Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/05/31?limit=200&registers=between&mode=atom 2024-04-26T21:35:20-07:00 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/2007/05/31/E7-10405.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Order Audit Trail System 2007-05-31T00:00:00-07:00 2007-05-31T00:00:00-07:00 E7-10405 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10405.pdf https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10404.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 92 (Limitations on Members' Trading Because of Customers' Orders) 2007-05-31T00:00:00-07:00 2007-05-31T00:00:00-07:00 E7-10404 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10404.pdf https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10403.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Creating NASD Rule 1160 (Firm Contact Information) Regarding the Reporting and Annual Review of Designated Contact Information to NASD 2007-05-31T00:00:00-07:00 2007-05-31T00:00:00-07:00 E7-10403 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10403.pdf https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10378.html Notice - Proposed Collection; Comment Request 2007-05-31T00:00:00-07:00 2007-05-31T00:00:00-07:00 E7-10378 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10378.pdf https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10377.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Liquidity Provider Rebate Program for Transactions Executed Through NSX BLADE in Which the Order Delivery Mode of Interaction Has Been Selected 2007-05-31T00:00:00-07:00 2007-05-31T00:00:00-07:00 E7-10377 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10377.pdf https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10376.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Extension of a Pilot Concerning the Exchange's Directed Order Program 2007-05-31T00:00:00-07:00 2007-05-31T00:00:00-07:00 E7-10376 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10376.pdf https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10375.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Approving Proposed Rule Change Regarding the Annual Certification of Compliance and Supervisory Processes 2007-05-31T00:00:00-07:00 2007-05-31T00:00:00-07:00 E7-10375 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10375.pdf https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10374.html Notice - Proposed Collection; Comment Request 2007-05-31T00:00:00-07:00 2007-05-31T00:00:00-07:00 E7-10374 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10374.pdf https://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10364.html Notice - First Investors Equity Funds, et al.; Notice of Application 2007-05-31T00:00:00-07:00 2007-05-31T00:00:00-07:00 E7-10364 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10364.pdf