotice - 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 Methodology2007-04-03T00:00:00-07:002007-04-03T00:00:00-07:00E7-6084Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6084.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6083.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change Revising Existing Rules for Portfolio Depositary Receipts and Index Fund Shares2007-04-03T00:00:00-07:002007-04-03T00:00:00-07:00E7-6083Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6083.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6082.htmlNotice - 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 Transaction2007-04-03T00:00:00-07:002007-04-03T00:00:00-07:00E7-6082Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6082.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/03/E7-6081.htmlNotice - Silas Partners I, LLC et al.; Notice of Application2007-04-03T00:00:00-07:002007-04-03T00:00:00-07:00E7-6081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-03/pdf/E7-6081.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5989.htmlNotice - Self-Regulatory Organization; National Futures Association; Notice of Filing and Immediate Effectiveness of a Proposed Amendment Relating to NFA Compliance Rule 2-102007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5989Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5989.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5988.htmlNotice - 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 Share2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5988Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5988.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5987.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain Types of Orders on Ox2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5987Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5987.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5986.htmlNotice - 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 Fund2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5986Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5986.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5985.htmlNotice - 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 Program2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5985Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5985.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5984.htmlNotice - 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 Plans2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5984Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5984.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5983.htmlNotice - 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 Shares2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5983Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5983.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5982.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Exchange Rules Regarding Specialist Commissions2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5982Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5982.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5981.htmlNotice - 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.2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5981Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5981.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5980.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to Off-Floor DPMs2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5980.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5979.htmlNotice - 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 Facility2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5979Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5979.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5967.htmlNotice - 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 Orders2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5967Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5967.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5966.htmlNotice - 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 Symbols2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5966.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5965.htmlNotice - 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)2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5965.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5964.htmlNotice - 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 Rules2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5964.pdfhttps://regulations.justia.com/regulations/fedreg/2007/04/02/E7-5963.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Existing BeX Fee Schedule2007-04-02T00:00:00-07:002007-04-02T00:00:00-07:00E7-5963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-04-02/pdf/E7-5963.pdf