Securities and Exchange Commission September 2007 – Federal Register Recent Federal Regulation Documents

Results 101 - 122 of 122
Trust for Professional Managers, Inc., et al.; Notice of Application
Document Number: E7-17698
Type: Notice
Date: 2007-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17698.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E7-17673
Type: Notice
Date: 2007-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On April 13, 2007, applicant transferred its assets to AllianceBernstein Global High Income Fund, Inc., based on net asset value. Expenses of $268,815 incurred in connection with the reorganization were paid by applicant.
https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17673.html
SPA ETF Trust and SPA ETF Inc.; Notice of Application
Document Number: E7-17671
Type: Notice
Date: 2007-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17671.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Execution of NDX and RUT Combination Orders
Document Number: E7-17670
Type: Notice
Date: 2007-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17670.html
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
Document Number: E7-17669
Type: Notice
Date: 2007-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/07/E7-17669.html
Sunshine Act Meeting
Document Number: E7-17672
Type: Notice
Date: 2007-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17672.html
Sunshine Act Meeting
Document Number: E7-17640
Type: Notice
Date: 2007-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17640.html
Submission for OMB Review; Comment Request
Document Number: E7-17585
Type: Notice
Date: 2007-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17585.html
Submission for OMB Review; Comment Request
Document Number: E7-17584
Type: Notice
Date: 2007-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17584.html
Submission for OMB Review; Comment Request
Document Number: E7-17583
Type: Notice
Date: 2007-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17583.html
Submission for OMB Review; Comment Request
Document Number: E7-17576
Type: Notice
Date: 2007-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17576.html
Submission for OMB Review; Comment Request
Document Number: E7-17575
Type: Notice
Date: 2007-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17575.html
Submission for OMB Review; Comment Request
Document Number: E7-17574
Type: Notice
Date: 2007-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17574.html
Minnesota Life Insurance Company, et al.
Document Number: E7-17573
Type: Notice
Date: 2007-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17573.html
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
Document Number: E7-17572
Type: Notice
Date: 2007-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17572.html
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
Document Number: E7-17545
Type: Notice
Date: 2007-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17545.html
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
Document Number: E7-17544
Type: Notice
Date: 2007-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17544.html
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
Document Number: E7-17543
Type: Notice
Date: 2007-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/06/E7-17543.html
Rydex ETF Trust, et al.; Notice of Application
Document Number: E7-17499
Type: Notice
Date: 2007-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17499.html
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
Document Number: E7-17479
Type: Notice
Date: 2007-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17479.html
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
Document Number: E7-17478
Type: Notice
Date: 2007-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/05/E7-17478.html
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
Document Number: E7-17409
Type: Notice
Date: 2007-09-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/09/04/E7-17409.html
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