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?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2020-02-25T21:20:26-08:00 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/2007/09/28/E7-19269.html Proposed Rule - Interpretive Rule Under the Advisers Act Affecting Broker-Dealers 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19269 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19269.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19191.html Rule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19191 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19191.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19185.html Notice - Proposed Collection; Comment Request 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19185 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19185.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19175.html Notice - Securities Exchange Act of 1934; Order Granting Registration of Standard & Poor's Ratings Services as a Nationally Recognized Statistical Rating Organization 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19175 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19175.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19174.html Notice - Securities Exchange Act of 1934; Order Granting Registration of Japan Credit Rating Agency, LTD., as a Nationally Recognized Statistical Rating Organization 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19174 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19174.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19173.html Notice - Securities Exchange Act of 1934; Order Granting Registration of Rating and Investment Information, Inc., as a Nationally Recognized Statistical Rating Organization 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19173 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19173.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19172.html Notice - Securities Exchange Act of 1934; Order Granting Registration of Moody's Investors Service, Inc. as a Nationally Recognized Statistical Rating Organization 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19172 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19172.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19171.html Notice - Securities Exchange Act of 1934; Order Granting Registration of Fitch, Inc. as a Nationally Recognized Statistical Rating Organization 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19171 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19171.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19170.html Notice - Securities Exchange Act Of 1934; Order Granting Registration Of DBRS Limited As A Nationally Recognized Statistical Rating Organization 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19170 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19170.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19169.html Notice - Securities Exchange Act of 1934; Order Granting Registration of A.M. Best Company, Inc. as a Nationally Recognized Statistical Rating Organization 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19169 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19169.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19165.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Commence a One Year Pilot Program Relating to a Quote Mitigation Plan for Competitive Market Makers 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19165 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19165.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19164.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PrecISE Fees 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19164 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19164.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19163.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require That the AEMI Trading Platform Function To Assure Compliance With the Exchange's Priority and Parity Rules 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19163 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19163.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19162.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Obvious Error Rules 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19162 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19162.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19161.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness 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 Certain Reduced-Value Options on Broad-Based Security Indexes Have No Position and Exercise Limits 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19161 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19161.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19160.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Quoting Obligations in Long Term Options 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19160 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19160.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19149.html Notice - ProShares Trust, et al.; Notice of Application 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19149 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19149.pdf https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19148.html Notice - WisdomTree Investments, Inc., et al.; Notice of Application 2007-09-28T00:00:00-07:00 2007-09-28T00:00:00-07:00 E7-19148 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19148.pdf https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19091.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Changes in the Functionality of the NASD/NYSE Trade Reporting Facility 2007-09-27T00:00:00-07:00 2007-09-27T00:00:00-07:00 E7-19091 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19091.pdf https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19080.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Amending Its Obvious Error Rule for Equity Options 2007-09-27T00:00:00-07:00 2007-09-27T00:00:00-07:00 E7-19080 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19080.pdf https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19079.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to CBOE Rules Governing Doing Business With the Public 2007-09-27T00:00:00-07:00 2007-09-27T00:00:00-07:00 E7-19079 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19079.pdf https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19023.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendment to Rule A-3, on Membership on the Board 2007-09-27T00:00:00-07:00 2007-09-27T00:00:00-07:00 E7-19023 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19023.pdf https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19022.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving Proposed Rule Change to Standardize Certain Options Rules for Equity, Index, and ETF Options 2007-09-27T00:00:00-07:00 2007-09-27T00:00:00-07:00 E7-19022 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19022.pdf https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18963.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Binary Options 2007-09-26T00:00:00-07:00 2007-09-26T00:00:00-07:00 E7-18963 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18963.pdf https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18958.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend NASD Rule 2711 and NYSE Rule 472 Regarding a Member's Disclosure and Supervisory Review Obligations When Distributing Third-Party Research 2007-09-26T00:00:00-07:00 2007-09-26T00:00:00-07:00 E7-18958 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18958.pdf https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18957.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of Amendments to Rule G-27 on Supervision 2007-09-26T00:00:00-07:00 2007-09-26T00:00:00-07:00 E7-18957 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18957.pdf https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18956.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change and Amendment No. 2 Thereto, To Retroactively Modify Pricing for Nasdaq Members Using the Nasdaq Market Center 2007-09-26T00:00:00-07:00 2007-09-26T00:00:00-07:00 E7-18956 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18956.pdf https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18955.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the Nasdaq Market Center 2007-09-26T00:00:00-07:00 2007-09-26T00:00:00-07:00 E7-18955 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18955.pdf https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18954.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for Certain Research Analysts Employed by a Member's Foreign Affiliate Who Contribute to the Preparation of a Member's Research Report 2007-09-26T00:00:00-07:00 2007-09-26T00:00:00-07:00 E7-18954 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18954.pdf https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18920.html Notice - Proposed Collection; Comment Request 2007-09-26T00:00:00-07:00 2007-09-26T00:00:00-07:00 E7-18920 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18920.pdf https://regulations.justia.com/regulations/fedreg/2007/09/26/07-4760.html Notice - In the Matter of Evolution Global Capital Partners, Inc.; Order of Suspension of Trading 2007-09-26T00:00:00-07:00 2007-09-26T00:00:00-07:00 07-4760 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/07-4760.pdf https://regulations.justia.com/regulations/fedreg/2007/09/26/07-4759.html Notice - In the Matter of Biomaxx Systems, Inc.; Order of Suspension of Trading 2007-09-26T00:00:00-07:00 2007-09-26T00:00:00-07:00 07-4759 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/07-4759.pdf https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18841.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendments No. 1, 2, 3, 4, 5, and 6 Thereto, Relating to the Listing and Trading of Shares of the Nuveen Commodities Income and Growth Fund 2007-09-25T00:00:00-07:00 2007-09-25T00:00:00-07:00 E7-18841 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18841.pdf https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18834.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Appointment Costs for Options on the CBOE Russell 2000 Volatility Index and the CBOE Nasdaq-100 Volatility Index 2007-09-25T00:00:00-07:00 2007-09-25T00:00:00-07:00 E7-18834 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18834.pdf https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18828.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to NYSE Rule 104.10 (“Dealings by Specialists”) 2007-09-25T00:00:00-07:00 2007-09-25T00:00:00-07:00 E7-18828 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18828.pdf https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18825.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Allow As-of Fixed Income Trades To Be Processed in the Continuous Net Settlement System 2007-09-25T00:00:00-07:00 2007-09-25T00:00:00-07:00 E7-18825 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18825.pdf https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18824.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change To Amend CBOE's Rule Pertaining to Verification Requests for Trade Reporting Minor Rule Violations 2007-09-25T00:00:00-07:00 2007-09-25T00:00:00-07:00 E7-18824 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18824.pdf https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18823.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto To Retroactively Amend Transaction Charges for Equities, ETFs, and Nasdaq UTP Securities 2007-09-25T00:00:00-07:00 2007-09-25T00:00:00-07:00 E7-18823 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18823.pdf https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18822.html Notice - Self-Regulatory Organizations; American Stock Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Amendments to Exchange Training and Examination Requirements 2007-09-25T00:00:00-07:00 2007-09-25T00:00:00-07:00 E7-18822 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18822.pdf https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18821.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Elimination of Calculation Methodology From Generic Listing Standards 2007-09-25T00:00:00-07:00 2007-09-25T00:00:00-07:00 E7-18821 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18821.pdf https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18820.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2007-09-25T00:00:00-07:00 2007-09-25T00:00:00-07:00 E7-18820 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18820.pdf https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18819.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Amend Fees for the Entry of Good Till Cancelled or Good Till Date Orders 2007-09-25T00:00:00-07:00 2007-09-25T00:00:00-07:00 E7-18819 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18819.pdf https://regulations.justia.com/regulations/fedreg/2007/09/25/07-4731.html Notice - In the Matter of Plasticon International Inc.; Order of Suspension of Trading 2007-09-25T00:00:00-07:00 2007-09-25T00:00:00-07:00 07-4731 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/07-4731.pdf https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18766.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Tto Amend the Fee Charged to Member Organizations for Maintenance of Exchange-Issued Cellular Phones 2007-09-24T00:00:00-07:00 2007-09-24T00:00:00-07:00 E7-18766 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18766.pdf https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18730.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Continuation of Temporary Membership Status From and After Commission Approval of a Pending Rule Interpretation Concerning Exercise Right Eligibility 2007-09-24T00:00:00-07:00 2007-09-24T00:00:00-07:00 E7-18730 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18730.pdf https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18729.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to $1 Strikes for VXD and VXN Options and $1 Strikes for RVX, VIX, VXD and VXN LEAPs 2007-09-24T00:00:00-07:00 2007-09-24T00:00:00-07:00 E7-18729 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18729.pdf https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18728.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Retire Two Existing Pilot Programs that Permit the Exchange To list Options on the Vanguard Emerging Markets Exchange Traded Fund and the iShares MSCI Emerging Markets Index Fund 2007-09-24T00:00:00-07:00 2007-09-24T00:00:00-07:00 E7-18728 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18728.pdf https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18727.html Notice - Self-Regulatory Organizations; American Stock Exchange, LLC; Order Approving a Proposed Rule Change To Establish a New Class of Off-Floor Market Makers in ETFs and Equities Called Designated Amex Remote Traders 2007-09-24T00:00:00-07:00 2007-09-24T00:00:00-07:00 E7-18727 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18727.pdf https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18721.html Notice - Sunshine Act Meetings 2007-09-21T00:00:00-07:00 2007-09-21T00:00:00-07:00 E7-18721 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18721.pdf https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18687.html Notice - Proposed Collection; Comment Request 2007-09-21T00:00:00-07:00 2007-09-21T00:00:00-07:00 E7-18687 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18687.pdf https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18686.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a Quote Mitigation Plan for Competitive Market Makers 2007-09-21T00:00:00-07:00 2007-09-21T00:00:00-07:00 E7-18686 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18686.pdf https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18552.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Throughs for IOC Cross Orders on the XLE 2007-09-21T00:00:00-07:00 2007-09-21T00:00:00-07:00 E7-18552 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18552.pdf https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18551.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Exemption From Reporting for TRACE-Eligible Securities Transactions Resulting From Exercise or Settlement of Options, Termination or Settlement of Credit Default Swaps, Other Types of Swaps, or Similar Instruments 2007-09-21T00:00:00-07:00 2007-09-21T00:00:00-07:00 E7-18551 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18551.pdf https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18550.html Notice - Proposed Collection; Comment Request 2007-09-21T00:00:00-07:00 2007-09-21T00:00:00-07:00 E7-18550 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18550.pdf https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18451.html Notice - Request for Public Comment 2007-09-19T00:00:00-07:00 2007-09-19T00:00:00-07:00 E7-18451 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18451.pdf https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18416.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to U.S. Dollar-Settled Foreign Currency Option Charges 2007-09-19T00:00:00-07:00 2007-09-19T00:00:00-07:00 E7-18416 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18416.pdf https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18415.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 Variable Annuities 2007-09-19T00:00:00-07:00 2007-09-19T00:00:00-07:00 E7-18415 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18415.pdf https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18405.html Proposed Rule - Concept Release on Allowing U.S. Issuers to Prepare Financial Statements in Accordance With International Financial Reporting Standards 2007-09-19T00:00:00-07:00 2007-09-19T00:00:00-07:00 E7-18405 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18405.pdf https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18392.html Notice - Proposed Collection; Comment Request 2007-09-19T00:00:00-07:00 2007-09-19T00:00:00-07:00 E7-18392 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18392.pdf https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18391.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Rule 103B (“Specialist Stock Allocation”) 2007-09-19T00:00:00-07:00 2007-09-19T00:00:00-07:00 E7-18391 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18391.pdf https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18390.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for the VTE Terminal 2007-09-19T00:00:00-07:00 2007-09-19T00:00:00-07:00 E7-18390 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18390.pdf https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18389.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Specific Performance Commitments for Primary Market Makers 2007-09-19T00:00:00-07:00 2007-09-19T00:00:00-07:00 E7-18389 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18389.pdf https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18388.html Notice - Hercules Technology Growth Capital, Inc.; Notice of Application 2007-09-19T00:00:00-07:00 2007-09-19T00:00:00-07:00 E7-18388 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18388.pdf https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18381.html Notice - Sunshine Act Meeting; Federal Register Citation of Previous Announcement: [to be Announced] 2007-09-18T00:00:00-07:00 2007-09-18T00:00:00-07:00 E7-18381 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18381.pdf https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18312.html Notice - Sunshine Act Meetings 2007-09-18T00:00:00-07:00 2007-09-18T00:00:00-07:00 E7-18312 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18312.pdf https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18271.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Fee Reduction 2007-09-18T00:00:00-07:00 2007-09-18T00:00:00-07:00 E7-18271 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18271.pdf https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18270.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of One of its NYSE OpenBook® Services 2007-09-18T00:00:00-07:00 2007-09-18T00:00:00-07:00 E7-18270 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18270.pdf https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18269.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Member Floor Fees 2007-09-18T00:00:00-07:00 2007-09-18T00:00:00-07:00 E7-18269 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18269.pdf https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18268.html Notice - In the Matter of Terax Energy, Inc.; Corrected Order of Suspension of Trading 2007-09-18T00:00:00-07:00 2007-09-18T00:00:00-07:00 E7-18268 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18268.pdf https://regulations.justia.com/regulations/fedreg/2007/09/17/E7-18217.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules Pertaining to the Contract Multiplier for Credit Default Options 2007-09-17T00:00:00-07:00 2007-09-17T00:00:00-07:00 E7-18217 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-17/pdf/E7-18217.pdf https://regulations.justia.com/regulations/fedreg/2007/09/17/E7-18216.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Trade Delayed Start Option Series 2007-09-17T00:00:00-07:00 2007-09-17T00:00:00-07:00 E7-18216 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-17/pdf/E7-18216.pdf https://regulations.justia.com/regulations/fedreg/2007/09/14/E7-18214.html Notice - Sunshine Act Meeting; Federal Register Citation of Previous Announcement; 72 FR 51281, September 6, 2007 2007-09-14T00:00:00-07:00 2007-09-14T00:00:00-07:00 E7-18214 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-14/pdf/E7-18214.pdf https://regulations.justia.com/regulations/fedreg/2007/09/14/E7-18132.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2007-09-14T00:00:00-07:00 2007-09-14T00:00:00-07:00 E7-18132 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-14/pdf/E7-18132.pdf https://regulations.justia.com/regulations/fedreg/2007/09/14/E7-18131.html 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 Commentary .02 to Amex Rule 950-ANTE(d) 2007-09-14T00:00:00-07:00 2007-09-14T00:00:00-07:00 E7-18131 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-14/pdf/E7-18131.pdf https://regulations.justia.com/regulations/fedreg/2007/09/14/07-4584.html Notice - In the Matter of Terax Energy, Inc.; Order of Suspension of Trading 2007-09-14T00:00:00-07:00 2007-09-14T00:00:00-07:00 07-4584 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-14/pdf/07-4584.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17961.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Definition of Common Stock 2007-09-12T00:00:00-07:00 2007-09-12T00:00:00-07:00 E7-17961 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17961.pdf https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17960.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Deletion of the NMS Linkage Fee 2007-09-12T00:00:00-07:00 2007-09-12T00:00:00-07:00 E7-17960 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17960.pdf https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17959.html 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 Fees for U.S. Dollar-Settled Foreign Currency Options 2007-09-12T00:00:00-07:00 2007-09-12T00:00:00-07:00 E7-17959 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17959.pdf https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17947.html Notice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 104 (Dealings by Specialists) 2007-09-12T00:00:00-07:00 2007-09-12T00:00:00-07:00 E7-17947 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17947.pdf https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17941.html Notice - Request for Public Comment 2007-09-12T00:00:00-07:00 2007-09-12T00:00:00-07:00 E7-17941 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17941.pdf https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17940.html Notice - Proposed Collections; Comment Request 2007-09-12T00:00:00-07:00 2007-09-12T00:00:00-07:00 E7-17940 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17940.pdf https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17939.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2007-09-12T00:00:00-07:00 2007-09-12T00:00:00-07:00 E7-17939 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17939.pdf https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17938.html 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 Basket Options 2007-09-12T00:00:00-07:00 2007-09-12T00:00:00-07:00 E7-17938 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17938.pdf https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17937.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2007-09-12T00:00:00-07:00 2007-09-12T00:00:00-07:00 E7-17937 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17937.pdf https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17936.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-ISE Market Maker Fees 2007-09-12T00:00:00-07:00 2007-09-12T00:00:00-07:00 E7-17936 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17936.pdf https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17935.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Options Quote Size Mitigation 2007-09-12T00:00:00-07:00 2007-09-12T00:00:00-07:00 E7-17935 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17935.pdf https://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17786.html Notice - Financial Investors Variable Insurance Trust et al., Notice of Application September 4, 2007 2007-09-11T00:00:00-07:00 2007-09-11T00:00:00-07:00 E7-17786 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-11/pdf/E7-17786.pdf https://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17785.html Notice - Self-Regulatory Organizations; American Stock Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Eliminate Position and Exercise Limits for Options on the Russell 2000 Index, and To Specify That Certain Reduced-Value Options on Broad-Based Security Indexes Have No Position and Exercise Limits Pursuant to Section 2007-09-11T00:00:00-07:00 2007-09-11T00:00:00-07:00 E7-17785 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-11/pdf/E7-17785.pdf https://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17784.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Accelerated Approval 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 Certain Reduced-Value Options on Broad-Based Security Indexes Have No Position and Exercise Limits 2007-09-11T00:00:00-07:00 2007-09-11T00:00:00-07:00 E7-17784 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-11/pdf/E7-17784.pdf https://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17783.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Step-Outs and Transfers of Sales Fees 2007-09-11T00:00:00-07:00 2007-09-11T00:00:00-07:00 E7-17783 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-11/pdf/E7-17783.pdf https://regulations.justia.com/regulations/fedreg/2007/09/10/E7-17721.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2007-09-10T00:00:00-07:00 2007-09-10T00:00:00-07:00 E7-17721 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-10/pdf/E7-17721.pdf https://regulations.justia.com/regulations/fedreg/2007/09/10/E7-17720.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Halt Cross Process 2007-09-10T00:00:00-07:00 2007-09-10T00:00:00-07:00 E7-17720 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-10/pdf/E7-17720.pdf https://regulations.justia.com/regulations/fedreg/2007/09/10/E7-17683.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Historic TRACE Data 2007-09-10T00:00:00-07:00 2007-09-10T00:00:00-07:00 E7-17683 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-10/pdf/E7-17683.pdf https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17699.html 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 and Amendment No. 1 Thereto To Establish a Membership Waive-In Process for Certain NYSE Member Organizations 2007-09-07T00:00:00-07:00 2007-09-07T00:00:00-07:00 E7-17699 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17699.pdf https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17698.html Notice - Trust for Professional Managers, Inc., et al.; Notice of Application 2007-09-07T00:00:00-07:00 2007-09-07T00:00:00-07:00 E7-17698 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17698.pdf https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17673.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2007-09-07T00:00:00-07:00 2007-09-07T00:00:00-07:00 E7-17673 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17673.pdf https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17671.html Notice - SPA ETF Trust and SPA ETF Inc.; Notice of Application 2007-09-07T00:00:00-07:00 2007-09-07T00:00:00-07:00 E7-17671 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17671.pdf https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17670.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Execution of NDX and RUT Combination Orders 2007-09-07T00:00:00-07:00 2007-09-07T00:00:00-07:00 E7-17670 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17670.pdf https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17669.html Notice - 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 2007-09-07T00:00:00-07:00 2007-09-07T00:00:00-07:00 E7-17669 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17669.pdf https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17672.html Notice - Sunshine Act Meeting 2007-09-06T00:00:00-07:00 2007-09-06T00:00:00-07:00 E7-17672 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17672.pdf https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17640.html Notice - Sunshine Act Meeting 2007-09-06T00:00:00-07:00 2007-09-06T00:00:00-07:00 E7-17640 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17640.pdf https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17585.html Notice - Submission for OMB Review; Comment Request 2007-09-06T00:00:00-07:00 2007-09-06T00:00:00-07:00 E7-17585 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17585.pdf https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17584.html Notice - Submission for OMB Review; Comment Request 2007-09-06T00:00:00-07:00 2007-09-06T00:00:00-07:00 E7-17584 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17584.pdf https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17583.html Notice - Submission for OMB Review; Comment Request 2007-09-06T00:00:00-07:00 2007-09-06T00:00:00-07:00 E7-17583 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17583.pdf https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17576.html Notice - Submission for OMB Review; Comment Request 2007-09-06T00:00:00-07:00 2007-09-06T00:00:00-07:00 E7-17576 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17576.pdf https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17575.html Notice - Submission for OMB Review; Comment Request 2007-09-06T00:00:00-07:00 2007-09-06T00:00:00-07:00 E7-17575 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17575.pdf https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17574.html Notice - Submission for OMB Review; Comment Request 2007-09-06T00:00:00-07:00 2007-09-06T00:00:00-07:00 E7-17574 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17574.pdf https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17573.html Notice - Minnesota Life Insurance Company, et al. 2007-09-06T00:00:00-07:00 2007-09-06T00:00:00-07:00 E7-17573 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17573.pdf https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17572.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ORS Order Cancellation Fee 2007-09-06T00:00:00-07:00 2007-09-06T00:00:00-07:00 E7-17572 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17572.pdf https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17545.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Institute a Revised System of Payments to Specialist Firms 2007-09-06T00:00:00-07:00 2007-09-06T00:00:00-07:00 E7-17545 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17545.pdf https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17544.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to the Criteria for Securities That Underlie Options Traded on the Exchange 2007-09-06T00:00:00-07:00 2007-09-06T00:00:00-07:00 E7-17544 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17544.pdf https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17543.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating To Requirements for Listing of Commodity-Linked Securities and Currency-Linked Securities 2007-09-06T00:00:00-07:00 2007-09-06T00:00:00-07:00 E7-17543 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17543.pdf https://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17499.html Notice - Rydex ETF Trust, et al.; Notice of Application 2007-09-05T00:00:00-07:00 2007-09-05T00:00:00-07:00 E7-17499 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-05/pdf/E7-17499.pdf https://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17479.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Directed Order Participant Transaction Charge Rebate Program 2007-09-05T00:00:00-07:00 2007-09-05T00:00:00-07:00 E7-17479 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-05/pdf/E7-17479.pdf https://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17478.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Payment for Order Flow Plan To Apply the Current Marketing Fee to Orders Sent to Directed Order Participants 2007-09-05T00:00:00-07:00 2007-09-05T00:00:00-07:00 E7-17478 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-05/pdf/E7-17478.pdf https://regulations.justia.com/regulations/fedreg/2007/09/04/E7-17409.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Equities Rules 5.2(j)(3) (Investment Company Units) and Rule 8.100 (Portfolio Depositary Receipts) in Connection With the Dissemination of Information in Extended Hours Trading 2007-09-04T00:00:00-07:00 2007-09-04T00:00:00-07:00 E7-17409 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-04/pdf/E7-17409.pdf