<![CDATA[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?registers=between&min-day=1&max-day=31 Sun, 28 Apr 2024 09:42:54 -0700 Sun, 28 Apr 2024 09:42:54 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[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?registers=between&min-day=1&max-day=31 Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17376.html https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17376.html Fri, 31 Aug 2007 00:00:00 -0700 E7-17376 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17376.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17355.html https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17355.html Fri, 31 Aug 2007 00:00:00 -0700 E7-17355 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17355.pdf Notice - Self-Regulatory Organizations; American Stock Exchange, LLC; Notice of Filing of Proposed Rule Change Modifying the Options Listing Criteria for Underlying Securities https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17354.html https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17354.html Fri, 31 Aug 2007 00:00:00 -0700 E7-17354 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17354.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17353.html https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17353.html Fri, 31 Aug 2007 00:00:00 -0700 E7-17353 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17353.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Fill-or-Kill Order Type https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17274.html https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17274.html Fri, 31 Aug 2007 00:00:00 -0700 E7-17274 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17274.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17272.html https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17272.html Fri, 31 Aug 2007 00:00:00 -0700 E7-17272 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17272.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17271.html https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17271.html Fri, 31 Aug 2007 00:00:00 -0700 E7-17271 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17271.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17228.html https://regulations.justia.com/regulations/fedreg/2007/08/31/E7-17228.html Fri, 31 Aug 2007 00:00:00 -0700 E7-17228 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-31/pdf/E7-17228.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17175.html https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17175.html Thu, 30 Aug 2007 00:00:00 -0700 E7-17175 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17175.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17174.html https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17174.html Thu, 30 Aug 2007 00:00:00 -0700 E7-17174 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17174.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17167.html https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17167.html Thu, 30 Aug 2007 00:00:00 -0700 E7-17167 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17167.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17166.html https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17166.html Thu, 30 Aug 2007 00:00:00 -0700 E7-17166 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17166.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17165.html https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17165.html Thu, 30 Aug 2007 00:00:00 -0700 E7-17165 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17165.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17163.html https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17163.html Thu, 30 Aug 2007 00:00:00 -0700 E7-17163 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17163.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to ISEE Select Market Data Fees https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17162.html https://regulations.justia.com/regulations/fedreg/2007/08/30/E7-17162.html Thu, 30 Aug 2007 00:00:00 -0700 E7-17162 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-30/pdf/E7-17162.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17082.html https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17082.html Wed, 29 Aug 2007 00:00:00 -0700 E7-17082 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17082.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17081.html https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17081.html Wed, 29 Aug 2007 00:00:00 -0700 E7-17081 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17081.pdf Notice - Consolidated Tape Association; Order Approving the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17080.html https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17080.html Wed, 29 Aug 2007 00:00:00 -0700 E7-17080 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17080.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17079.html https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17079.html Wed, 29 Aug 2007 00:00:00 -0700 E7-17079 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17079.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17078.html https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17078.html Wed, 29 Aug 2007 00:00:00 -0700 E7-17078 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17078.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17077.html https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17077.html Wed, 29 Aug 2007 00:00:00 -0700 E7-17077 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17077.pdf Notice - Allianz RCM Global EcoTrends Fund, et al. https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17076.html https://regulations.justia.com/regulations/fedreg/2007/08/29/E7-17076.html Wed, 29 Aug 2007 00:00:00 -0700 E7-17076 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-29/pdf/E7-17076.pdf Notice - Hartford Life Insurance Company, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16959.html https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16959.html Tue, 28 Aug 2007 00:00:00 -0700 E7-16959 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-28/pdf/E7-16959.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16958.html https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16958.html Tue, 28 Aug 2007 00:00:00 -0700 E7-16958 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-28/pdf/E7-16958.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16957.html https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16957.html Tue, 28 Aug 2007 00:00:00 -0700 E7-16957 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-28/pdf/E7-16957.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Fees and Charges https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16956.html https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16956.html Tue, 28 Aug 2007 00:00:00 -0700 E7-16956 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-28/pdf/E7-16956.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16955.html https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16955.html Tue, 28 Aug 2007 00:00:00 -0700 E7-16955 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-28/pdf/E7-16955.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16908.html https://regulations.justia.com/regulations/fedreg/2007/08/28/E7-16908.html Tue, 28 Aug 2007 00:00:00 -0700 E7-16908 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-28/pdf/E7-16908.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16880.html https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16880.html Mon, 27 Aug 2007 00:00:00 -0700 E7-16880 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16880.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16879.html https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16879.html Mon, 27 Aug 2007 00:00:00 -0700 E7-16879 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16879.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to Credit Default Basket Options https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16839.html https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16839.html Mon, 27 Aug 2007 00:00:00 -0700 E7-16839 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16839.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16838.html https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16838.html Mon, 27 Aug 2007 00:00:00 -0700 E7-16838 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16838.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16837.html https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16837.html Mon, 27 Aug 2007 00:00:00 -0700 E7-16837 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16837.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16836.html https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16836.html Mon, 27 Aug 2007 00:00:00 -0700 E7-16836 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16836.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16833.html https://regulations.justia.com/regulations/fedreg/2007/08/27/E7-16833.html Mon, 27 Aug 2007 00:00:00 -0700 E7-16833 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/E7-16833.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/27/07-4200.html https://regulations.justia.com/regulations/fedreg/2007/08/27/07-4200.html Mon, 27 Aug 2007 00:00:00 -0700 07-4200 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-27/pdf/07-4200.pdf Rule - Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information https://regulations.justia.com/regulations/fedreg/2007/08/24/Z7-13738.html https://regulations.justia.com/regulations/fedreg/2007/08/24/Z7-13738.html Fri, 24 Aug 2007 00:00:00 -0700 Z7-13738 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/Z7-13738.pdf Notice - Discussion Paper for Consideration by the SEC Advisory Committee on Improvements to Financial Reporting https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16772.html https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16772.html Fri, 24 Aug 2007 00:00:00 -0700 E7-16772 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16772.pdf Notice - American International Group, Inc., et al.; Temporary Order and Notice of Application https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16763.html https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16763.html Fri, 24 Aug 2007 00:00:00 -0700 E7-16763 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16763.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16762.html https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16762.html Fri, 24 Aug 2007 00:00:00 -0700 E7-16762 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16762.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16761.html https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16761.html Fri, 24 Aug 2007 00:00:00 -0700 E7-16761 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16761.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16760.html https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16760.html Fri, 24 Aug 2007 00:00:00 -0700 E7-16760 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16760.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16759.html https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16759.html Fri, 24 Aug 2007 00:00:00 -0700 E7-16759 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16759.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16758.html https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16758.html Fri, 24 Aug 2007 00:00:00 -0700 E7-16758 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16758.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16757.html https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16757.html Fri, 24 Aug 2007 00:00:00 -0700 E7-16757 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16757.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16756.html https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16756.html Fri, 24 Aug 2007 00:00:00 -0700 E7-16756 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16756.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16755.html https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16755.html Fri, 24 Aug 2007 00:00:00 -0700 E7-16755 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16755.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Sessions on XLE https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16754.html https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16754.html Fri, 24 Aug 2007 00:00:00 -0700 E7-16754 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16754.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16753.html https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16753.html Fri, 24 Aug 2007 00:00:00 -0700 E7-16753 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16753.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16752.html https://regulations.justia.com/regulations/fedreg/2007/08/24/E7-16752.html Fri, 24 Aug 2007 00:00:00 -0700 E7-16752 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-24/pdf/E7-16752.pdf Notice - 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 1934 https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16587.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16587.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16587 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16587.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding Expansion of the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16582.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16582.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16582 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16582.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16580.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16580.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16580 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16580.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16556.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16556.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16556 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16556.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16555.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16555.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16555 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16555.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16532.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16532.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16532 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16532.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16531.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16531.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16531 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16531.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16530.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16530.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16530 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16530.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16529.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16529.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16529 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16529.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Position and Exercise Limit Pilot Program https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16528.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16528.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16528 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16528.pdf Notice - 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 Stock https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16527.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16527.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16527 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16527.pdf Notice - 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 Stock https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16526.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16526.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16526 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16526.pdf Notice - 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 Option https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16525.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16525.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16525 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16525.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ISE Open/Close Trade Profile Fees https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16524.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16524.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16524 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16524.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16468.html https://regulations.justia.com/regulations/fedreg/2007/08/22/E7-16468.html Wed, 22 Aug 2007 00:00:00 -0700 E7-16468 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-22/pdf/E7-16468.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16414.html https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16414.html Tue, 21 Aug 2007 00:00:00 -0700 E7-16414 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16414.pdf Notice - 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 DR https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16397.html https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16397.html Tue, 21 Aug 2007 00:00:00 -0700 E7-16397 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16397.pdf Notice - 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 DR https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16396.html https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16396.html Tue, 21 Aug 2007 00:00:00 -0700 E7-16396 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16396.pdf Notice - 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 Bullion https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16395.html https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16395.html Tue, 21 Aug 2007 00:00:00 -0700 E7-16395 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16395.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16394.html https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16394.html Tue, 21 Aug 2007 00:00:00 -0700 E7-16394 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16394.pdf Notice - 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 Pennies https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16393.html https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16393.html Tue, 21 Aug 2007 00:00:00 -0700 E7-16393 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16393.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16392.html https://regulations.justia.com/regulations/fedreg/2007/08/21/E7-16392.html Tue, 21 Aug 2007 00:00:00 -0700 E7-16392 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-21/pdf/E7-16392.pdf Notice - Notice of Initiation of the Administrative Review of the Antidumping Duty Order on Silicon Metal From the People's Republic of China https://regulations.justia.com/regulations/fedreg/2007/08/20/Z7-15203.html https://regulations.justia.com/regulations/fedreg/2007/08/20/Z7-15203.html Mon, 20 Aug 2007 00:00:00 -0700 Z7-15203 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/Z7-15203.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/20/Z7-14842.html https://regulations.justia.com/regulations/fedreg/2007/08/20/Z7-14842.html Mon, 20 Aug 2007 00:00:00 -0700 Z7-14842 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/Z7-14842.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16379.html https://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16379.html Mon, 20 Aug 2007 00:00:00 -0700 E7-16379 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/E7-16379.pdf Notice - 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 Parameter https://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16331.html https://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16331.html Mon, 20 Aug 2007 00:00:00 -0700 E7-16331 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/E7-16331.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16330.html https://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16330.html Mon, 20 Aug 2007 00:00:00 -0700 E7-16330 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/E7-16330.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16329.html https://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16329.html Mon, 20 Aug 2007 00:00:00 -0700 E7-16329 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/E7-16329.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Relating to Fee Changes on a Retroactive Basis https://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16258.html https://regulations.justia.com/regulations/fedreg/2007/08/20/E7-16258.html Mon, 20 Aug 2007 00:00:00 -0700 E7-16258 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-20/pdf/E7-16258.pdf Notice - 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 Violations https://regulations.justia.com/regulations/fedreg/2007/08/17/E7-16210.html https://regulations.justia.com/regulations/fedreg/2007/08/17/E7-16210.html Fri, 17 Aug 2007 00:00:00 -0700 E7-16210 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-17/pdf/E7-16210.pdf Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Block Trading https://regulations.justia.com/regulations/fedreg/2007/08/17/E7-16209.html https://regulations.justia.com/regulations/fedreg/2007/08/17/E7-16209.html Fri, 17 Aug 2007 00:00:00 -0700 E7-16209 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-17/pdf/E7-16209.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2007/08/17/E7-16208.html https://regulations.justia.com/regulations/fedreg/2007/08/17/E7-16208.html Fri, 17 Aug 2007 00:00:00 -0700 E7-16208 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-17/pdf/E7-16208.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16163.html https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16163.html Thu, 16 Aug 2007 00:00:00 -0700 E7-16163 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16163.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16162.html https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16162.html Thu, 16 Aug 2007 00:00:00 -0700 E7-16162 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16162.pdf Notice - 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, 2007 https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16161.html https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16161.html Thu, 16 Aug 2007 00:00:00 -0700 E7-16161 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16161.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16091.html https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16091.html Thu, 16 Aug 2007 00:00:00 -0700 E7-16091 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16091.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16090.html https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16090.html Thu, 16 Aug 2007 00:00:00 -0700 E7-16090 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16090.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the Existing Fee Schedules https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16054.html https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16054.html Thu, 16 Aug 2007 00:00:00 -0700 E7-16054 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16054.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16053.html https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16053.html Thu, 16 Aug 2007 00:00:00 -0700 E7-16053 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16053.pdf Notice - 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 Traders https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16052.html https://regulations.justia.com/regulations/fedreg/2007/08/16/E7-16052.html Thu, 16 Aug 2007 00:00:00 -0700 E7-16052 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-16/pdf/E7-16052.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/15/Z7-15181.html https://regulations.justia.com/regulations/fedreg/2007/08/15/Z7-15181.html Wed, 15 Aug 2007 00:00:00 -0700 Z7-15181 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/Z7-15181.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/15/Z7-14845.html https://regulations.justia.com/regulations/fedreg/2007/08/15/Z7-14845.html Wed, 15 Aug 2007 00:00:00 -0700 Z7-14845 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/Z7-14845.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/15/Z7-14563.html https://regulations.justia.com/regulations/fedreg/2007/08/15/Z7-14563.html Wed, 15 Aug 2007 00:00:00 -0700 Z7-14563 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/Z7-14563.pdf Notice - 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 Center https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15965.html https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15965.html Wed, 15 Aug 2007 00:00:00 -0700 E7-15965 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15965.pdf 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 Thereto, To List and Trade Shares of the streetTRACKS® Gold Trust https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15937.html https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15937.html Wed, 15 Aug 2007 00:00:00 -0700 E7-15937 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15937.pdf Notice - 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 Indexes https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15936.html https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15936.html Wed, 15 Aug 2007 00:00:00 -0700 E7-15936 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15936.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15935.html https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15935.html Wed, 15 Aug 2007 00:00:00 -0700 E7-15935 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15935.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15934.html https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15934.html Wed, 15 Aug 2007 00:00:00 -0700 E7-15934 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15934.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15933.html https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15933.html Wed, 15 Aug 2007 00:00:00 -0700 E7-15933 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15933.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15902.html https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15902.html Wed, 15 Aug 2007 00:00:00 -0700 E7-15902 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15902.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15901.html https://regulations.justia.com/regulations/fedreg/2007/08/15/E7-15901.html Wed, 15 Aug 2007 00:00:00 -0700 E7-15901 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-15/pdf/E7-15901.pdf Proposed Rule - Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards https://regulations.justia.com/regulations/fedreg/2007/08/14/E7-15865.html https://regulations.justia.com/regulations/fedreg/2007/08/14/E7-15865.html Tue, 14 Aug 2007 00:00:00 -0700 E7-15865 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-14/pdf/E7-15865.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2007/08/14/E7-15818.html https://regulations.justia.com/regulations/fedreg/2007/08/14/E7-15818.html Tue, 14 Aug 2007 00:00:00 -0700 E7-15818 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-14/pdf/E7-15818.pdf Proposed Rule - Amendments to Regulation SHO https://regulations.justia.com/regulations/fedreg/2007/08/14/E7-15709.html https://regulations.justia.com/regulations/fedreg/2007/08/14/E7-15709.html Tue, 14 Aug 2007 00:00:00 -0700 E7-15709 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-14/pdf/E7-15709.pdf Rule - Amendments to Regulation SHO https://regulations.justia.com/regulations/fedreg/2007/08/14/E7-15708.html https://regulations.justia.com/regulations/fedreg/2007/08/14/E7-15708.html Tue, 14 Aug 2007 00:00:00 -0700 E7-15708 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-14/pdf/E7-15708.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15764.html https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15764.html Mon, 13 Aug 2007 00:00:00 -0700 E7-15764 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15764.pdf Notice - 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 Agreement https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15758.html https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15758.html Mon, 13 Aug 2007 00:00:00 -0700 E7-15758 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15758.pdf Notice - 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 Information https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15757.html https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15757.html Mon, 13 Aug 2007 00:00:00 -0700 E7-15757 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15757.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15756.html https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15756.html Mon, 13 Aug 2007 00:00:00 -0700 E7-15756 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15756.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15736.html https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15736.html Mon, 13 Aug 2007 00:00:00 -0700 E7-15736 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15736.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15735.html https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15735.html Mon, 13 Aug 2007 00:00:00 -0700 E7-15735 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15735.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15733.html https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15733.html Mon, 13 Aug 2007 00:00:00 -0700 E7-15733 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15733.pdf Notice - 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 Director https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15725.html https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15725.html Mon, 13 Aug 2007 00:00:00 -0700 E7-15725 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15725.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15724.html https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15724.html Mon, 13 Aug 2007 00:00:00 -0700 E7-15724 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15724.pdf Notice - 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 Limits https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15723.html https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15723.html Mon, 13 Aug 2007 00:00:00 -0700 E7-15723 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15723.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15722.html https://regulations.justia.com/regulations/fedreg/2007/08/13/E7-15722.html Mon, 13 Aug 2007 00:00:00 -0700 E7-15722 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-13/pdf/E7-15722.pdf Notice - 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 DR https://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15619.html https://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15619.html Fri, 10 Aug 2007 00:00:00 -0700 E7-15619 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-10/pdf/E7-15619.pdf Rule - Short Selling in Connection With a Public Offering https://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15608.html https://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15608.html Fri, 10 Aug 2007 00:00:00 -0700 E7-15608 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-10/pdf/E7-15608.pdf Notice - 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 Situations https://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15598.html https://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15598.html Fri, 10 Aug 2007 00:00:00 -0700 E7-15598 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-10/pdf/E7-15598.pdf Rule - Deletion of References to IRS Identification Numbers https://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15595.html https://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15595.html Fri, 10 Aug 2007 00:00:00 -0700 E7-15595 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-10/pdf/E7-15595.pdf Proposed Rule - Revisions of Limited Offering Exemptions in Regulation D https://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15506.html https://regulations.justia.com/regulations/fedreg/2007/08/10/E7-15506.html Fri, 10 Aug 2007 00:00:00 -0700 E7-15506 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-10/pdf/E7-15506.pdf Rule - Definition of the Term Significant Deficiency https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15556.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15556.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15556 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15556.pdf Notice - 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 Charges https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15552.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15552.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15552 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15552.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15551.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15551.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15551 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15551.pdf Notice - Sentinel Variable Products Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15550.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15550.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15550 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15550.pdf Notice - 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 Makers https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15549.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15549.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15549 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15549.pdf Notice - 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 Security https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15548.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15548.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15548 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15548.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Temporary Membership Status Access Fee https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15547.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15547.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15547 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15547.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15546.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15546.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15546 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15546.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15545.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15545.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15545 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15545.pdf Notice - 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 Limits https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15544.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15544.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15544 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15544.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15543.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15543.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15543 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15543.pdf Notice - 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 Practice https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15542.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15542.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15542 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15542.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change Amending Preferred Stock Voting Rights https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15541.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15541.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15541 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15541.pdf Rule - Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15531.html https://regulations.justia.com/regulations/fedreg/2007/08/09/E7-15531.html Thu, 09 Aug 2007 00:00:00 -0700 E7-15531 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-09/pdf/E7-15531.pdf Notice - 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 Offer https://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15434.html https://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15434.html Wed, 08 Aug 2007 00:00:00 -0700 E7-15434 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-08/pdf/E7-15434.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15433.html https://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15433.html Wed, 08 Aug 2007 00:00:00 -0700 E7-15433 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-08/pdf/E7-15433.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15432.html https://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15432.html Wed, 08 Aug 2007 00:00:00 -0700 E7-15432 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-08/pdf/E7-15432.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15431.html https://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15431.html Wed, 08 Aug 2007 00:00:00 -0700 E7-15431 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-08/pdf/E7-15431.pdf Notice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Block Trade and EFP Transaction Reporting Procedures https://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15384.html https://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15384.html Wed, 08 Aug 2007 00:00:00 -0700 E7-15384 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-08/pdf/E7-15384.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change Relating to Membership, Definitions, and the Electronic Pool Notification Service https://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15371.html https://regulations.justia.com/regulations/fedreg/2007/08/08/E7-15371.html Wed, 08 Aug 2007 00:00:00 -0700 E7-15371 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-08/pdf/E7-15371.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15313.html https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15313.html Tue, 07 Aug 2007 00:00:00 -0700 E7-15313 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15313.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Auction Only Limit Order Type https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15312.html https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15312.html Tue, 07 Aug 2007 00:00:00 -0700 E7-15312 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15312.pdf Notice - 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 NASD https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15311.html https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15311.html Tue, 07 Aug 2007 00:00:00 -0700 E7-15311 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15311.pdf Notice - 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 Outcry https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15310.html https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15310.html Tue, 07 Aug 2007 00:00:00 -0700 E7-15310 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15310.pdf Notice - Lehman Brothers Asset Management, LLC., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15309.html https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15309.html Tue, 07 Aug 2007 00:00:00 -0700 E7-15309 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15309.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15290.html https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15290.html Tue, 07 Aug 2007 00:00:00 -0700 E7-15290 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15290.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15288.html https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15288.html Tue, 07 Aug 2007 00:00:00 -0700 E7-15288 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15288.pdf Notice - 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.) https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15274.html https://regulations.justia.com/regulations/fedreg/2007/08/07/E7-15274.html Tue, 07 Aug 2007 00:00:00 -0700 E7-15274 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-07/pdf/E7-15274.pdf Notice - AARP Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/08/06/E7-15188.html https://regulations.justia.com/regulations/fedreg/2007/08/06/E7-15188.html Mon, 06 Aug 2007 00:00:00 -0700 E7-15188 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-06/pdf/E7-15188.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 13e-3 (Schedule 13E-3); OMB Control No. 3235-0007; SEC File No. 270-1 https://regulations.justia.com/regulations/fedreg/2007/08/06/E7-15181.html https://regulations.justia.com/regulations/fedreg/2007/08/06/E7-15181.html Mon, 06 Aug 2007 00:00:00 -0700 E7-15181 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-06/pdf/E7-15181.pdf Notice - DWS Advisor Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/08/06/E7-15180.html https://regulations.justia.com/regulations/fedreg/2007/08/06/E7-15180.html Mon, 06 Aug 2007 00:00:00 -0700 E7-15180 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-06/pdf/E7-15180.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15096.html https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15096.html Fri, 03 Aug 2007 00:00:00 -0700 E7-15096 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15096.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15095.html https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15095.html Fri, 03 Aug 2007 00:00:00 -0700 E7-15095 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15095.pdf Notice - 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” Orders https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15094.html https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15094.html Fri, 03 Aug 2007 00:00:00 -0700 E7-15094 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15094.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15093.html https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15093.html Fri, 03 Aug 2007 00:00:00 -0700 E7-15093 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15093.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Directed Orders System Change https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15070.html https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15070.html Fri, 03 Aug 2007 00:00:00 -0700 E7-15070 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15070.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Waive Risk Management Workstation Fees https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15069.html https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15069.html Fri, 03 Aug 2007 00:00:00 -0700 E7-15069 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15069.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15068.html https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15068.html Fri, 03 Aug 2007 00:00:00 -0700 E7-15068 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15068.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to CBOE's Delisting Policy https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15066.html https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15066.html Fri, 03 Aug 2007 00:00:00 -0700 E7-15066 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15066.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15059.html https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15059.html Fri, 03 Aug 2007 00:00:00 -0700 E7-15059 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15059.pdf Notice - Medallion Financial Corp.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15058.html https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-15058.html Fri, 03 Aug 2007 00:00:00 -0700 E7-15058 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-15058.pdf Proposed Rule - Shareholder Proposals Relating to the Election of Directors https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-14955.html https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-14955.html Fri, 03 Aug 2007 00:00:00 -0700 E7-14955 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-14955.pdf Proposed Rule - Shareholder Proposals https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-14954.html https://regulations.justia.com/regulations/fedreg/2007/08/03/E7-14954.html Fri, 03 Aug 2007 00:00:00 -0700 E7-14954 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-03/pdf/E7-14954.pdf Notice - The BISYS Group, Inc., et al.; Temporary Order https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-15022.html https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-15022.html Thu, 02 Aug 2007 00:00:00 -0700 E7-15022 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-15022.pdf Notice - HealthShares, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-15021.html https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-15021.html Thu, 02 Aug 2007 00:00:00 -0700 E7-15021 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-15021.pdf Notice - 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 Witnesses https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14993.html https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14993.html Thu, 02 Aug 2007 00:00:00 -0700 E7-14993 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14993.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 6.86 https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14992.html https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14992.html Thu, 02 Aug 2007 00:00:00 -0700 E7-14992 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14992.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14991.html https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14991.html Thu, 02 Aug 2007 00:00:00 -0700 E7-14991 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14991.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14990.html https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14990.html Thu, 02 Aug 2007 00:00:00 -0700 E7-14990 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14990.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14916.html https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14916.html Thu, 02 Aug 2007 00:00:00 -0700 E7-14916 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14916.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14915.html https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14915.html Thu, 02 Aug 2007 00:00:00 -0700 E7-14915 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14915.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14914.html https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14914.html Thu, 02 Aug 2007 00:00:00 -0700 E7-14914 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14914.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14913.html https://regulations.justia.com/regulations/fedreg/2007/08/02/E7-14913.html Thu, 02 Aug 2007 00:00:00 -0700 E7-14913 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-02/pdf/E7-14913.pdf 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. https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14877.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14877.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14877 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14877.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14858.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14858.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14858 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14858.pdf 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. https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14856.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14856.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14856 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14856.pdf 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. https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14855.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14855.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14855 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14855.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14854.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14854.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14854 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14854.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14853.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14853.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14853 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14853.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14845.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14845.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14845 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14845.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14844.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14844.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14844 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14844.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14843.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14843.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14843 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14843.pdf Notice - Submission for OMB Review; Comment Request; Extension: Rule 302 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14842.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14842.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14842 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14842.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14841.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14841.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14841 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14841.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14840.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14840.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14840 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14840.pdf Notice - Consolidated Tape Association; Notice of Filing of the Ninth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14839.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14839.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14839 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14839.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14838.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14838.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14838 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14838.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14837.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14837.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14837 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14837.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14836.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14836.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14836 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14836.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14835.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14835.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14835 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14835.pdf 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. https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14834.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14834.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14834 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14834.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Existing Fee Schedules https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14833.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14833.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14833 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14833.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Linkage Fees https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14832.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14832.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14832 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14832.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14831.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14831.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14831 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14831.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14830.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14830.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14830 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14830.pdf Rule - Shareholder Choice Regarding Proxy Materials https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14793.html https://regulations.justia.com/regulations/fedreg/2007/08/01/E7-14793.html Wed, 01 Aug 2007 00:00:00 -0700 E7-14793 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-08-01/pdf/E7-14793.pdf