Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/08?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-17T23:24:36-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17376.htmlNotice - 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 Funds2007-08-31T00:00:00-07:002007-08-31T00:00:00-07:00E7-17376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17376.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17355.htmlNotice - 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 Program2007-08-31T00:00:00-07:002007-08-31T00:00:00-07:00E7-17355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17355.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17354.htmlNotice - Self-Regulatory Organizations; American Stock Exchange, LLC; Notice of Filing of Proposed Rule Change Modifying the Options Listing Criteria for Underlying Securities2007-08-31T00:00:00-07:002007-08-31T00:00:00-07:00E7-17354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17354.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17353.htmlNotice - 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 Symbol2007-08-31T00:00:00-07:002007-08-31T00:00:00-07:00E7-17353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17353.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17274.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Fill-or-Kill Order Type2007-08-31T00:00:00-07:002007-08-31T00:00:00-07:00E7-17274Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17274.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17272.htmlNotice - 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 Exchange2007-08-31T00:00:00-07:002007-08-31T00:00:00-07:00E7-17272Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17272.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17271.htmlNotice - 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 61302007-08-31T00:00:00-07:002007-08-31T00:00:00-07:00E7-17271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17271.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17228.htmlNotice - 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 SHO2007-08-31T00:00:00-07:002007-08-31T00:00:00-07:00E7-17228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17228.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17175.htmlNotice - 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 Shares2007-08-30T00:00:00-07:002007-08-30T00:00:00-07:00E7-17175Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17175.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17174.htmlNotice - 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 Requirements2007-08-30T00:00:00-07:002007-08-30T00:00:00-07:00E7-17174Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17174.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17167.htmlNotice - Sunshine Act Meeting2007-08-30T00:00:00-07:002007-08-30T00:00:00-07:00E7-17167Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17167.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17166.htmlNotice - 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 Facility2007-08-30T00:00:00-07:002007-08-30T00:00:00-07:00E7-17166Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17166.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17165.htmlNotice - 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 Trading2007-08-30T00:00:00-07:002007-08-30T00:00:00-07:00E7-17165Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17165.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17163.htmlNotice - 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 Options2007-08-30T00:00:00-07:002007-08-30T00:00:00-07:00E7-17163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17163.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17162.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to ISEE Select Market Data Fees2007-08-30T00:00:00-07:002007-08-30T00:00:00-07:00E7-17162Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17162.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17082.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to an Extension of the Options Penny Quoting Pilot Program2007-08-29T00:00:00-07:002007-08-29T00:00:00-07:00E7-17082Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17082.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17081.htmlNotice - 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 Program2007-08-29T00:00:00-07:002007-08-29T00:00:00-07:00E7-17081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17081.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17080.htmlNotice - Consolidated Tape Association; Order Approving the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan2007-08-29T00:00:00-07:002007-08-29T00:00:00-07:00E7-17080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17080.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17079.htmlNotice - 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 Rotations2007-08-29T00:00:00-07:002007-08-29T00:00:00-07:00E7-17079Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17079.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17078.htmlNotice - Proposed Collection; Comment Request2007-08-29T00:00:00-07:002007-08-29T00:00:00-07:00E7-17078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17078.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17077.htmlNotice - Proposed Collection; Comment Request2007-08-29T00:00:00-07:002007-08-29T00:00:00-07:00E7-17077Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17077.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17076.htmlNotice - Allianz RCM Global EcoTrends Fund, et al.2007-08-29T00:00:00-07:002007-08-29T00:00:00-07:00E7-17076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17076.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16959.htmlNotice - Hartford Life Insurance Company, et al.; Notice of Application2007-08-28T00:00:00-07:002007-08-28T00:00:00-07:00E7-16959Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-28/pdf/E7-16959.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16958.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Resume Interbank Clearing for the General Collateral Finance Repo Service2007-08-28T00:00:00-07:002007-08-28T00:00:00-07:00E7-16958Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-28/pdf/E7-16958.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16957.htmlNotice - 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 19342007-08-28T00:00:00-07:002007-08-28T00:00:00-07:00E7-16957Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-28/pdf/E7-16957.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16956.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges2007-08-28T00:00:00-07:002007-08-28T00:00:00-07:00E7-16956Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-28/pdf/E7-16956.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16955.htmlNotice - 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 Order2007-08-28T00:00:00-07:002007-08-28T00:00:00-07:00E7-16955Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-28/pdf/E7-16955.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16908.htmlNotice - 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 Orders2007-08-28T00:00:00-07:002007-08-28T00:00:00-07:00E7-16908Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-28/pdf/E7-16908.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16880.htmlNotice - Submission for OMB Review; Comment Request2007-08-27T00:00:00-07:002007-08-27T00:00:00-07:00E7-16880Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16880.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16879.htmlNotice - 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 Authority2007-08-27T00:00:00-07:002007-08-27T00:00:00-07:00E7-16879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16879.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16839.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to Credit Default Basket Options2007-08-27T00:00:00-07:002007-08-27T00:00:00-07:00E7-16839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16839.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16838.htmlNotice - 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 Orders2007-08-27T00:00:00-07:002007-08-27T00:00:00-07:00E7-16838Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16838.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16837.htmlNotice - 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 Basis2007-08-27T00:00:00-07:002007-08-27T00:00:00-07:00E7-16837Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16837.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16836.htmlNotice - 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 Program2007-08-27T00:00:00-07:002007-08-27T00:00:00-07:00E7-16836Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16836.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16833.htmlNotice - 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 24.92007-08-27T00:00:00-07:002007-08-27T00:00:00-07:00E7-16833Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16833.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/27/07-4200.htmlNotice - 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 Trading2007-08-27T00:00:00-07:002007-08-27T00:00:00-07:0007-4200Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/07-4200.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/Z7-13738.htmlRule - Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information2007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00Z7-13738Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/Z7-13738.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16772.htmlNotice - Discussion Paper for Consideration by the SEC Advisory Committee on Improvements to Financial Reporting2007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00E7-16772Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16772.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16763.htmlNotice - American International Group, Inc., et al.; Temporary Order and Notice of Application2007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00E7-16763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16763.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16762.htmlNotice - 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)2007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00E7-16762Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16762.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16761.htmlNotice - 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 30132007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00E7-16761Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16761.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16760.htmlNotice - 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 $0.012007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00E7-16760Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16760.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16759.htmlNotice - 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 Trading2007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00E7-16759Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16759.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16758.htmlNotice - 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 SHO2007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00E7-16758Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16758.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16757.htmlNotice - 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 Tests2007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00E7-16757Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16757.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16756.htmlNotice - 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 Issuer2007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00E7-16756Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16756.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16755.htmlNotice - 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 Providers2007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00E7-16755Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16755.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16754.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Sessions on XLE2007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00E7-16754Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16754.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16753.htmlNotice - 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 Stock2007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00E7-16753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16753.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16752.htmlNotice - 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 Securities2007-08-24T00:00:00-07:002007-08-24T00:00:00-07:00E7-16752Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16752.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16587.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change To List and Trade Credit Default Basket Options, as Modified by Amendment No. 3, and Designating Credit Default Basket Options as Standardized Options Under Rule 9b-1 of the Securities Exchange Act of 19342007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16587Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16587.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16582.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding Expansion of the Penny Pilot Program2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16582Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16582.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16580.htmlNotice - Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.34(e) and Clarifying Certain Customer Disclosures Relating to ETF Trading2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16580Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16580.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16556.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add an Additional Exemption to Rule 24-AEMI Relating to Intermarket Sweep Orders2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16556Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16556.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16555.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Sections 703.22 and 802.01D of the Exchange's Listed Company Manual Regarding the Listing and Trading of Index-Linked Securities2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16555Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16555.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16532.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program That Increases the Standard Position and Exercise Limits for Certain Options Traded on the Exchange2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16532Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16532.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16531.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program That Increases Position and Exercise Limits for Certain Equity Options2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16531Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16531.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16530.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Time Period for the Position Limits Pilot Program2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16530Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16530.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16529.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Position Limits Pilot Program2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16529Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16529.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16528.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Position and Exercise Limit Pilot Program2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16528Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16528.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16527.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Period To Increase Position Limits and Exercise Limits for Equity Options and Options on the Nasdaq-100 Tracking Stock2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16527Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16527.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16526.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program That Increases Position and Exercise Limits for Equity Options and Options on the Nasdaq-100 Tracking Stock2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16526Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16526.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16525.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Increase in the Maximum Number of Quoters Permitted in an Option2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16525Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16525.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16524.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ISE Open/Close Trade Profile Fees2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16524Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16524.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16468.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Establish a Directed Order Program2007-08-22T00:00:00-07:002007-08-22T00:00:00-07:00E7-16468Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16468.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16414.htmlRule - Adoption of Updated EDGAR Filer Manual2007-08-21T00:00:00-07:002007-08-21T00:00:00-07:00E7-16414Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16414.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16397.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed Rule Change and Amendment No.1 Thereto Relating to Amendments to Arca Equities Rule 12 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR2007-08-21T00:00:00-07:002007-08-21T00:00:00-07:00E7-16397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16397.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16396.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed Rule Change and Amendment No.1 Thereto Relating to Amendments to Rule 12 to Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation into NASD DR2007-08-21T00:00:00-07:002007-08-21T00:00:00-07:00E7-16396Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16396.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16395.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Obsolete Rules Relating to the Trading of Gold and Silver Bullion2007-08-21T00:00:00-07:002007-08-21T00:00:00-07:00E7-16395Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16395.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16394.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain Exchange Rules Prohibiting the Entering of Limit Orders on Both Sides of the Market on a Regular and Continuous Basis2007-08-21T00:00:00-07:002007-08-21T00:00:00-07:00E7-16394Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16394.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16393.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Extend and Expand the Pilot Program To Quote Certain Options in Pennies2007-08-21T00:00:00-07:002007-08-21T00:00:00-07:00E7-16393Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16393.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16392.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the Standardization of Rules for Equity, Index and ETF Options2007-08-21T00:00:00-07:002007-08-21T00:00:00-07:00E7-16392Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16392.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/20/Z7-15203.htmlNotice - Notice of Initiation of the Administrative Review of the Antidumping Duty Order on Silicon Metal From the People's Republic of China2007-08-20T00:00:00-07:002007-08-20T00:00:00-07:00Z7-15203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/Z7-15203.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/20/Z7-14842.htmlNotice - Submission for OMB Review; Comment Request2007-08-20T00:00:00-07:002007-08-20T00:00:00-07:00Z7-14842Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/Z7-14842.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16379.htmlNotice - Sunshine Act Meeting2007-08-20T00:00:00-07:002007-08-20T00:00:00-07:00E7-16379Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/E7-16379.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16331.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto To Codify the Hybrid Price Check Parameter2007-08-20T00:00:00-07:002007-08-20T00:00:00-07:00E7-16331Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/E7-16331.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16330.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Amendment No. 4 to a Proposed Rule Change and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 2, 3, and 4 Thereto, Relating to the Listing and Trading of Fixed Return Options2007-08-20T00:00:00-07:002007-08-20T00:00:00-07:00E7-16330Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/E7-16330.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16329.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Allow As-Of Fixed Income Trades To Be Processed in the Continuous Net Settlement System2007-08-20T00:00:00-07:002007-08-20T00:00:00-07:00E7-16329Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/E7-16329.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16258.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Relating to Fee Changes on a Retroactive Basis2007-08-20T00:00:00-07:002007-08-20T00:00:00-07:00E7-16258Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/E7-16258.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/17/E7-16210.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend CBOE's Rule Pertaining to Verification Requests for Trade Reporting Minor Rule Violations2007-08-17T00:00:00-07:002007-08-17T00:00:00-07:00E7-16210Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-17/pdf/E7-16210.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/17/E7-16209.htmlNotice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Block Trading2007-08-17T00:00:00-07:002007-08-17T00:00:00-07:00E7-16209Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-17/pdf/E7-16209.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/17/E7-16208.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Retroactively Amend Transaction Charges for Equities, ETFs, and Nasdaq UTP Securities2007-08-17T00:00:00-07:002007-08-17T00:00:00-07:00E7-16208Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-17/pdf/E7-16208.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16163.htmlNotice - Submission for OMB Review; Comment Request2007-08-16T00:00:00-07:002007-08-16T00:00:00-07:00E7-16163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16163.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16162.htmlNotice - Proposed Collection; Comment Request2007-08-16T00:00:00-07:002007-08-16T00:00:00-07:00E7-16162Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16162.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16161.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Adoption of Revised Initial and Continued Listing Standards for the Pilot Program Expiring on November 30, 20072007-08-16T00:00:00-07:002007-08-16T00:00:00-07:00E7-16161Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16161.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16091.htmlNotice - Submission for OMB Review; Comment Request2007-08-16T00:00:00-07:002007-08-16T00:00:00-07:00E7-16091Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16091.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16090.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Remove Provisions Governing the Operation of the ACES System2007-08-16T00:00:00-07:002007-08-16T00:00:00-07:00E7-16090Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16090.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16054.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the Existing Fee Schedules2007-08-16T00:00:00-07:002007-08-16T00:00:00-07:00E7-16054Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16054.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16053.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Assess, on a Retroactive Basis, Certain CBOE and CBSX Market Data Fees2007-08-16T00:00:00-07:002007-08-16T00:00:00-07:00E7-16053Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16053.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16052.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the American Stock Exchange LLC To Establish a New Class of Off-Floor Market Makers in ETFs and Equities Called Designated Amex Remote Traders2007-08-16T00:00:00-07:002007-08-16T00:00:00-07:00E7-16052Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16052.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/15/Z7-15181.htmlNotice - Proposed Collection; Comment Request2007-08-15T00:00:00-07:002007-08-15T00:00:00-07:00Z7-15181Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/Z7-15181.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/15/Z7-14845.htmlNotice - Proposed Collection; Comment Request2007-08-15T00:00:00-07:002007-08-15T00:00:00-07:00Z7-14845Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/Z7-14845.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/15/Z7-14563.htmlNotice - Proposed Collection; Comment Request2007-08-15T00:00:00-07:002007-08-15T00:00:00-07:00Z7-14563Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/Z7-14563.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15965.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto, To Modify Pricing for Nasdaq Members Using the Nasdaq Market Center2007-08-15T00:00:00-07:002007-08-15T00:00:00-07:00E7-15965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15965.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15937.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the streetTRACKS® Gold Trust2007-08-15T00:00:00-07:002007-08-15T00:00:00-07:00E7-15937Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15937.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15936.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Shares of Eight Funds of the ProShares Trust Based on International Equity Indexes2007-08-15T00:00:00-07:002007-08-15T00:00:00-07:00E7-15936Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15936.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15935.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Adopt a Monthly Fee for Stock Execution Clerks That Handle Stand-Alone Equity Orders2007-08-15T00:00:00-07:002007-08-15T00:00:00-07:00E7-15935Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15935.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15934.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 520 in Order To Clarify Reporting Requirements2007-08-15T00:00:00-07:002007-08-15T00:00:00-07:00E7-15934Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15934.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15933.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Market Opening Procedures of the Rules of the Boston Options Exchange2007-08-15T00:00:00-07:002007-08-15T00:00:00-07:00E7-15933Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15933.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15902.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto To Remove Certain Rules From Its Rulebook2007-08-15T00:00:00-07:002007-08-15T00:00:00-07:00E7-15902Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15902.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15901.htmlNotice - 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 Stock2007-08-15T00:00:00-07:002007-08-15T00:00:00-07:00E7-15901Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15901.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/14/E7-15865.htmlProposed Rule - Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards2007-08-14T00:00:00-07:002007-08-14T00:00:00-07:00E7-15865Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-14/pdf/E7-15865.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/14/E7-15818.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Shares of Funds of the Rydex ETF Trust2007-08-14T00:00:00-07:002007-08-14T00:00:00-07:00E7-15818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-14/pdf/E7-15818.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/14/E7-15709.htmlProposed Rule - Amendments to Regulation SHO2007-08-14T00:00:00-07:002007-08-14T00:00:00-07:00E7-15709Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-14/pdf/E7-15709.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/14/E7-15708.htmlRule - Amendments to Regulation SHO2007-08-14T00:00:00-07:002007-08-14T00:00:00-07:00E7-15708Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-14/pdf/E7-15708.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15764.htmlNotice - Proposed Collection; Comment Request2007-08-13T00:00:00-07:002007-08-13T00:00:00-07:00E7-15764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15764.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15758.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to an Amendment to the International Securities Exchange, LLC Constitution and Amended and Restated LLC Agreement2007-08-13T00:00:00-07:002007-08-13T00:00:00-07:00E7-15758Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15758.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15757.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Certain FINRA Rules Relating to Trading Halts and Disclosure of Disciplinary Information2007-08-13T00:00:00-07:002007-08-13T00:00:00-07:00E7-15757Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15757.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15756.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Transaction Fees for Credit Default Options2007-08-13T00:00:00-07:002007-08-13T00:00:00-07:00E7-15756Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15756.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15736.htmlNotice - Submission for OMB Review; Comment Request2007-08-13T00:00:00-07:002007-08-13T00:00:00-07:00E7-15736Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15736.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15735.htmlNotice - Submission for OMB Review; Comment Request2007-08-13T00:00:00-07:002007-08-13T00:00:00-07:00E7-15735Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15735.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15733.htmlNotice - Submission for OMB Review; Comment Request2007-08-13T00:00:00-07:002007-08-13T00:00:00-07:00E7-15733Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15733.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15725.htmlNotice - Self-Regulatory Organizations; American Stock Exchange, LLC.; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change Modifying an Aspect of the Definition of Independent Director2007-08-13T00:00:00-07:002007-08-13T00:00:00-07:00E7-15725Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15725.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15724.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 79A.30 (Miscellaneous Requirements on Stock Market Procedures)2007-08-13T00:00:00-07:002007-08-13T00:00:00-07:00E7-15724Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15724.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15723.htmlNotice - 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 Expand the Class of Entities Permitted To Use the Delta Hedging Exemption From Equity Options Position Limits2007-08-13T00:00:00-07:002007-08-13T00:00:00-07:00E7-15723Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15723.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15722.htmlNotice - Submission for OMB Review; Comment Request2007-08-13T00:00:00-07:002007-08-13T00:00:00-07:00E7-15722Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15722.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15619.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Proposed Amendments to Rule 600 To Provide Guidance Regarding New and Pending Arbitration Claims in Light of the Consolidation of NYSE Regulation Into NASD DR2007-08-10T00:00:00-07:002007-08-10T00:00:00-07:00E7-15619Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-10/pdf/E7-15619.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15608.htmlRule - Short Selling in Connection With a Public Offering2007-08-10T00:00:00-07:002007-08-10T00:00:00-07:00E7-15608Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-10/pdf/E7-15608.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15598.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change to MSRB Rule G-14, Reports of Sales or Purchases Relating to Reporting of Transactions in Certain Special Trading Situations2007-08-10T00:00:00-07:002007-08-10T00:00:00-07:00E7-15598Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-10/pdf/E7-15598.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15595.htmlRule - Deletion of References to IRS Identification Numbers2007-08-10T00:00:00-07:002007-08-10T00:00:00-07:00E7-15595Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-10/pdf/E7-15595.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15506.htmlProposed Rule - Revisions of Limited Offering Exemptions in Regulation D2007-08-10T00:00:00-07:002007-08-10T00:00:00-07:00E7-15506Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-10/pdf/E7-15506.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15556.htmlRule - Definition of the Term Significant Deficiency2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15556Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15556.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15552.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Exchange Fees and Charges2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15552.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15551.htmlNotice - Self-Regulatory Organizations: Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Reporting of Foreign Equity Securities to the Order Audit Trail System2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15551.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15550.htmlNotice - Sentinel Variable Products Trust, et al.; Notice of Application2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15550Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15550.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15549.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to a Quote Mitigation Plan for Competitive Market Makers2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15549Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15549.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15548.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Establish New Procedures To Follow When Trading Halts on the Primary Market for the Underlying Security2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15548.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15547.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status Access Fee2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15547Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15547.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15546.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude from Its Earnings Standard Gains or Losses From Extinguishment of Debt Prior to Maturity on a Six Month Pilot Basis2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15546Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15546.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15545.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Existing Fee Schedule2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15545Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15545.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15544.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Eliminate Position and Exercise Limits for Options on the Russell 2000 Index, and To Specify That Reduced-Value Options on Broad-Based Security Indexes for Which Full-Value Options Have No Position and Exercise Limits Similarly Have No Position and Exercise Limits2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15544Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15544.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15543.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Amending Its Obvious Error Rule for Equity Options2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15543Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15543.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15542.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule To Make Technical Changes To Update and Align Provisions With Current Practice2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15542Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15542.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15541.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change Amending Preferred Stock Voting Rights2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15541Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15541.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15531.htmlRule - Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles2007-08-09T00:00:00-07:002007-08-09T00:00:00-07:00E7-15531Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15531.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15434.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify How the BOX Trading Host Systematically Filters All Orders Against the National Best Bid and Offer2007-08-08T00:00:00-07:002007-08-08T00:00:00-07:00E7-15434Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-08/pdf/E7-15434.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15433.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Charged for Its Positions and Valuations Service2007-08-08T00:00:00-07:002007-08-08T00:00:00-07:00E7-15433Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-08/pdf/E7-15433.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15432.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Rule 103B (“Specialist Stock Allocation”)2007-08-08T00:00:00-07:002007-08-08T00:00:00-07:00E7-15432Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-08/pdf/E7-15432.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15431.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Amendment No. 2 to the Proposed Rule Change and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendments No. 1 and 2 Thereto To Add to the Boston Options Exchange a New Functionality Called an Auto Auction Order2007-08-08T00:00:00-07:002007-08-08T00:00:00-07:00E7-15431Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-08/pdf/E7-15431.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15384.htmlNotice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Block Trade and EFP Transaction Reporting Procedures2007-08-08T00:00:00-07:002007-08-08T00:00:00-07:00E7-15384Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-08/pdf/E7-15384.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15371.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change Relating to Membership, Definitions, and the Electronic Pool Notification Service2007-08-08T00:00:00-07:002007-08-08T00:00:00-07:00E7-15371Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-08/pdf/E7-15371.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15313.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Amend the Gross FOCUS Fee2007-08-07T00:00:00-07:002007-08-07T00:00:00-07:00E7-15313Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15313.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15312.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Auction Only Limit Order Type2007-08-07T00:00:00-07:002007-08-07T00:00:00-07:00E7-15312Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15312.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15311.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change as Modified by Amendment No. 1 Creating NASD Rule 1160 (Firm Contact Information) Regarding the Reporting and Annual Review of Designated Contact Information to NASD2007-08-07T00:00:00-07:002007-08-07T00:00:00-07:00E7-15311Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15311.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15310.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Duration of CBOE Rule 6.45A(b) Pertaining to Orders Represented in Open Outcry2007-08-07T00:00:00-07:002007-08-07T00:00:00-07:00E7-15310Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15310.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15309.htmlNotice - Lehman Brothers Asset Management, LLC., et al.; Notice of Application2007-08-07T00:00:00-07:002007-08-07T00:00:00-07:00E7-15309Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15309.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15290.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)2007-08-07T00:00:00-07:002007-08-07T00:00:00-07:00E7-15290Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15290.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15288.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change as Modified by Amendments No. 1, 3, and 4 Thereto To Reestablish a Quotation and Trading System, The PORTAL® Market, for Securities That Are Designated by Nasdaq as PORTAL Securities2007-08-07T00:00:00-07:002007-08-07T00:00:00-07:00E7-15288Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15288.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15274.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to NYSE Rule 2 (“Member,” “Membership,” “Member Firm,” etc.)2007-08-07T00:00:00-07:002007-08-07T00:00:00-07:00E7-15274Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15274.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/06/E7-15188.htmlNotice - AARP Funds, et al.; Notice of Application2007-08-06T00:00:00-07:002007-08-06T00:00:00-07:00E7-15188Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-06/pdf/E7-15188.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/06/E7-15181.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 13e-3 (Schedule 13E-3); OMB Control No. 3235-0007; SEC File No. 270-12007-08-06T00:00:00-07:002007-08-06T00:00:00-07:00E7-15181Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-06/pdf/E7-15181.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/06/E7-15180.htmlNotice - DWS Advisor Funds, et al.; Notice of Application2007-08-06T00:00:00-07:002007-08-06T00:00:00-07:00E7-15180Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-06/pdf/E7-15180.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15096.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Information Memorandum That Reflects the Changes to Disciplinary Proceedings at NYSE Regulation, Inc. as a Result of the Regulatory Consolidation With the National Association of Securities Dealers, Inc.2007-08-03T00:00:00-07:002007-08-03T00:00:00-07:00E7-15096Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15096.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15095.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 To Extend the Linkage Fee Pilot Program2007-08-03T00:00:00-07:002007-08-03T00:00:00-07:00E7-15095Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15095.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15094.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Transaction Charges Applicable to Linkage “P” and “P/A” Orders2007-08-03T00:00:00-07:002007-08-03T00:00:00-07:00E7-15094Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15094.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15093.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2007-08-03T00:00:00-07:002007-08-03T00:00:00-07:00E7-15093Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15093.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15070.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Directed Orders System Change2007-08-03T00:00:00-07:002007-08-03T00:00:00-07:00E7-15070Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15070.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15069.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Waive Risk Management Workstation Fees2007-08-03T00:00:00-07:002007-08-03T00:00:00-07:00E7-15069Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15069.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15068.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension for the Price Improvement Mechanism Pilot Program2007-08-03T00:00:00-07:002007-08-03T00:00:00-07:00E7-15068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15068.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15066.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to CBOE's Delisting Policy2007-08-03T00:00:00-07:002007-08-03T00:00:00-07:00E7-15066Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15066.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15059.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to an Extension of the Penny Quoting Pilot Program2007-08-03T00:00:00-07:002007-08-03T00:00:00-07:00E7-15059Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15059.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15058.htmlNotice - Medallion Financial Corp.; Notice of Application2007-08-03T00:00:00-07:002007-08-03T00:00:00-07:00E7-15058Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15058.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/03/E7-14955.htmlProposed Rule - Shareholder Proposals Relating to the Election of Directors2007-08-03T00:00:00-07:002007-08-03T00:00:00-07:00E7-14955Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-14955.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/03/E7-14954.htmlProposed Rule - Shareholder Proposals2007-08-03T00:00:00-07:002007-08-03T00:00:00-07:00E7-14954Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-14954.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/02/E7-15022.htmlNotice - The BISYS Group, Inc., et al.; Temporary Order2007-08-02T00:00:00-07:002007-08-02T00:00:00-07:00E7-15022Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-15022.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/02/E7-15021.htmlNotice - HealthShares, Inc., et al.; Notice of Application2007-08-02T00:00:00-07:002007-08-02T00:00:00-07:00E7-15021Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-15021.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14993.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 to Revise Rule 619 Pertaining to Subpoenas for the Production of Documents and Appearances of Witnesses2007-08-02T00:00:00-07:002007-08-02T00:00:00-07:00E7-14993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14993.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14992.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 6.862007-08-02T00:00:00-07:002007-08-02T00:00:00-07:00E7-14992Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14992.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14991.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 thereto Relating to NYSE Arca Rule 6.72 and the Penny Pilot for Options Trading2007-08-02T00:00:00-07:002007-08-02T00:00:00-07:00E7-14991Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14991.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14990.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, Notice of Filing of Proposed Rule and Amendment No. 1 Relating to a Proposed New Rule on Notification of Fees2007-08-02T00:00:00-07:002007-08-02T00:00:00-07:00E7-14990Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14990.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14916.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of the Penny Pilot Program2007-08-02T00:00:00-07:002007-08-02T00:00:00-07:00E7-14916Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14916.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14915.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program2007-08-02T00:00:00-07:002007-08-02T00:00:00-07:00E7-14915Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14915.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14914.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rules 342(c) (“Offices-Approval, Supervision and Control”) and 343 (“Offices-Sole Tenancy, Hours, Display of Membership Certificates”)2007-08-02T00:00:00-07:002007-08-02T00:00:00-07:00E7-14914Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14914.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14913.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402007-08-02T00:00:00-07:002007-08-02T00:00:00-07:00E7-14913Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14913.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14877.htmlNotice - 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.2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14877Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14877.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14858.htmlNotice - 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 Amendments2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14858Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14858.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14856.htmlNotice - 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.2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14856Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14856.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14855.htmlNotice - 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.2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14855Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14855.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14854.htmlNotice - 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 Conduct2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14854.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14853.htmlNotice - 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 Process2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14853Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14853.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14845.htmlNotice - Submission for OMB Review; Comment Request2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14845Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14845.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14844.htmlNotice - 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 Increments2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14844Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14844.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14843.htmlNotice - 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)2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14843Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14843.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14842.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 3022007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14842Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14842.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14841.htmlNotice - 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 Securities2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14841Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14841.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14840.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14840Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14840.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14839.htmlNotice - Consolidated Tape Association; Notice of Filing of the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14839.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14838.htmlNotice - 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 Charges2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14838Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14838.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14837.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 No. 1 Relating to an Extension of the Linkage Fee Pilot Program2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14837Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14837.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14836.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To List and Trade Currency Trust Shares2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14836Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14836.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14835.htmlNotice - 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 Service2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14835Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14835.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14834.htmlNotice - 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.2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14834Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14834.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14833.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Existing Fee Schedules2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14833Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14833.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14832.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Linkage Fees2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14832Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14832.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14831.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Order Cancellation Fee2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14831Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14831.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14830.htmlNotice - 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 Service2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14830.pdfhttps://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14793.htmlRule - Shareholder Choice Regarding Proxy Materials2007-08-01T00:00:00-07:002007-08-01T00:00:00-07:00E7-14793Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14793.pdf