<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/09/13?registers=between Sat, 27 Apr 2024 09:28:33 -0700 Sat, 27 Apr 2024 09:28:33 -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/2007/09/13?registers=between Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18081.html https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18081.html Thu, 13 Sep 2007 00:00:00 -0700 E7-18081 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18081.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18077.html https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18077.html Thu, 13 Sep 2007 00:00:00 -0700 E7-18077 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18077.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18076.html https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18076.html Thu, 13 Sep 2007 00:00:00 -0700 E7-18076 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18076.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18075.html https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18075.html Thu, 13 Sep 2007 00:00:00 -0700 E7-18075 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18075.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18023.html https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18023.html Thu, 13 Sep 2007 00:00:00 -0700 E7-18023 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18023.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18022.html https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18022.html Thu, 13 Sep 2007 00:00:00 -0700 E7-18022 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18022.pdf