Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/05/31?limit=200®isters=between&mode=atom2024-10-07T10:50:37-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10405.htmlNotice - 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 System2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10405Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10405.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10404.htmlNotice - 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)2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10404Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10404.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10403.htmlNotice - 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 NASD2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10403Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10403.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10378.htmlNotice - Proposed Collection; Comment Request2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10378Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10378.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10377.htmlNotice - 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 Selected2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10377Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10377.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10376.htmlNotice - 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 Program2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10376.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10375.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Approving Proposed Rule Change Regarding the Annual Certification of Compliance and Supervisory Processes2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10375.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10374.htmlNotice - Proposed Collection; Comment Request2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10374Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10374.pdfhttps://regulations.justia.com/regulations/fedreg/2007/05/31/E7-10364.htmlNotice - First Investors Equity Funds, et al.; Notice of Application2007-05-31T00:00:00-07:002007-05-31T00:00:00-07:00E7-10364Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-05-31/pdf/E7-10364.pdf