Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/10/03?limit=200&registers=between&mode=atom 2020-12-04T11:51:06-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19540.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Codify the Hybrid Price Check Parameter 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19540 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19540.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19539.html Notice - American Capital Strategies, Ltd.; Notice of Application 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19539 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19539.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19538.html Notice - Rydex ETF Trust, et al. 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19538 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19538.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19537.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Moratorium on the Qualification and Registration of New Registered Competitive Market Makers and New Competitive Traders, Governed by Rules 107A and 110, Respectively, for an Additional Three Months 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19537 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19537.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19536.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto Relating to Representation of Parties in Arbitration and Mediation 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19536 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19536.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19535.html Notice - Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 7.34 and 7.35 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19535 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19535.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19534.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Procedures With Respect To Processing of Certain Voluntary Events in Its Reorganization Service and Clarifying Legal Considerations Set Forth in Its Procedures Relating To Usage of Information Obtained by Participants 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19534 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19534.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19500.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to an Extension and Expansion of the Penny Pilot Program 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19500 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19500.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19499.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval to a Proposed Rule Change Relating to the Extension and Expansion of a Pilot Program To Quote Certain Option Series in Increments of $0.01 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19499 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19499.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19498.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval to a Proposed Rule Change Relating to an Extension and Expansion of the Penny Pilot Program 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19498 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19498.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19497.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Relating to an Extension and Expansion of the Options Quoting Pilot Program 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19497 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19497.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19496.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval to a Proposed Rule Change To Extend and Expand the Pilot Program To Quote Certain Options in Pennies 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19496 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19496.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19495.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval to a Proposed Rule Change Regarding the Extension and Expansion of the Penny Pilot Program 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19495 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19495.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19490.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 104.10(6) (Dealings With Specialists) 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19490 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19490.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19489.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Implement the New Issue Information Dissemination Service for Municipal Securities 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19489 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19489.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19488.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 124 (Odd-Lot Orders) 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19488 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19488.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19487.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Short Interest Reporting 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19487 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19487.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19093.html Rule - Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 E7-19093 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19093.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4916.html Notice - In the Matter of ConnectAJet.com, Inc.; Order of Suspension of Trading 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 07-4916 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/07-4916.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4915.html Notice - In the Matter of China Expert Technology, Inc.; Order of Suspension of Trading 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 07-4915 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/07-4915.pdf https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4769.html Rule - Definitions of Terms and Exemptions Relating to the “Broker” Exceptions for Banks 2007-10-03T00:00:00-07:00 2007-10-03T00:00:00-07:00 07-4769 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/07-4769.pdf