Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/09/13?limit=200&registers=between&mode=atom 2022-08-09T07:19:25-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18081.html Notice - Submission for OMB Review; Comment Request 2007-09-13T00:00:00-07:00 2007-09-13T00:00:00-07:00 E7-18081 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18081.pdf https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18077.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Amend Its Rules and Procedures With Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing 2007-09-13T00:00:00-07:00 2007-09-13T00:00:00-07:00 E7-18077 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18077.pdf https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18076.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Exchange Fees and Charges 2007-09-13T00:00:00-07:00 2007-09-13T00:00:00-07:00 E7-18076 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18076.pdf https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18075.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) To Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction To Transfer a Customer's Securities Account Consistent With the Time Frames in the Automated Customer Account Transfer Service 2007-09-13T00:00:00-07:00 2007-09-13T00:00:00-07:00 E7-18075 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18075.pdf https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18023.html Notice - Order Granting a Conditional Exemption to Broker-Dealers From Requirements in Rules 15c3-1 And 15c3-3 Under the Securities Exchange Act of 1934 To Promptly Transmit Customer Checks for the Purchase of Deferred Variable Annuity Contracts 2007-09-13T00:00:00-07:00 2007-09-13T00:00:00-07:00 E7-18023 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18023.pdf https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18022.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Amendment Nos. 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities 2007-09-13T00:00:00-07:00 2007-09-13T00:00:00-07:00 E7-18022 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18022.pdf