Securities and Exchange Commission August 2007 – Federal Register Recent Federal Regulation Documents

Results 1 - 50 of 197
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Expand the Trading Hours of Certain Exchange-Traded Funds
Document Number: E7-17376
Type: Notice
Date: 2007-08-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17376.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Options on the iShares Emerging Markets Index Fund for a Six Month Pilot Program
Document Number: E7-17355
Type: Notice
Date: 2007-08-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17355.html
Self-Regulatory Organizations; American Stock Exchange, LLC; Notice of Filing of Proposed Rule Change Modifying the Options Listing Criteria for Underlying Securities
Document Number: E7-17354
Type: Notice
Date: 2007-08-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17354.html
Self-Regulatory Organizations; American Stock Exchange, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Fee on a Listed Company That Changes Its Corporate Name or Ticker Symbol
Document Number: E7-17353
Type: Notice
Date: 2007-08-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17353.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Fill-or-Kill Order Type
Document Number: E7-17274
Type: Notice
Date: 2007-08-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17274.html
Self-Regulatory Organizations; American Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Process for the Waiver, Deferral, or Rebate of Initial Listing Fees for Certain Securities That Transfer From Another National Securities Exchange
Document Number: E7-17272
Type: Notice
Date: 2007-08-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17272.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rules 4632C, 6130C and 6130
Document Number: E7-17271
Type: Notice
Date: 2007-08-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17271.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of Its Rules in Light of Amendments to SEC Rule 10a-1 and Regulation SHO
Document Number: E7-17228
Type: Notice
Date: 2007-08-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17228.html
Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Certain Companies to Notify Nasdaq About Any Quarterly Change in the Number of Outstanding Shares
Document Number: E7-17175
Type: Notice
Date: 2007-08-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17175.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1 and 2, To Allow the Use of a Company's Web Site To Distribute an Annual Report and Meet Other Nasdaq Listing Requirements
Document Number: E7-17174
Type: Notice
Date: 2007-08-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17174.html
Sunshine Act Meeting
Document Number: E7-17167
Type: Notice
Date: 2007-08-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17167.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rule 7002B To Establish Fees for the Transfer of Transaction Fees Through the NASD/Nasdaq Trade Reporting Facility
Document Number: E7-17166
Type: Notice
Date: 2007-08-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17166.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Related to FLEX Options Trading
Document Number: E7-17165
Type: Notice
Date: 2007-08-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17165.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE's Rules Related to Credit Default Basket Options
Document Number: E7-17163
Type: Notice
Date: 2007-08-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17163.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to ISEE Select Market Data Fees
Document Number: E7-17162
Type: Notice
Date: 2007-08-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17162.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to an Extension of the Options Penny Quoting Pilot Program
Document Number: E7-17082
Type: Notice
Date: 2007-08-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17082.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to an Extension of the Penny Pilot Program
Document Number: E7-17081
Type: Notice
Date: 2007-08-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17081.html
Consolidated Tape Association; Order Approving the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan
Document Number: E7-17080
Type: Notice
Date: 2007-08-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17080.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Amend its Rule Regarding the Hybrid Opening System Opening Rotations
Document Number: E7-17079
Type: Notice
Date: 2007-08-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17079.html
Proposed Collection; Comment Request
Document Number: E7-17078
Type: Notice
Date: 2007-08-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17078.html
Proposed Collection; Comment Request
Document Number: E7-17077
Type: Notice
Date: 2007-08-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17077.html
Allianz RCM Global EcoTrends Fund, et al.
Document Number: E7-17076
Type: Notice
Date: 2007-08-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17076.html
Hartford Life Insurance Company, et al.; Notice of Application
Document Number: E7-16959
Type: Notice
Date: 2007-08-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants request an order of the Commission pursuant to section 11(a) of the Act approving the terms of the proposed offers of exchange described in this application. Applicants propose to make the following exchange offers: (1) Group variable annuity contracts issued by Hartford Life offering interests in Account Eleven (the ``New Contracts'') for certain group variable annuity contracts issued by Hartford Life (the ``Modified Old Contracts'') offering interests in both Account DC-I and Account Two as well as certain other separate accounts not registered as investment companies under the Act; (2) interests in Account DC-I and Account Two, as originally offered to contract owners, (``Original Old Contracts'') for interests in the Unregistered DC Accounts under Modified Old Contracts; (3) New Contracts for certain group variable annuity contracts issued by Hartford Life (``457 Contracts'') offering interests in Hartford Life Insurance Company Separate Account 457 (``Account 457''); and (4) Original Old Contracts offering interests in Account DC-I and Account Two for 457 Contracts offering interests in Account 457.
https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16959.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Resume Interbank Clearing for the General Collateral Finance Repo Service
Document Number: E7-16958
Type: Notice
Date: 2007-08-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16958.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Relating to Conforming Amendments Involving the Deletion of Rule 10a-1 Under the Securities Exchange Act of 1934
Document Number: E7-16957
Type: Notice
Date: 2007-08-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16957.html
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges
Document Number: E7-16956
Type: Notice
Date: 2007-08-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16956.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Proposed Rule Change To Amend the Minimum Price-Improvement Standards Set Forth in NASD IM 2110-2, Trading Ahead of Customer Limit Order
Document Number: E7-16955
Type: Notice
Date: 2007-08-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16955.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Fees for the Entry of Mid-Point Passive Liquidity or Primary Sweep Orders
Document Number: E7-16908
Type: Notice
Date: 2007-08-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16908.html
Submission for OMB Review; Comment Request
Document Number: E7-16880
Type: Notice
Date: 2007-08-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16880.html
Self-Regulatory Organization; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Provide Additional Transparency To How Nasdaq Applies Its Public Interest Authority
Document Number: E7-16879
Type: Notice
Date: 2007-08-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16879.html
Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to Credit Default Basket Options
Document Number: E7-16839
Type: Notice
Date: 2007-08-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16839.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Modify Provisions Relating to Cross With Yield Orders
Document Number: E7-16838
Type: Notice
Date: 2007-08-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16838.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adjust the Earnings of Companies for Purposes of its Earnings Standard by Reversing the Income Statement Effects of Changes in Fair Value of Financial Instruments Extinguished at the Time of Listing on a Six Month Pilot Basis
Document Number: E7-16837
Type: Notice
Date: 2007-08-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16837.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to the Exchange's Marketing Fee Program
Document Number: E7-16836
Type: Notice
Date: 2007-08-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16836.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto To Codify Pre-Existing Practices and To Amend and Supplement Rule 24.9
Document Number: E7-16833
Type: Notice
Date: 2007-08-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16833.html
In the Matter of Environmental Safeguards, Inc., Garden Botanika, Inc., Northwestern Steel & Wire Co., Paul Harris Stores, Inc., Ultra Motorcycle Co., UStel, Inc., and Yarc Systems Corp.; Order of Suspension of Trading
Document Number: 07-4200
Type: Notice
Date: 2007-08-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/27/07-4200.html
Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information
Document Number: Z7-13738
Type: Rule
Date: 2007-08-24
Agency: Internal Revenue Service, Department of Treasury, Department of the Treasury, Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/24/Z7-13738.html
Discussion Paper for Consideration by the SEC Advisory Committee on Improvements to Financial Reporting
Document Number: E7-16772
Type: Notice
Date: 2007-08-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Advisory Committee is soliciting public comment on a discussion paper prepared by the Committee Chairman, Robert Pozen. The discussion paper provides a working outline, including a discussion of issues, views and potential consideration points that the Committee may evaluate.
https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16772.html
American International Group, Inc., et al.; Temporary Order and Notice of Application
Document Number: E7-16763
Type: Notice
Date: 2007-08-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to an injunction entered against American International Group, Inc. (``AIG'') on February 17, 2006 by the United States District Court for the Southern District of New York (``Injunction''), from August 20, 2007, until the Commission takes final action on an application for a permanent order. Applicants also have applied for a permanent order. Applicants: AIG, AIG Annuity Life Insurance Corporation (``AIG Annuity''), AIG Annuity Insurance Company (``AIG Annuity''), AIG Equity Sales Corp. (``AIG Equity''), AIG Global Investment Corp. (``AIGGIC''), AIG Life Insurance Company (``AIG Life''), AIG SunAmerica Asset Management Corp. (``SunAmerica Asset Management''), AIG SunAmerica Capital Services, Inc. (``SunAmerica Capital''), AIG SunAmerica Life Assurance Company (``ASLAC''), American General Distributors, Inc. (``AM Distributors''), American General Equity Services Corp. (''AM Equity''), American General Life Insurance Company (``AM Life''), American International Life Assurance Company of New York (``AILAC''), Brazos Capital Management, L.P. (``Brazos''), First SunAmerica Life Insurance Company (``First SunAmerica''), The United States Life Insurance Company in the City of New York (``US Life''), and The Variable Annuity Life Insurance Company (``VALIC'') (collectively, ``Applicants'').\1\
https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16763.html
Investment Company Act of 1940; In the Matter of Healthshares, Inc., Xshares Advisors LLC (Formerly, X-Shares Advisors, LLC), XShares Group LLC (Formerly, Ferghana-Wellspring, LLC) and TDAX Funds, Inc.; 420 Lexington Avenue, Suite 2550, New York, NY 10170 (812-13358)
Document Number: E7-16762
Type: Notice
Date: 2007-08-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16762.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 3013 and Accompanying Interpretive Material 3013
Document Number: E7-16761
Type: Notice
Date: 2007-08-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16761.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the Extension and Expansion of a Pilot Program To Quote and Trade Certain Option Series in Increments of $0.01
Document Number: E7-16760
Type: Notice
Date: 2007-08-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16760.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to NYSE Arca Rule 6.72 and the Penny Pilot for Options Trading
Document Number: E7-16759
Type: Notice
Date: 2007-08-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16759.html
Self-Regulatory Organizations: National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Certain Rules in Light of Amendments to SEC Rule 10a-1 and Regulation SHO
Document Number: E7-16758
Type: Notice
Date: 2007-08-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16758.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Elimination of the Short Sale “tick” and Price Tests
Document Number: E7-16757
Type: Notice
Date: 2007-08-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16757.html
Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend Its Bylaws To Prevent Exchange Director From Participating in the Determination of Any Matter Involving an Issuer of a Security Listed or To Be Listed on the Exchange if the Director Is a Director, Officer, or Employee of the Issuer
Document Number: E7-16756
Type: Notice
Date: 2007-08-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16756.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Market Access Providers
Document Number: E7-16755
Type: Notice
Date: 2007-08-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16755.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Sessions on XLE
Document Number: E7-16754
Type: Notice
Date: 2007-08-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16754.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Amend CBOE Rules relating to the Appointment Cost for Options on the Nasdaq-100 Index Tracking Stock
Document Number: E7-16753
Type: Notice
Date: 2007-08-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16753.html
Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change Relating to a Policy Statement on the Eligibility of Foreign Securities
Document Number: E7-16752
Type: Notice
Date: 2007-08-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16752.html
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