Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/08/01?limit=200&registers=between&mode=atom 2024-11-23T09:04:28-08:00 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/2007/08/01/E7-14877.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the National Association of Securities Dealers, Inc., New York Stock Exchange, LLC, and NYSE Regulation, Inc. 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14877 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14877.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14858.html Notice - Public Company Accounting Oversight Board; Order Approving Proposed Auditing Standard No. 5, An Audit of Internal Control Over Financial Reporting That Is Integrated With an Audit of Financial Statements, a Related Independence Rule, and Conforming Amendments 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14858 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14858.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14856.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Restated Certificate of Incorporation of National Association of Securities Dealers, Inc. 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14856 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14856.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14855.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Amend the By-Laws of NASD To Implement Governance and Related Changes To Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14855 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14855.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14854.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Incorporate Certain NYSE Rules Relating to Member Firm Conduct 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14854 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14854.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14853.html Notice - Self-Regulatory Organizations; New York Stock Exchange, LLC.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Harmonization of NYSE and NASD Regulatory Standards, the Updating of Certain NYSE Terminology, and the Reorganization and Clarification of Certain NYSE Rules in Connection With the Harmonization Process 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14853 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14853.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14845.html Notice - Submission for OMB Review; Comment Request 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14845 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14845.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14844.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to the Extension of a Pilot Program to Quote and Trade Options in Penny Increments 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14844 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14844.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14843.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Rule 106 (Specialists' Contact With Listed Companies and Member Organizations) 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14843 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14843.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14842.html Notice - Submission for OMB Review; Comment Request; Extension: Rule 302 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14842 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14842.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14841.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Institute a Pricing Incentive Program for Market Makers in Exchange-Traded Funds and Index-Linked Securities 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14841 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14841.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14840.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14840 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14840.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14839.html Notice - Consolidated Tape Association; Notice of Filing of the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14839 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14839.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14838.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change As Modified by Amendment No. 1 Relating to Exchange Fees and Charges 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14838 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14838.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14837.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 No. 1 Relating to an Extension of the Linkage Fee Pilot Program 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14837 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14837.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14836.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To List and Trade Currency Trust Shares 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14836 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14836.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14835.html Notice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the National Settlement Service 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14835 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14835.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14834.html Notice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of NASD Interpretive Material 2210-4, which Requires Certain Member Firms to Provide a Hyperlink to http://www.nasd.com. 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14834 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14834.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14833.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Existing Fee Schedules 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14833 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14833.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14832.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Linkage Fees 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14832 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14832.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14831.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Order Cancellation Fee 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14831 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14831.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14830.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the National Settlement Service 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14830 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14830.pdf https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14793.html Rule - Shareholder Choice Regarding Proxy Materials 2007-08-01T00:00:00-07:00 2007-08-01T00:00:00-07:00 E7-14793 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14793.pdf