Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/09?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-18T01:36:19-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19269.htmlProposed Rule - Interpretive Rule Under the Advisers Act Affecting Broker-Dealers2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19269Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19269.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19191.htmlRule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19191Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19191.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19185.htmlNotice - Proposed Collection; Comment Request2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19185Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19185.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19175.htmlNotice - Securities Exchange Act of 1934; Order Granting Registration of Standard & Poor's Ratings Services as a Nationally Recognized Statistical Rating Organization2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19175Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19175.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19174.htmlNotice - Securities Exchange Act of 1934; Order Granting Registration of Japan Credit Rating Agency, LTD., as a Nationally Recognized Statistical Rating Organization2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19174Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19174.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19173.htmlNotice - Securities Exchange Act of 1934; Order Granting Registration of Rating and Investment Information, Inc., as a Nationally Recognized Statistical Rating Organization2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19173Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19173.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19172.htmlNotice - Securities Exchange Act of 1934; Order Granting Registration of Moody's Investors Service, Inc. as a Nationally Recognized Statistical Rating Organization2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19172Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19172.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19171.htmlNotice - Securities Exchange Act of 1934; Order Granting Registration of Fitch, Inc. as a Nationally Recognized Statistical Rating Organization2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19171Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19171.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19170.htmlNotice - Securities Exchange Act Of 1934; Order Granting Registration Of DBRS Limited As A Nationally Recognized Statistical Rating Organization2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19170Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19170.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19169.htmlNotice - Securities Exchange Act of 1934; Order Granting Registration of A.M. Best Company, Inc. as a Nationally Recognized Statistical Rating Organization2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19169Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19169.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19165.htmlNotice - 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 Makers2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19165Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19165.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19164.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PrecISE Fees2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19164.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19163.htmlNotice - 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 Rules2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19163.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19162.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Obvious Error Rules2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19162Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19162.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19161.htmlNotice - 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 Limits2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19161Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19161.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19160.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Quoting Obligations in Long Term Options2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19160Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19160.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19149.htmlNotice - ProShares Trust, et al.; Notice of Application2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19149Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19149.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19148.htmlNotice - WisdomTree Investments, Inc., et al.; Notice of Application2007-09-28T00:00:00-07:002007-09-28T00:00:00-07:00E7-19148Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19148.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19091.htmlNotice - 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 Facility2007-09-27T00:00:00-07:002007-09-27T00:00:00-07:00E7-19091Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19091.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19080.htmlNotice - 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 Options2007-09-27T00:00:00-07:002007-09-27T00:00:00-07:00E7-19080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19080.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19079.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to CBOE Rules Governing Doing Business With the Public2007-09-27T00:00:00-07:002007-09-27T00:00:00-07:00E7-19079Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19079.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19023.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendment to Rule A-3, on Membership on the Board2007-09-27T00:00:00-07:002007-09-27T00:00:00-07:00E7-19023Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19023.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19022.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving Proposed Rule Change to Standardize Certain Options Rules for Equity, Index, and ETF Options2007-09-27T00:00:00-07:002007-09-27T00:00:00-07:00E7-19022Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19022.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18963.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Binary Options2007-09-26T00:00:00-07:002007-09-26T00:00:00-07:00E7-18963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18963.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18958.htmlNotice - 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 Research2007-09-26T00:00:00-07:002007-09-26T00:00:00-07:00E7-18958Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18958.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18957.htmlNotice - 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 Supervision2007-09-26T00:00:00-07:002007-09-26T00:00:00-07:00E7-18957Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18957.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18956.htmlNotice - 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 Center2007-09-26T00:00:00-07:002007-09-26T00:00:00-07:00E7-18956Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18956.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18955.htmlNotice - 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 Center2007-09-26T00:00:00-07:002007-09-26T00:00:00-07:00E7-18955Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18955.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18954.htmlNotice - 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 Report2007-09-26T00:00:00-07:002007-09-26T00:00:00-07:00E7-18954Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18954.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18920.htmlNotice - Proposed Collection; Comment Request2007-09-26T00:00:00-07:002007-09-26T00:00:00-07:00E7-18920Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18920.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/26/07-4760.htmlNotice - In the Matter of Evolution Global Capital Partners, Inc.; Order of Suspension of Trading2007-09-26T00:00:00-07:002007-09-26T00:00:00-07:0007-4760Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/07-4760.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/26/07-4759.htmlNotice - In the Matter of Biomaxx Systems, Inc.; Order of Suspension of Trading2007-09-26T00:00:00-07:002007-09-26T00:00:00-07:0007-4759Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/07-4759.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18841.htmlNotice - 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 Fund2007-09-25T00:00:00-07:002007-09-25T00:00:00-07:00E7-18841Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18841.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18834.htmlNotice - 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 Index2007-09-25T00:00:00-07:002007-09-25T00:00:00-07:00E7-18834Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18834.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18828.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to NYSE Rule 104.10 (“Dealings by Specialists”)2007-09-25T00:00:00-07:002007-09-25T00:00:00-07:00E7-18828Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18828.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18825.htmlNotice - 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 System2007-09-25T00:00:00-07:002007-09-25T00:00:00-07:00E7-18825Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18825.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18824.htmlNotice - 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 Violations2007-09-25T00:00:00-07:002007-09-25T00:00:00-07:00E7-18824Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18824.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18823.htmlNotice - 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 Securities2007-09-25T00:00:00-07:002007-09-25T00:00:00-07:00E7-18823Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18823.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18822.htmlNotice - 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 Requirements2007-09-25T00:00:00-07:002007-09-25T00:00:00-07:00E7-18822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18822.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18821.htmlNotice - 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 Standards2007-09-25T00:00:00-07:002007-09-25T00:00:00-07:00E7-18821Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18821.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18820.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2007-09-25T00:00:00-07:002007-09-25T00:00:00-07:00E7-18820Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18820.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18819.htmlNotice - 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 Orders2007-09-25T00:00:00-07:002007-09-25T00:00:00-07:00E7-18819Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18819.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/25/07-4731.htmlNotice - In the Matter of Plasticon International Inc.; Order of Suspension of Trading2007-09-25T00:00:00-07:002007-09-25T00:00:00-07:0007-4731Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/07-4731.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18766.htmlNotice - 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 Phones2007-09-24T00:00:00-07:002007-09-24T00:00:00-07:00E7-18766Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18766.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18730.htmlNotice - 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 Eligibility2007-09-24T00:00:00-07:002007-09-24T00:00:00-07:00E7-18730Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18730.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18729.htmlNotice - 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 LEAPs2007-09-24T00:00:00-07:002007-09-24T00:00:00-07:00E7-18729Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18729.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18728.htmlNotice - 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 Fund2007-09-24T00:00:00-07:002007-09-24T00:00:00-07:00E7-18728Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18728.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18727.htmlNotice - 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 Traders2007-09-24T00:00:00-07:002007-09-24T00:00:00-07:00E7-18727Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18727.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18721.htmlNotice - Sunshine Act Meetings2007-09-21T00:00:00-07:002007-09-21T00:00:00-07:00E7-18721Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18721.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18687.htmlNotice - Proposed Collection; Comment Request2007-09-21T00:00:00-07:002007-09-21T00:00:00-07:00E7-18687Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18687.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18686.htmlNotice - 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 Makers2007-09-21T00:00:00-07:002007-09-21T00:00:00-07:00E7-18686Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18686.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18552.htmlNotice - 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 XLE2007-09-21T00:00:00-07:002007-09-21T00:00:00-07:00E7-18552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18552.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18551.htmlNotice - 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 Instruments2007-09-21T00:00:00-07:002007-09-21T00:00:00-07:00E7-18551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18551.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18550.htmlNotice - Proposed Collection; Comment Request2007-09-21T00:00:00-07:002007-09-21T00:00:00-07:00E7-18550Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18550.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18451.htmlNotice - Request for Public Comment2007-09-19T00:00:00-07:002007-09-19T00:00:00-07:00E7-18451Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18451.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18416.htmlNotice - 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 Charges2007-09-19T00:00:00-07:002007-09-19T00:00:00-07:00E7-18416Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18416.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18415.htmlNotice - 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 Annuities2007-09-19T00:00:00-07:002007-09-19T00:00:00-07:00E7-18415Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18415.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18405.htmlProposed Rule - Concept Release on Allowing U.S. Issuers to Prepare Financial Statements in Accordance With International Financial Reporting Standards2007-09-19T00:00:00-07:002007-09-19T00:00:00-07:00E7-18405Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18405.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18392.htmlNotice - Proposed Collection; Comment Request2007-09-19T00:00:00-07:002007-09-19T00:00:00-07:00E7-18392Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18392.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18391.htmlNotice - 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”)2007-09-19T00:00:00-07:002007-09-19T00:00:00-07:00E7-18391Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18391.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18390.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for the VTE Terminal2007-09-19T00:00:00-07:002007-09-19T00:00:00-07:00E7-18390Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18390.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18389.htmlNotice - 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 Makers2007-09-19T00:00:00-07:002007-09-19T00:00:00-07:00E7-18389Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18389.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18388.htmlNotice - Hercules Technology Growth Capital, Inc.; Notice of Application2007-09-19T00:00:00-07:002007-09-19T00:00:00-07:00E7-18388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18388.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18381.htmlNotice - Sunshine Act Meeting; Federal Register Citation of Previous Announcement: [to be Announced]2007-09-18T00:00:00-07:002007-09-18T00:00:00-07:00E7-18381Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18381.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18312.htmlNotice - Sunshine Act Meetings2007-09-18T00:00:00-07:002007-09-18T00:00:00-07:00E7-18312Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18312.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18271.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Fee Reduction2007-09-18T00:00:00-07:002007-09-18T00:00:00-07:00E7-18271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18271.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18270.htmlNotice - 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® Services2007-09-18T00:00:00-07:002007-09-18T00:00:00-07:00E7-18270Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18270.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18269.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Member Floor Fees2007-09-18T00:00:00-07:002007-09-18T00:00:00-07:00E7-18269Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18269.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18268.htmlNotice - In the Matter of Terax Energy, Inc.; Corrected Order of Suspension of Trading2007-09-18T00:00:00-07:002007-09-18T00:00:00-07:00E7-18268Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18268.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/17/E7-18217.htmlNotice - 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 Options2007-09-17T00:00:00-07:002007-09-17T00:00:00-07:00E7-18217Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-17/pdf/E7-18217.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/17/E7-18216.htmlNotice - 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 Series2007-09-17T00:00:00-07:002007-09-17T00:00:00-07:00E7-18216Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-17/pdf/E7-18216.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/14/E7-18214.htmlNotice - Sunshine Act Meeting; Federal Register Citation of Previous Announcement; 72 FR 51281, September 6, 20072007-09-14T00:00:00-07:002007-09-14T00:00:00-07:00E7-18214Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-14/pdf/E7-18214.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/14/E7-18132.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2007-09-14T00:00:00-07:002007-09-14T00:00:00-07:00E7-18132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-14/pdf/E7-18132.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/14/E7-18131.htmlNotice - 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)2007-09-14T00:00:00-07:002007-09-14T00:00:00-07:00E7-18131Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-14/pdf/E7-18131.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/14/07-4584.htmlNotice - In the Matter of Terax Energy, Inc.; Order of Suspension of Trading2007-09-14T00:00:00-07:002007-09-14T00:00:00-07:0007-4584Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-14/pdf/07-4584.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18081.htmlNotice - Submission for OMB Review; Comment Request2007-09-13T00:00:00-07:002007-09-13T00:00:00-07:00E7-18081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18081.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18077.htmlNotice - 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 Processing2007-09-13T00:00:00-07:002007-09-13T00:00:00-07:00E7-18077Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18077.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18076.htmlNotice - 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 Charges2007-09-13T00:00:00-07:002007-09-13T00:00:00-07:00E7-18076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18076.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18075.htmlNotice - 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 Service2007-09-13T00:00:00-07:002007-09-13T00:00:00-07:00E7-18075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18075.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18023.htmlNotice - 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 Contracts2007-09-13T00:00:00-07:002007-09-13T00:00:00-07:00E7-18023Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18023.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18022.htmlNotice - 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 Annuities2007-09-13T00:00:00-07:002007-09-13T00:00:00-07:00E7-18022Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18022.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17961.htmlNotice - 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 Stock2007-09-12T00:00:00-07:002007-09-12T00:00:00-07:00E7-17961Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17961.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17960.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Deletion of the NMS Linkage Fee2007-09-12T00:00:00-07:002007-09-12T00:00:00-07:00E7-17960Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17960.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17959.htmlNotice - 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 Options2007-09-12T00:00:00-07:002007-09-12T00:00:00-07:00E7-17959Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17959.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17947.htmlNotice - 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)2007-09-12T00:00:00-07:002007-09-12T00:00:00-07:00E7-17947Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17947.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17941.htmlNotice - Request for Public Comment2007-09-12T00:00:00-07:002007-09-12T00:00:00-07:00E7-17941Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17941.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17940.htmlNotice - Proposed Collections; Comment Request2007-09-12T00:00:00-07:002007-09-12T00:00:00-07:00E7-17940Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17940.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17939.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2007-09-12T00:00:00-07:002007-09-12T00:00:00-07:00E7-17939Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17939.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17938.htmlNotice - 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 Options2007-09-12T00:00:00-07:002007-09-12T00:00:00-07:00E7-17938Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17938.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17937.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2007-09-12T00:00:00-07:002007-09-12T00:00:00-07:00E7-17937Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17937.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17936.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-ISE Market Maker Fees2007-09-12T00:00:00-07:002007-09-12T00:00:00-07:00E7-17936Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17936.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17935.htmlNotice - 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 Mitigation2007-09-12T00:00:00-07:002007-09-12T00:00:00-07:00E7-17935Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17935.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17786.htmlNotice - Financial Investors Variable Insurance Trust et al., Notice of Application September 4, 20072007-09-11T00:00:00-07:002007-09-11T00:00:00-07:00E7-17786Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-11/pdf/E7-17786.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17785.htmlNotice - 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 Section2007-09-11T00:00:00-07:002007-09-11T00:00:00-07:00E7-17785Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-11/pdf/E7-17785.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17784.htmlNotice - 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 Limits2007-09-11T00:00:00-07:002007-09-11T00:00:00-07:00E7-17784Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-11/pdf/E7-17784.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17783.htmlNotice - 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 Fees2007-09-11T00:00:00-07:002007-09-11T00:00:00-07:00E7-17783Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-11/pdf/E7-17783.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/10/E7-17721.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2007-09-10T00:00:00-07:002007-09-10T00:00:00-07:00E7-17721Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-10/pdf/E7-17721.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/10/E7-17720.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Halt Cross Process2007-09-10T00:00:00-07:002007-09-10T00:00:00-07:00E7-17720Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-10/pdf/E7-17720.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/10/E7-17683.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Historic TRACE Data2007-09-10T00:00:00-07:002007-09-10T00:00:00-07:00E7-17683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-10/pdf/E7-17683.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17699.htmlNotice - 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 Organizations2007-09-07T00:00:00-07:002007-09-07T00:00:00-07:00E7-17699Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17699.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17698.htmlNotice - Trust for Professional Managers, Inc., et al.; Notice of Application2007-09-07T00:00:00-07:002007-09-07T00:00:00-07:00E7-17698Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17698.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17673.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402007-09-07T00:00:00-07:002007-09-07T00:00:00-07:00E7-17673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17673.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17671.htmlNotice - SPA ETF Trust and SPA ETF Inc.; Notice of Application2007-09-07T00:00:00-07:002007-09-07T00:00:00-07:00E7-17671Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17671.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17670.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Execution of NDX and RUT Combination Orders2007-09-07T00:00:00-07:002007-09-07T00:00:00-07:00E7-17670Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17670.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17669.htmlNotice - 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 Bankruptcy2007-09-07T00:00:00-07:002007-09-07T00:00:00-07:00E7-17669Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17669.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17672.htmlNotice - Sunshine Act Meeting2007-09-06T00:00:00-07:002007-09-06T00:00:00-07:00E7-17672Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17672.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17640.htmlNotice - Sunshine Act Meeting2007-09-06T00:00:00-07:002007-09-06T00:00:00-07:00E7-17640Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17640.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17585.htmlNotice - Submission for OMB Review; Comment Request2007-09-06T00:00:00-07:002007-09-06T00:00:00-07:00E7-17585Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17585.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17584.htmlNotice - Submission for OMB Review; Comment Request2007-09-06T00:00:00-07:002007-09-06T00:00:00-07:00E7-17584Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17584.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17583.htmlNotice - Submission for OMB Review; Comment Request2007-09-06T00:00:00-07:002007-09-06T00:00:00-07:00E7-17583Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17583.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17576.htmlNotice - Submission for OMB Review; Comment Request2007-09-06T00:00:00-07:002007-09-06T00:00:00-07:00E7-17576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17576.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17575.htmlNotice - Submission for OMB Review; Comment Request2007-09-06T00:00:00-07:002007-09-06T00:00:00-07:00E7-17575Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17575.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17574.htmlNotice - Submission for OMB Review; Comment Request2007-09-06T00:00:00-07:002007-09-06T00:00:00-07:00E7-17574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17574.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17573.htmlNotice - Minnesota Life Insurance Company, et al.2007-09-06T00:00:00-07:002007-09-06T00:00:00-07:00E7-17573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17573.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17572.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ORS Order Cancellation Fee2007-09-06T00:00:00-07:002007-09-06T00:00:00-07:00E7-17572Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17572.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17545.htmlNotice - 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 Firms2007-09-06T00:00:00-07:002007-09-06T00:00:00-07:00E7-17545Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17545.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17544.htmlNotice - 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 Exchange2007-09-06T00:00:00-07:002007-09-06T00:00:00-07:00E7-17544Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17544.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17543.htmlNotice - 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 Securities2007-09-06T00:00:00-07:002007-09-06T00:00:00-07:00E7-17543Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17543.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17499.htmlNotice - Rydex ETF Trust, et al.; Notice of Application2007-09-05T00:00:00-07:002007-09-05T00:00:00-07:00E7-17499Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-05/pdf/E7-17499.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17479.htmlNotice - 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 Program2007-09-05T00:00:00-07:002007-09-05T00:00:00-07:00E7-17479Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-05/pdf/E7-17479.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17478.htmlNotice - 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 Participants2007-09-05T00:00:00-07:002007-09-05T00:00:00-07:00E7-17478Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-05/pdf/E7-17478.pdfhttps://regulations.justia.com/regulations/fedreg/2007/09/04/E7-17409.htmlNotice - 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 Trading2007-09-04T00:00:00-07:002007-09-04T00:00:00-07:00E7-17409Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-09-04/pdf/E7-17409.pdf