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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2020-10-29T10:33:55-07:00 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/2007/10/31/E7-21386.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes 2007-10-31T00:00:00-07:00 2007-10-31T00:00:00-07:00 E7-21386 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-31/pdf/E7-21386.pdf https://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21384.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Execution of Odd Lot Market Orders 2007-10-31T00:00:00-07:00 2007-10-31T00:00:00-07:00 E7-21384 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-31/pdf/E7-21384.pdf https://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21383.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Orders 2007-10-31T00:00:00-07:00 2007-10-31T00:00:00-07:00 E7-21383 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-31/pdf/E7-21383.pdf https://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21382.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Article FOURTH of its Restated Certificate of Incorporation 2007-10-31T00:00:00-07:00 2007-10-31T00:00:00-07:00 E7-21382 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-31/pdf/E7-21382.pdf https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21285.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Specific Performance Commitments for Primary Market Makers 2007-10-30T00:00:00-07:00 2007-10-30T00:00:00-07:00 E7-21285 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21285.pdf https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21284.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Charged to Member Organizations for Participation in the Exchange's Continuing Education Program 2007-10-30T00:00:00-07:00 2007-10-30T00:00:00-07:00 E7-21284 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21284.pdf https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21283.html Notice - Proposed Collection; Comment Request 2007-10-30T00:00:00-07:00 2007-10-30T00:00:00-07:00 E7-21283 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21283.pdf https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21282.html Notice - Submission for OMB Review; Comment Request 2007-10-30T00:00:00-07:00 2007-10-30T00:00:00-07:00 E7-21282 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21282.pdf https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21276.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing and Trading of Shares of the HealthSharesTM 2007-10-30T00:00:00-07:00 2007-10-30T00:00:00-07:00 E7-21276 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21276.pdf https://regulations.justia.com/regulations/fedreg/2007/10/29/E7-21219.html Notice - Self-Regulatory Organizations; The New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, To Amend NYSE Rule 342.13 (“Acceptability of Supervisors”) 2007-10-29T00:00:00-07:00 2007-10-29T00:00:00-07:00 E7-21219 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-29/pdf/E7-21219.pdf https://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21218.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC.; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, To Amend Listing Fees for Structured Products 2007-10-26T00:00:00-07:00 2007-10-26T00:00:00-07:00 E7-21218 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-26/pdf/E7-21218.pdf https://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21180.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Establish a New Service Called Nasdaq Regulation Reconnaissance Service (“Reg Recon”) To Assist Nasdaq Members in Their Efforts To Comply With Applicable Regulatory Requirements 2007-10-26T00:00:00-07:00 2007-10-26T00:00:00-07:00 E7-21180 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-26/pdf/E7-21180.pdf https://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21179.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Options on Leveraged ETF Shares 2007-10-26T00:00:00-07:00 2007-10-26T00:00:00-07:00 E7-21179 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-26/pdf/E7-21179.pdf https://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21166.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to NASD Rule 3210 in Light of Amendments to the SEC Regulation SHO Delivery Requirements 2007-10-26T00:00:00-07:00 2007-10-26T00:00:00-07:00 E7-21166 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-26/pdf/E7-21166.pdf https://regulations.justia.com/regulations/fedreg/2007/10/25/E7-21028.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend the Minimum Quote Size Requirements for Hybrid Opening System Rotations 2007-10-25T00:00:00-07:00 2007-10-25T00:00:00-07:00 E7-21028 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-25/pdf/E7-21028.pdf https://regulations.justia.com/regulations/fedreg/2007/10/25/E7-20988.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) To Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction To Transfer a Customer's Securities Account Consistent With the Time Frames in the Automated Customer Account Transfer Service 2007-10-25T00:00:00-07:00 2007-10-25T00:00:00-07:00 E7-20988 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-25/pdf/E7-20988.pdf https://regulations.justia.com/regulations/fedreg/2007/10/25/E7-20987.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend Its Rules and Procedures With Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing 2007-10-25T00:00:00-07:00 2007-10-25T00:00:00-07:00 E7-20987 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-25/pdf/E7-20987.pdf https://regulations.justia.com/regulations/fedreg/2007/10/24/E7-20899.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Reporting of Odd-Lot Transactions to FINRA 2007-10-24T00:00:00-07:00 2007-10-24T00:00:00-07:00 E7-20899 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-24/pdf/E7-20899.pdf https://regulations.justia.com/regulations/fedreg/2007/10/24/E7-20898.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Qualified Contingent Trade Exemption 2007-10-24T00:00:00-07:00 2007-10-24T00:00:00-07:00 E7-20898 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-24/pdf/E7-20898.pdf https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20830.html Notice - Sunshine Act Meeting 2007-10-23T00:00:00-07:00 2007-10-23T00:00:00-07:00 E7-20830 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20830.pdf https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20806.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Sessions on NYSE Arca Marketplace 2007-10-23T00:00:00-07:00 2007-10-23T00:00:00-07:00 E7-20806 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20806.pdf https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20794.html Notice - Submission for OMB Review; Comment Request 2007-10-23T00:00:00-07:00 2007-10-23T00:00:00-07:00 E7-20794 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20794.pdf https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20793.html Notice - Proposed Collection; Comment Request 2007-10-23T00:00:00-07:00 2007-10-23T00:00:00-07:00 E7-20793 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20793.pdf https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20792.html Notice - Proposed Collection; Comment Request 2007-10-23T00:00:00-07:00 2007-10-23T00:00:00-07:00 E7-20792 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20792.pdf https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20769.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Series of U.S. Dollar-Settled Foreign Currency Options Open for Trading 2007-10-23T00:00:00-07:00 2007-10-23T00:00:00-07:00 E7-20769 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20769.pdf https://regulations.justia.com/regulations/fedreg/2007/10/22/E7-20784.html Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Compliance Rule 2-4: Misuse of Trade Secrets and Proprietary Information 2007-10-22T00:00:00-07:00 2007-10-22T00:00:00-07:00 E7-20784 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-22/pdf/E7-20784.pdf https://regulations.justia.com/regulations/fedreg/2007/10/22/E7-20783.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change Relating to Fee Changes on a Retroactive Basis 2007-10-22T00:00:00-07:00 2007-10-22T00:00:00-07:00 E7-20783 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-22/pdf/E7-20783.pdf https://regulations.justia.com/regulations/fedreg/2007/10/22/E7-20782.html Notice - Application and Opportunity for Hearing: Grupo Iusacell Celular, S.A. de C.V. 2007-10-22T00:00:00-07:00 2007-10-22T00:00:00-07:00 E7-20782 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-22/pdf/E7-20782.pdf https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20619.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Broaden the Application of Existing Transaction Fees for VIX Options to Options on All Volatility Indexes Calculated by CBOE 2007-10-19T00:00:00-07:00 2007-10-19T00:00:00-07:00 E7-20619 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20619.pdf https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20601.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto, To Require Members To Provide Customers in TRACE-Eligible Debt Securities With Additional, Transaction-Specific Disclosures and To Notify Customers of the Availability of a Disclosure Document 2007-10-19T00:00:00-07:00 2007-10-19T00:00:00-07:00 E7-20601 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20601.pdf https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20587.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Eliminate Position and Exercise Limits for Options on the Russell 2000 Index, and To Specify That Certain Reduced-Value Options on Broad-Based Security Indexes Have No Position and Exercise Limits 2007-10-19T00:00:00-07:00 2007-10-19T00:00:00-07:00 E7-20587 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20587.pdf https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20586.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the Exchange's Institutional Broker Rules To Add Provisions Relating to the Handling of Stop and Stop-Limit Orders 2007-10-19T00:00:00-07:00 2007-10-19T00:00:00-07:00 E7-20586 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20586.pdf https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20585.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1, 2, 3 and 4 Relating to Fairness Opinions 2007-10-19T00:00:00-07:00 2007-10-19T00:00:00-07:00 E7-20585 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20585.pdf https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20542.html Notice - MetLife Insurance Company of Connecticut, et al. 2007-10-18T00:00:00-07:00 2007-10-18T00:00:00-07:00 E7-20542 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20542.pdf https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20536.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing of Options Series With $2.50 Strike Price Intervals Between $50 and $75 2007-10-18T00:00:00-07:00 2007-10-18T00:00:00-07:00 E7-20536 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20536.pdf https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20535.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Relating to NYSE Rule 2 (“Member,” “Membership,” “Member Firm,” etc.) 2007-10-18T00:00:00-07:00 2007-10-18T00:00:00-07:00 E7-20535 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20535.pdf https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20534.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect the Fact That Sun Microsystems, Inc. Has Changed Its Trading Symbol From SUNW to JAVA 2007-10-18T00:00:00-07:00 2007-10-18T00:00:00-07:00 E7-20534 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20534.pdf https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20533.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Criteria for Securities That Underlie Options Traded on the Exchange 2007-10-18T00:00:00-07:00 2007-10-18T00:00:00-07:00 E7-20533 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20533.pdf https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20523.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Order Approving Proposed Rule Change To Establish a Membership Waive-In Process for Certain NYSE Member Organizations 2007-10-18T00:00:00-07:00 2007-10-18T00:00:00-07:00 E7-20523 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20523.pdf https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20522.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; 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 on Russell 2000® Index Options 2007-10-18T00:00:00-07:00 2007-10-18T00:00:00-07:00 E7-20522 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20522.pdf https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20460.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Payment for Order Flow Fees 2007-10-17T00:00:00-07:00 2007-10-17T00:00:00-07:00 E7-20460 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20460.pdf https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20459.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Marketing Fee Program in Connection With the Expansion of the Penny Pilot Program 2007-10-17T00:00:00-07:00 2007-10-17T00:00:00-07:00 E7-20459 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20459.pdf https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20458.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Marketing Fee Program 2007-10-17T00:00:00-07:00 2007-10-17T00:00:00-07:00 E7-20458 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20458.pdf https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20457.html Notice - Submission for OMB Review; Comment Request 2007-10-17T00:00:00-07:00 2007-10-17T00:00:00-07:00 E7-20457 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20457.pdf https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20445.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Fees and Charges 2007-10-17T00:00:00-07:00 2007-10-17T00:00:00-07:00 E7-20445 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20445.pdf https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20444.html Notice - Raymond James Employee Investment Fund I, L.P., et al.; Notice of Application 2007-10-17T00:00:00-07:00 2007-10-17T00:00:00-07:00 E7-20444 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20444.pdf https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20406.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Closing of the NASD/BSE Trade Reporting Facility 2007-10-17T00:00:00-07:00 2007-10-17T00:00:00-07:00 E7-20406 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20406.pdf https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20385.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Proposed Rule Change Related to Mandated Use of an Automated Liability Notification System 2007-10-17T00:00:00-07:00 2007-10-17T00:00:00-07:00 E7-20385 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20385.pdf https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20461.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Options Listing Criteria for Underlying Securities 2007-10-16T00:00:00-07:00 2007-10-16T00:00:00-07:00 E7-20461 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20461.pdf https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20363.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Resolving Uncompared Transactions 2007-10-16T00:00:00-07:00 2007-10-16T00:00:00-07:00 E7-20363 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20363.pdf https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20362.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Increase the Annual Listing Fees for Certain Stock Issues of Listed Companies 2007-10-16T00:00:00-07:00 2007-10-16T00:00:00-07:00 E7-20362 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20362.pdf https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20361.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Allow the Exchange To List Up to Seven Expiration Months for Broad-Based Security Index Options Upon Which the Exchange Calculates a Constant Three-Month Volatility Index 2007-10-16T00:00:00-07:00 2007-10-16T00:00:00-07:00 E7-20361 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20361.pdf https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20360.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, Adopting Generic Listing Standards for Exchange-Traded Funds Based on International or Global Indexes or Indexes Described in Exchange Rules Previously Approved by the Commission as Underlying Benchmarks for Derivative Securities 2007-10-16T00:00:00-07:00 2007-10-16T00:00:00-07:00 E7-20360 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20360.pdf https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20359.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Section 107 of the Amex Company Guide To Provide an Exception to the Initial Minimum Public Distribution Listing Requirement 2007-10-16T00:00:00-07:00 2007-10-16T00:00:00-07:00 E7-20359 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20359.pdf https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20358.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Structured Equity Products 2007-10-16T00:00:00-07:00 2007-10-16T00:00:00-07:00 E7-20358 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20358.pdf https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20330.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to Generic Listing and Trading Rules for Index-Linked Securities 2007-10-16T00:00:00-07:00 2007-10-16T00:00:00-07:00 E7-20330 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20330.pdf https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20329.html Notice - Self-Regulatory Organizations; The Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Web CRD Fingerprinting Fees 2007-10-16T00:00:00-07:00 2007-10-16T00:00:00-07:00 E7-20329 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20329.pdf https://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20281.html Notice - Sunshine Act Meeting 2007-10-15T00:00:00-07:00 2007-10-15T00:00:00-07:00 E7-20281 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-15/pdf/E7-20281.pdf https://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20216.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to a Delta Hedging Exemption From Equity Options Position Limits 2007-10-15T00:00:00-07:00 2007-10-15T00:00:00-07:00 E7-20216 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-15/pdf/E7-20216.pdf https://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20215.html Notice - Submission for OMB Review; Comment Request 2007-10-15T00:00:00-07:00 2007-10-15T00:00:00-07:00 E7-20215 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-15/pdf/E7-20215.pdf https://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20214.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Amend NYSE Rule 70.30 Relating to the Definition of a Crowd 2007-10-15T00:00:00-07:00 2007-10-15T00:00:00-07:00 E7-20214 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-15/pdf/E7-20214.pdf https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20131.html Notice - Advisory Committee on Improvements to Financial Reporting 2007-10-12T00:00:00-07:00 2007-10-12T00:00:00-07:00 E7-20131 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20131.pdf https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20122.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Expand the Trading Hours of Certain Exchange-Traded Funds 2007-10-12T00:00:00-07:00 2007-10-12T00:00:00-07:00 E7-20122 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20122.pdf https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20121.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Relating To Extended Hours Trading of Investment Company Units and Portfolio Depository Receipts 2007-10-12T00:00:00-07:00 2007-10-12T00:00:00-07:00 E7-20121 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20121.pdf https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20120.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Annual Membership Fee for Nasdaq Members 2007-10-12T00:00:00-07:00 2007-10-12T00:00:00-07:00 E7-20120 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20120.pdf https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20119.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Exchange's Fees for Orders Submitted for Certain NYSE and Nasdaq-Listed Securities 2007-10-12T00:00:00-07:00 2007-10-12T00:00:00-07:00 E7-20119 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20119.pdf https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20118.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Limit the Use of FINRA's Name and Any Other Name Owned by FINRA and To Require Members and Persons Associated With a Member that Refer to their FINRA Membership on a Web site to Provide a Hyperlink to www.finra.org 2007-10-12T00:00:00-07:00 2007-10-12T00:00:00-07:00 E7-20118 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20118.pdf https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20117.html Notice - Joint Industry Plan; Notice of Filing of Joint Amendment No. 23 to the Intermarket Option Linkage Plan To Permit the Use of Linkage Prior to the Opening of Trading 2007-10-12T00:00:00-07:00 2007-10-12T00:00:00-07:00 E7-20117 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20117.pdf https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20116.html Notice - Joint Industry Plan; Notice of Filing of Joint Amendment No. 24 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Regarding Elimination of the Class Gate 2007-10-12T00:00:00-07:00 2007-10-12T00:00:00-07:00 E7-20116 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20116.pdf https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20081.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change Relating to the Establishment of the NASDAQ Options Market LLC 2007-10-12T00:00:00-07:00 2007-10-12T00:00:00-07:00 E7-20081 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20081.pdf https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20080.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE's Membership Rules As Applied To Statutory Disqualification Hearings 2007-10-12T00:00:00-07:00 2007-10-12T00:00:00-07:00 E7-20080 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20080.pdf https://regulations.justia.com/regulations/fedreg/2007/10/11/E7-20025.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, and Notice of Filing of Amendment No. 1 Thereto Relating to Adoption of Revised Initial and Continued Listing Standards for the Pilot Program Expiring on November 30, 2007 2007-10-11T00:00:00-07:00 2007-10-11T00:00:00-07:00 E7-20025 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-11/pdf/E7-20025.pdf https://regulations.justia.com/regulations/fedreg/2007/10/11/E7-20024.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to a New Book Feed Product 2007-10-11T00:00:00-07:00 2007-10-11T00:00:00-07:00 E7-20024 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-11/pdf/E7-20024.pdf https://regulations.justia.com/regulations/fedreg/2007/10/11/E7-19937.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Definition of “Complex Trade” 2007-10-11T00:00:00-07:00 2007-10-11T00:00:00-07:00 E7-19937 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-11/pdf/E7-19937.pdf https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19923.html Notice - Sunshine Act Meeting 2007-10-10T00:00:00-07:00 2007-10-10T00:00:00-07:00 E7-19923 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19923.pdf https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19913.html Notice - IronBridge Capital Management LP; The Hirtle Callaghan Trust; Notice of Application 2007-10-10T00:00:00-07:00 2007-10-10T00:00:00-07:00 E7-19913 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19913.pdf https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19912.html Notice - Franklin Portfolio Associates, LLC; The Hirtle Callaghan Trust; Notice of Application 2007-10-10T00:00:00-07:00 2007-10-10T00:00:00-07:00 E7-19912 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19912.pdf https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19911.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive the Fee Charged to Member Organizations for the Approval of Pre-Qualified Substitutes 2007-10-10T00:00:00-07:00 2007-10-10T00:00:00-07:00 E7-19911 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19911.pdf https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19910.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Hybrid Electronic Quoting Fee 2007-10-10T00:00:00-07:00 2007-10-10T00:00:00-07:00 E7-19910 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19910.pdf https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19909.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Trade Shares of Eight Funds of the ProShares Trust Based on International Indexes Pursuant to Unlisted Trading Privileges 2007-10-10T00:00:00-07:00 2007-10-10T00:00:00-07:00 E7-19909 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19909.pdf https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19908.html Notice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Rule 70 (Bids and Offers) and Rule 104 (Dealings by Specialists) 2007-10-10T00:00:00-07:00 2007-10-10T00:00:00-07:00 E7-19908 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19908.pdf https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19907.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Fee on a Listed Company That Changes Its Corporate Name or Ticker Symbol 2007-10-10T00:00:00-07:00 2007-10-10T00:00:00-07:00 E7-19907 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19907.pdf https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19906.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3 Thereto, Relating to Registration Filing Requirements and Reporting Requirements 2007-10-10T00:00:00-07:00 2007-10-10T00:00:00-07:00 E7-19906 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19906.pdf https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19905.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Amend the Hybrid Opening System Opening Rotations Rules 2007-10-10T00:00:00-07:00 2007-10-10T00:00:00-07:00 E7-19905 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19905.pdf https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19870.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change Modifying the Options Listing Criteria for Underlying Securities 2007-10-10T00:00:00-07:00 2007-10-10T00:00:00-07:00 E7-19870 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19870.pdf https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19856.html Notice - Proposed Collection; Comment Request 2007-10-10T00:00:00-07:00 2007-10-10T00:00:00-07:00 E7-19856 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19856.pdf https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19855.html Notice - Proposed Collection; Comment Request 2007-10-10T00:00:00-07:00 2007-10-10T00:00:00-07:00 E7-19855 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19855.pdf https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19765.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change as Modified by Amendment No. 2 Thereto Relating to Exchange Fees and Charges 2007-10-09T00:00:00-07:00 2007-10-09T00:00:00-07:00 E7-19765 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19765.pdf https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19764.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Initial Listing Standards for Index-Linked Securities 2007-10-09T00:00:00-07:00 2007-10-09T00:00:00-07:00 E7-19764 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19764.pdf https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19753.html Notice - JNF Advisors, Inc. and Northern Lights Variable Trust; Notice of Application 2007-10-09T00:00:00-07:00 2007-10-09T00:00:00-07:00 E7-19753 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19753.pdf https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19752.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of Shares of Eight Funds of the ProShares Trust Based on International Equity Indexes 2007-10-09T00:00:00-07:00 2007-10-09T00:00:00-07:00 E7-19752 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19752.pdf https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19751.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Institute a Revised System of Payments to Specialist Firms 2007-10-09T00:00:00-07:00 2007-10-09T00:00:00-07:00 E7-19751 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19751.pdf https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19750.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Exchange's Transaction Fees and Certain Trading Floor Fees 2007-10-09T00:00:00-07:00 2007-10-09T00:00:00-07:00 E7-19750 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19750.pdf https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19749.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Temporary Waiver of the Specialist Marketing and Investor Education Fee for Specialists in Certain Listed Investment Company Units 2007-10-09T00:00:00-07:00 2007-10-09T00:00:00-07:00 E7-19749 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19749.pdf https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19748.html Notice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rules 104(b) and 123D 2007-10-09T00:00:00-07:00 2007-10-09T00:00:00-07:00 E7-19748 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19748.pdf https://regulations.justia.com/regulations/fedreg/2007/10/09/07-4971.html Notice - In the Matter of Certain Companies Quoted on the Pink Sheets: Alliance Transcription Services, Inc., Prime Petroleum Group, Inc., T.W. Christian, Inc.; Order of Suspension of Trading 2007-10-09T00:00:00-07:00 2007-10-09T00:00:00-07:00 07-4971 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/07-4971.pdf https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19697.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Eliminate Its Rule Governing the Relation of a Nasdaq Market Maker's Quotations to the Prevailing Market 2007-10-05T00:00:00-07:00 2007-10-05T00:00:00-07:00 E7-19697 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19697.pdf https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19673.html Notice - Self-Regulatory Organizations: Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amending the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) To Exempt Locations That Solely Conduct Final Approval of Research Reports 2007-10-05T00:00:00-07:00 2007-10-05T00:00:00-07:00 E7-19673 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19673.pdf https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19672.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Limited Liability Company Agreement of The NASDAQ Stock Market, LLC 2007-10-05T00:00:00-07:00 2007-10-05T00:00:00-07:00 E7-19672 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19672.pdf https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19671.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Period for Rule 2.12 Regarding Third-Party Routing Services in Respect of Orders Entered into NSX BLADESM 2007-10-05T00:00:00-07:00 2007-10-05T00:00:00-07:00 E7-19671 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19671.pdf https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19670.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade Shares of the iShares FTSE/Xinhua China 25 Index Fund Pursuant to Unlisted Trading Privileges 2007-10-05T00:00:00-07:00 2007-10-05T00:00:00-07:00 E7-19670 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19670.pdf https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19639.html Notice - Vanguard STAR Funds, et al.; Notice of Application 2007-10-04T00:00:00-07:00 2007-10-04T00:00:00-07:00 E7-19639 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19639.pdf https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19631.html Notice - Fidelity Rutland Square Trust, et al. 2007-10-04T00:00:00-07:00 2007-10-04T00:00:00-07:00 E7-19631 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19631.pdf https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19630.html Notice - Van Eck Associates Corporation, et al.; Notice of Application 2007-10-04T00:00:00-07:00 2007-10-04T00:00:00-07:00 E7-19630 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19630.pdf https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19593.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to the Reporting of Foreign Equity Securities to the Order Audit Trail System 2007-10-04T00:00:00-07:00 2007-10-04T00:00:00-07:00 E7-19593 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19593.pdf https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19579.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2007-10-04T00:00:00-07:00 2007-10-04T00:00:00-07:00 E7-19579 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19579.pdf https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19559.html Notice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend Its Bylaws to Confirm That an Exchange Director Cannot Participate in the Determination of Any Matter Involving an Issuer of a Security Listed or To Be Listed on the Exchange, if the Director is a Director, Officer, or Employee of the Issuer 2007-10-04T00:00:00-07:00 2007-10-04T00:00:00-07:00 E7-19559 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19559.pdf https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19558.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Boston Stock Exchange, Inc; Chicago Board Options Exchange, Incorporated and International Securities Exchange, LLC: Notice of Filing of Proposed Rule Changes Relating to the Definition of a Complex Trade; NYSE Arca, Inc.: Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Definition of a Complex Trade 2007-10-04T00:00:00-07:00 2007-10-04T00:00:00-07:00 E7-19558 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19558.pdf https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19549.html Notice - Submission for OMB Review; Comment Request 2007-10-04T00:00:00-07:00 2007-10-04T00:00:00-07:00 E7-19549 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19549.pdf https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19548.html Notice - Submission for OMB Review; Comment Request 2007-10-04T00:00:00-07:00 2007-10-04T00:00:00-07:00 E7-19548 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19548.pdf https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19547.html Notice - Submission for OMB Review; Comment Request 2007-10-04T00:00:00-07:00 2007-10-04T00:00:00-07:00 E7-19547 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19547.pdf https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19546.html Notice - Submission for OMB Review; Comment Request 2007-10-04T00:00:00-07:00 2007-10-04T00:00:00-07:00 E7-19546 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19546.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19408.html Notice - Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213 2007-10-02T00:00:00-07:00 2007-10-02T00:00:00-07:00 E7-19408 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19408.pdf https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19404.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to XLE Fees 2007-10-02T00:00:00-07:00 2007-10-02T00:00:00-07:00 E7-19404 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19404.pdf https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19398.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a System Change to the Phlx's Electronic Options Trading Platform, Phlx XL 2007-10-02T00:00:00-07:00 2007-10-02T00:00:00-07:00 E7-19398 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19398.pdf https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19385.html Notice - Claymore Exchange-Traded Fund Trust, et al.; Notice of Application 2007-10-02T00:00:00-07:00 2007-10-02T00:00:00-07:00 E7-19385 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19385.pdf https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19384.html Notice - Sunshine Act Meetings 2007-10-02T00:00:00-07:00 2007-10-02T00:00:00-07:00 E7-19384 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19384.pdf https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19362.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Accelerated Approval to Proposed Rule Change Relating to Requirements for the Listing and Trading of Commodity-Linked Securities and Currency-Linked Securities 2007-10-02T00:00:00-07:00 2007-10-02T00:00:00-07:00 E7-19362 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19362.pdf https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19361.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Requirements for Listing Commodity-Linked Securities and Currency-Linked Securities 2007-10-02T00:00:00-07:00 2007-10-02T00:00:00-07:00 E7-19361 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19361.pdf https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19343.html Notice - Public Alert: Unregistered Soliciting Entities (“Pause”) Program 2007-10-02T00:00:00-07:00 2007-10-02T00:00:00-07:00 E7-19343 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19343.pdf https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19291.html Notice - Order Cancelling the Registration of a Transfer Agent 2007-10-01T00:00:00-07:00 2007-10-01T00:00:00-07:00 E7-19291 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19291.pdf https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19282.html Notice - Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al.; Notice of Application and Temporary Order 2007-10-01T00:00:00-07:00 2007-10-01T00:00:00-07:00 E7-19282 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19282.pdf https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19281.html Notice - MMA Praxis Mutual Funds, et al.; Notice of Application 2007-10-01T00:00:00-07:00 2007-10-01T00:00:00-07:00 E7-19281 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19281.pdf https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19275.html Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Inspections 2007-10-01T00:00:00-07:00 2007-10-01T00:00:00-07:00 E7-19275 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19275.pdf https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19274.html Notice - Public Company Accounting Oversight Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adjusting Implementation Schedule of Rule 3523, Tax Services for Persons in Financial Reporting Oversight Roles 2007-10-01T00:00:00-07:00 2007-10-01T00:00:00-07:00 E7-19274 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19274.pdf https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19273.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade Currency Trust Shares of Seven Currency Trusts Pursuant to Unlisted Trading Privileges 2007-10-01T00:00:00-07:00 2007-10-01T00:00:00-07:00 E7-19273 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19273.pdf https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19272.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Deletion of Certain Rules That the Amex has Determined Are Obsolete, Outdated, or Unnecessary 2007-10-01T00:00:00-07:00 2007-10-01T00:00:00-07:00 E7-19272 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19272.pdf https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19271.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Order Approving Proposed Rule Change Relating to Interpretative Material 9216, Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2) 2007-10-01T00:00:00-07:00 2007-10-01T00:00:00-07:00 E7-19271 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19271.pdf https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19270.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Changes in the Name and Investment Objective to the PowerShares DB Precious Metals Fund, the PowerShares DB Gold Fund, and the PowerShares DB Silver Fund 2007-10-01T00:00:00-07:00 2007-10-01T00:00:00-07:00 E7-19270 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19270.pdf