<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/09?registers=between&min-day=1&max-day=30 Sun, 28 Apr 2024 01:11:21 -0700 Sun, 28 Apr 2024 01:11:21 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/09?registers=between&min-day=1&max-day=30 Proposed Rule - Interpretive Rule Under the Advisers Act Affecting Broker-Dealers https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19269.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19269.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19269 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19269.pdf Rule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19191.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19191.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19191 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19191.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19185.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19185.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19185 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19185.pdf Notice - Securities Exchange Act of 1934; Order Granting Registration of Standard & Poor's Ratings Services as a Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19175.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19175.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19175 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19175.pdf Notice - Securities Exchange Act of 1934; Order Granting Registration of Japan Credit Rating Agency, LTD., as a Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19174.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19174.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19174 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19174.pdf Notice - Securities Exchange Act of 1934; Order Granting Registration of Rating and Investment Information, Inc., as a Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19173.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19173.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19173 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19173.pdf Notice - Securities Exchange Act of 1934; Order Granting Registration of Moody's Investors Service, Inc. as a Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19172.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19172.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19172 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19172.pdf Notice - Securities Exchange Act of 1934; Order Granting Registration of Fitch, Inc. as a Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19171.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19171.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19171 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19171.pdf Notice - Securities Exchange Act Of 1934; Order Granting Registration Of DBRS Limited As A Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19170.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19170.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19170 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19170.pdf Notice - Securities Exchange Act of 1934; Order Granting Registration of A.M. Best Company, Inc. as a Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19169.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19169.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19169 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19169.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19165.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19165.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19165 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19165.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PrecISE Fees https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19164.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19164.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19164 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19164.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19163.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19163.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19163 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19163.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19162.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19162.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19162 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19162.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19161.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19161.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19161 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19161.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19160.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19160.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19160 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19160.pdf Notice - ProShares Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19149.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19149.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19149 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19149.pdf Notice - WisdomTree Investments, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19148.html https://regulations.justia.com/regulations/fedreg/2007/09/28/E7-19148.html Fri, 28 Sep 2007 00:00:00 -0700 E7-19148 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-28/pdf/E7-19148.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19091.html https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19091.html Thu, 27 Sep 2007 00:00:00 -0700 E7-19091 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19091.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19080.html https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19080.html Thu, 27 Sep 2007 00:00:00 -0700 E7-19080 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19080.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19079.html https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19079.html Thu, 27 Sep 2007 00:00:00 -0700 E7-19079 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19079.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19023.html https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19023.html Thu, 27 Sep 2007 00:00:00 -0700 E7-19023 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19023.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving Proposed Rule Change to Standardize Certain Options Rules for Equity, Index, and ETF Options https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19022.html https://regulations.justia.com/regulations/fedreg/2007/09/27/E7-19022.html Thu, 27 Sep 2007 00:00:00 -0700 E7-19022 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-27/pdf/E7-19022.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to Binary Options https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18963.html https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18963.html Wed, 26 Sep 2007 00:00:00 -0700 E7-18963 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18963.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18958.html https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18958.html Wed, 26 Sep 2007 00:00:00 -0700 E7-18958 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18958.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18957.html https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18957.html Wed, 26 Sep 2007 00:00:00 -0700 E7-18957 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18957.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18956.html https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18956.html Wed, 26 Sep 2007 00:00:00 -0700 E7-18956 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18956.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18955.html https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18955.html Wed, 26 Sep 2007 00:00:00 -0700 E7-18955 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18955.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18954.html https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18954.html Wed, 26 Sep 2007 00:00:00 -0700 E7-18954 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18954.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18920.html https://regulations.justia.com/regulations/fedreg/2007/09/26/E7-18920.html Wed, 26 Sep 2007 00:00:00 -0700 E7-18920 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/E7-18920.pdf Notice - In the Matter of Evolution Global Capital Partners, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/09/26/07-4760.html https://regulations.justia.com/regulations/fedreg/2007/09/26/07-4760.html Wed, 26 Sep 2007 00:00:00 -0700 07-4760 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/07-4760.pdf Notice - In the Matter of Biomaxx Systems, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/09/26/07-4759.html https://regulations.justia.com/regulations/fedreg/2007/09/26/07-4759.html Wed, 26 Sep 2007 00:00:00 -0700 07-4759 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-26/pdf/07-4759.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18841.html https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18841.html Tue, 25 Sep 2007 00:00:00 -0700 E7-18841 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18841.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18834.html https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18834.html Tue, 25 Sep 2007 00:00:00 -0700 E7-18834 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18834.pdf 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”) https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18828.html https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18828.html Tue, 25 Sep 2007 00:00:00 -0700 E7-18828 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18828.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18825.html https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18825.html Tue, 25 Sep 2007 00:00:00 -0700 E7-18825 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18825.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18824.html https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18824.html Tue, 25 Sep 2007 00:00:00 -0700 E7-18824 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18824.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18823.html https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18823.html Tue, 25 Sep 2007 00:00:00 -0700 E7-18823 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18823.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18822.html https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18822.html Tue, 25 Sep 2007 00:00:00 -0700 E7-18822 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18822.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18821.html https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18821.html Tue, 25 Sep 2007 00:00:00 -0700 E7-18821 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18821.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18820.html https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18820.html Tue, 25 Sep 2007 00:00:00 -0700 E7-18820 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18820.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18819.html https://regulations.justia.com/regulations/fedreg/2007/09/25/E7-18819.html Tue, 25 Sep 2007 00:00:00 -0700 E7-18819 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/E7-18819.pdf Notice - In the Matter of Plasticon International Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/09/25/07-4731.html https://regulations.justia.com/regulations/fedreg/2007/09/25/07-4731.html Tue, 25 Sep 2007 00:00:00 -0700 07-4731 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-25/pdf/07-4731.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18766.html https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18766.html Mon, 24 Sep 2007 00:00:00 -0700 E7-18766 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18766.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18730.html https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18730.html Mon, 24 Sep 2007 00:00:00 -0700 E7-18730 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18730.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18729.html https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18729.html Mon, 24 Sep 2007 00:00:00 -0700 E7-18729 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18729.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18728.html https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18728.html Mon, 24 Sep 2007 00:00:00 -0700 E7-18728 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18728.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18727.html https://regulations.justia.com/regulations/fedreg/2007/09/24/E7-18727.html Mon, 24 Sep 2007 00:00:00 -0700 E7-18727 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-24/pdf/E7-18727.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18721.html https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18721.html Fri, 21 Sep 2007 00:00:00 -0700 E7-18721 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18721.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18687.html https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18687.html Fri, 21 Sep 2007 00:00:00 -0700 E7-18687 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18687.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18686.html https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18686.html Fri, 21 Sep 2007 00:00:00 -0700 E7-18686 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18686.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18552.html https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18552.html Fri, 21 Sep 2007 00:00:00 -0700 E7-18552 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18552.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18551.html https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18551.html Fri, 21 Sep 2007 00:00:00 -0700 E7-18551 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18551.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18550.html https://regulations.justia.com/regulations/fedreg/2007/09/21/E7-18550.html Fri, 21 Sep 2007 00:00:00 -0700 E7-18550 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-21/pdf/E7-18550.pdf Notice - Request for Public Comment https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18451.html https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18451.html Wed, 19 Sep 2007 00:00:00 -0700 E7-18451 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18451.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18416.html https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18416.html Wed, 19 Sep 2007 00:00:00 -0700 E7-18416 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18416.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Amendment Nos. 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Variable Annuities https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18415.html https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18415.html Wed, 19 Sep 2007 00:00:00 -0700 E7-18415 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18415.pdf Proposed Rule - Concept Release on Allowing U.S. Issuers to Prepare Financial Statements in Accordance With International Financial Reporting Standards https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18405.html https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18405.html Wed, 19 Sep 2007 00:00:00 -0700 E7-18405 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18405.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18392.html https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18392.html Wed, 19 Sep 2007 00:00:00 -0700 E7-18392 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18392.pdf 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”) https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18391.html https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18391.html Wed, 19 Sep 2007 00:00:00 -0700 E7-18391 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18391.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18390.html https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18390.html Wed, 19 Sep 2007 00:00:00 -0700 E7-18390 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18390.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18389.html https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18389.html Wed, 19 Sep 2007 00:00:00 -0700 E7-18389 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18389.pdf Notice - Hercules Technology Growth Capital, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18388.html https://regulations.justia.com/regulations/fedreg/2007/09/19/E7-18388.html Wed, 19 Sep 2007 00:00:00 -0700 E7-18388 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-19/pdf/E7-18388.pdf Notice - Sunshine Act Meeting; Federal Register Citation of Previous Announcement: [to be Announced] https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18381.html https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18381.html Tue, 18 Sep 2007 00:00:00 -0700 E7-18381 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18381.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18312.html https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18312.html Tue, 18 Sep 2007 00:00:00 -0700 E7-18312 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18312.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Fee Reduction https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18271.html https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18271.html Tue, 18 Sep 2007 00:00:00 -0700 E7-18271 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18271.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18270.html https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18270.html Tue, 18 Sep 2007 00:00:00 -0700 E7-18270 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18270.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Member Floor Fees https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18269.html https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18269.html Tue, 18 Sep 2007 00:00:00 -0700 E7-18269 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18269.pdf Notice - In the Matter of Terax Energy, Inc.; Corrected Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18268.html https://regulations.justia.com/regulations/fedreg/2007/09/18/E7-18268.html Tue, 18 Sep 2007 00:00:00 -0700 E7-18268 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-18/pdf/E7-18268.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/17/E7-18217.html https://regulations.justia.com/regulations/fedreg/2007/09/17/E7-18217.html Mon, 17 Sep 2007 00:00:00 -0700 E7-18217 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-17/pdf/E7-18217.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/17/E7-18216.html https://regulations.justia.com/regulations/fedreg/2007/09/17/E7-18216.html Mon, 17 Sep 2007 00:00:00 -0700 E7-18216 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-17/pdf/E7-18216.pdf Notice - Sunshine Act Meeting; Federal Register Citation of Previous Announcement; 72 FR 51281, September 6, 2007 https://regulations.justia.com/regulations/fedreg/2007/09/14/E7-18214.html https://regulations.justia.com/regulations/fedreg/2007/09/14/E7-18214.html Fri, 14 Sep 2007 00:00:00 -0700 E7-18214 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-14/pdf/E7-18214.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2007/09/14/E7-18132.html https://regulations.justia.com/regulations/fedreg/2007/09/14/E7-18132.html Fri, 14 Sep 2007 00:00:00 -0700 E7-18132 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-14/pdf/E7-18132.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/09/14/E7-18131.html https://regulations.justia.com/regulations/fedreg/2007/09/14/E7-18131.html Fri, 14 Sep 2007 00:00:00 -0700 E7-18131 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-14/pdf/E7-18131.pdf Notice - In the Matter of Terax Energy, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/09/14/07-4584.html https://regulations.justia.com/regulations/fedreg/2007/09/14/07-4584.html Fri, 14 Sep 2007 00:00:00 -0700 07-4584 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-14/pdf/07-4584.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18081.html https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18081.html Thu, 13 Sep 2007 00:00:00 -0700 E7-18081 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18081.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Amend Its Rules and Procedures With Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18077.html https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18077.html Thu, 13 Sep 2007 00:00:00 -0700 E7-18077 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18077.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Exchange Fees and Charges https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18076.html https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18076.html Thu, 13 Sep 2007 00:00:00 -0700 E7-18076 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18076.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) To Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction To Transfer a Customer's Securities Account Consistent With the Time Frames in the Automated Customer Account Transfer Service https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18075.html https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18075.html Thu, 13 Sep 2007 00:00:00 -0700 E7-18075 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18075.pdf Notice - Order Granting a Conditional Exemption to Broker-Dealers From Requirements in Rules 15c3-1 And 15c3-3 Under the Securities Exchange Act of 1934 To Promptly Transmit Customer Checks for the Purchase of Deferred Variable Annuity Contracts https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18023.html https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18023.html Thu, 13 Sep 2007 00:00:00 -0700 E7-18023 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18023.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Amendment Nos. 3 and 4 and Order Granting Accelerated Approval of the Proposed Rule, as Amended, Related to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18022.html https://regulations.justia.com/regulations/fedreg/2007/09/13/E7-18022.html Thu, 13 Sep 2007 00:00:00 -0700 E7-18022 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-13/pdf/E7-18022.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17961.html https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17961.html Wed, 12 Sep 2007 00:00:00 -0700 E7-17961 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17961.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17960.html https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17960.html Wed, 12 Sep 2007 00:00:00 -0700 E7-17960 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17960.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17959.html https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17959.html Wed, 12 Sep 2007 00:00:00 -0700 E7-17959 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17959.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17947.html https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17947.html Wed, 12 Sep 2007 00:00:00 -0700 E7-17947 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17947.pdf Notice - Request for Public Comment https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17941.html https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17941.html Wed, 12 Sep 2007 00:00:00 -0700 E7-17941 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17941.pdf Notice - Proposed Collections; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17940.html https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17940.html Wed, 12 Sep 2007 00:00:00 -0700 E7-17940 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17940.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17939.html https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17939.html Wed, 12 Sep 2007 00:00:00 -0700 E7-17939 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17939.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17938.html https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17938.html Wed, 12 Sep 2007 00:00:00 -0700 E7-17938 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17938.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17937.html https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17937.html Wed, 12 Sep 2007 00:00:00 -0700 E7-17937 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17937.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17936.html https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17936.html Wed, 12 Sep 2007 00:00:00 -0700 E7-17936 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17936.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17935.html https://regulations.justia.com/regulations/fedreg/2007/09/12/E7-17935.html Wed, 12 Sep 2007 00:00:00 -0700 E7-17935 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-12/pdf/E7-17935.pdf Notice - Financial Investors Variable Insurance Trust et al., Notice of Application September 4, 2007 https://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17786.html https://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17786.html Tue, 11 Sep 2007 00:00:00 -0700 E7-17786 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-11/pdf/E7-17786.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17785.html https://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17785.html Tue, 11 Sep 2007 00:00:00 -0700 E7-17785 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-11/pdf/E7-17785.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17784.html https://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17784.html Tue, 11 Sep 2007 00:00:00 -0700 E7-17784 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-11/pdf/E7-17784.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17783.html https://regulations.justia.com/regulations/fedreg/2007/09/11/E7-17783.html Tue, 11 Sep 2007 00:00:00 -0700 E7-17783 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-11/pdf/E7-17783.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes https://regulations.justia.com/regulations/fedreg/2007/09/10/E7-17721.html https://regulations.justia.com/regulations/fedreg/2007/09/10/E7-17721.html Mon, 10 Sep 2007 00:00:00 -0700 E7-17721 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-10/pdf/E7-17721.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/10/E7-17720.html https://regulations.justia.com/regulations/fedreg/2007/09/10/E7-17720.html Mon, 10 Sep 2007 00:00:00 -0700 E7-17720 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-10/pdf/E7-17720.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Historic TRACE Data https://regulations.justia.com/regulations/fedreg/2007/09/10/E7-17683.html https://regulations.justia.com/regulations/fedreg/2007/09/10/E7-17683.html Mon, 10 Sep 2007 00:00:00 -0700 E7-17683 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-10/pdf/E7-17683.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17699.html https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17699.html Fri, 07 Sep 2007 00:00:00 -0700 E7-17699 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17699.pdf Notice - Trust for Professional Managers, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17698.html https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17698.html Fri, 07 Sep 2007 00:00:00 -0700 E7-17698 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17698.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17673.html https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17673.html Fri, 07 Sep 2007 00:00:00 -0700 E7-17673 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17673.pdf Notice - SPA ETF Trust and SPA ETF Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17671.html https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17671.html Fri, 07 Sep 2007 00:00:00 -0700 E7-17671 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17671.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17670.html https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17670.html Fri, 07 Sep 2007 00:00:00 -0700 E7-17670 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17670.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17669.html https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17669.html Fri, 07 Sep 2007 00:00:00 -0700 E7-17669 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-07/pdf/E7-17669.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17672.html https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17672.html Thu, 06 Sep 2007 00:00:00 -0700 E7-17672 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17672.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17640.html https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17640.html Thu, 06 Sep 2007 00:00:00 -0700 E7-17640 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17640.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17585.html https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17585.html Thu, 06 Sep 2007 00:00:00 -0700 E7-17585 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17585.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17584.html https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17584.html Thu, 06 Sep 2007 00:00:00 -0700 E7-17584 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17584.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17583.html https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17583.html Thu, 06 Sep 2007 00:00:00 -0700 E7-17583 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17583.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17576.html https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17576.html Thu, 06 Sep 2007 00:00:00 -0700 E7-17576 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17576.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17575.html https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17575.html Thu, 06 Sep 2007 00:00:00 -0700 E7-17575 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17575.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17574.html https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17574.html Thu, 06 Sep 2007 00:00:00 -0700 E7-17574 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17574.pdf Notice - Minnesota Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17573.html https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17573.html Thu, 06 Sep 2007 00:00:00 -0700 E7-17573 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17573.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17572.html https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17572.html Thu, 06 Sep 2007 00:00:00 -0700 E7-17572 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17572.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17545.html https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17545.html Thu, 06 Sep 2007 00:00:00 -0700 E7-17545 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17545.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17544.html https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17544.html Thu, 06 Sep 2007 00:00:00 -0700 E7-17544 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17544.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17543.html https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17543.html Thu, 06 Sep 2007 00:00:00 -0700 E7-17543 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-06/pdf/E7-17543.pdf Notice - Rydex ETF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17499.html https://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17499.html Wed, 05 Sep 2007 00:00:00 -0700 E7-17499 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-05/pdf/E7-17499.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17479.html https://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17479.html Wed, 05 Sep 2007 00:00:00 -0700 E7-17479 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-05/pdf/E7-17479.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17478.html https://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17478.html Wed, 05 Sep 2007 00:00:00 -0700 E7-17478 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-05/pdf/E7-17478.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/09/04/E7-17409.html https://regulations.justia.com/regulations/fedreg/2007/09/04/E7-17409.html Tue, 04 Sep 2007 00:00:00 -0700 E7-17409 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-09-04/pdf/E7-17409.pdf