Securities and Exchange Commission September 7, 2007 – Federal Register Recent Federal Regulation Documents

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Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Establish a Membership Waive-In Process for Certain NYSE Member Organizations
Document Number: E7-17699
Type: Notice
Date: 2007-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17699.html
Trust for Professional Managers, Inc., et al.; Notice of Application
Document Number: E7-17698
Type: Notice
Date: 2007-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17698.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E7-17673
Type: Notice
Date: 2007-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On April 13, 2007, applicant transferred its assets to AllianceBernstein Global High Income Fund, Inc., based on net asset value. Expenses of $268,815 incurred in connection with the reorganization were paid by applicant.
https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17673.html
SPA ETF Trust and SPA ETF Inc.; Notice of Application
Document Number: E7-17671
Type: Notice
Date: 2007-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17671.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Execution of NDX and RUT Combination Orders
Document Number: E7-17670
Type: Notice
Date: 2007-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17670.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Modify the Entry and Annual Fees Paid by a Company That Lists on Nasdaq Upon Emerging From Bankruptcy
Document Number: E7-17669
Type: Notice
Date: 2007-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17669.html
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