<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/10?registers=between&min-day=1&max-day=31 Sat, 27 Apr 2024 08:28:24 -0700 Sat, 27 Apr 2024 08:28:24 -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/2007/10?registers=between&min-day=1&max-day=31 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/2007/10/31/E7-21386.html https://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21386.html Wed, 31 Oct 2007 00:00:00 -0700 E7-21386 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-31/pdf/E7-21386.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21384.html https://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21384.html Wed, 31 Oct 2007 00:00:00 -0700 E7-21384 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-31/pdf/E7-21384.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21383.html https://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21383.html Wed, 31 Oct 2007 00:00:00 -0700 E7-21383 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-31/pdf/E7-21383.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21382.html https://regulations.justia.com/regulations/fedreg/2007/10/31/E7-21382.html Wed, 31 Oct 2007 00:00:00 -0700 E7-21382 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-31/pdf/E7-21382.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21285.html https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21285.html Tue, 30 Oct 2007 00:00:00 -0700 E7-21285 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21285.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21284.html https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21284.html Tue, 30 Oct 2007 00:00:00 -0700 E7-21284 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21284.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21283.html https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21283.html Tue, 30 Oct 2007 00:00:00 -0700 E7-21283 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21283.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21282.html https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21282.html Tue, 30 Oct 2007 00:00:00 -0700 E7-21282 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21282.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21276.html https://regulations.justia.com/regulations/fedreg/2007/10/30/E7-21276.html Tue, 30 Oct 2007 00:00:00 -0700 E7-21276 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-30/pdf/E7-21276.pdf 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”) https://regulations.justia.com/regulations/fedreg/2007/10/29/E7-21219.html https://regulations.justia.com/regulations/fedreg/2007/10/29/E7-21219.html Mon, 29 Oct 2007 00:00:00 -0700 E7-21219 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-29/pdf/E7-21219.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21218.html https://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21218.html Fri, 26 Oct 2007 00:00:00 -0700 E7-21218 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-26/pdf/E7-21218.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21180.html https://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21180.html Fri, 26 Oct 2007 00:00:00 -0700 E7-21180 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-26/pdf/E7-21180.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21179.html https://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21179.html Fri, 26 Oct 2007 00:00:00 -0700 E7-21179 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-26/pdf/E7-21179.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21166.html https://regulations.justia.com/regulations/fedreg/2007/10/26/E7-21166.html Fri, 26 Oct 2007 00:00:00 -0700 E7-21166 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-26/pdf/E7-21166.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/25/E7-21028.html https://regulations.justia.com/regulations/fedreg/2007/10/25/E7-21028.html Thu, 25 Oct 2007 00:00:00 -0700 E7-21028 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-25/pdf/E7-21028.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/25/E7-20988.html https://regulations.justia.com/regulations/fedreg/2007/10/25/E7-20988.html Thu, 25 Oct 2007 00:00:00 -0700 E7-20988 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-25/pdf/E7-20988.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/25/E7-20987.html https://regulations.justia.com/regulations/fedreg/2007/10/25/E7-20987.html Thu, 25 Oct 2007 00:00:00 -0700 E7-20987 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-25/pdf/E7-20987.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/24/E7-20899.html https://regulations.justia.com/regulations/fedreg/2007/10/24/E7-20899.html Wed, 24 Oct 2007 00:00:00 -0700 E7-20899 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-24/pdf/E7-20899.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/24/E7-20898.html https://regulations.justia.com/regulations/fedreg/2007/10/24/E7-20898.html Wed, 24 Oct 2007 00:00:00 -0700 E7-20898 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-24/pdf/E7-20898.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20830.html https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20830.html Tue, 23 Oct 2007 00:00:00 -0700 E7-20830 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20830.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20806.html https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20806.html Tue, 23 Oct 2007 00:00:00 -0700 E7-20806 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20806.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20794.html https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20794.html Tue, 23 Oct 2007 00:00:00 -0700 E7-20794 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20794.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20793.html https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20793.html Tue, 23 Oct 2007 00:00:00 -0700 E7-20793 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20793.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20792.html https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20792.html Tue, 23 Oct 2007 00:00:00 -0700 E7-20792 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20792.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20769.html https://regulations.justia.com/regulations/fedreg/2007/10/23/E7-20769.html Tue, 23 Oct 2007 00:00:00 -0700 E7-20769 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-23/pdf/E7-20769.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/22/E7-20784.html https://regulations.justia.com/regulations/fedreg/2007/10/22/E7-20784.html Mon, 22 Oct 2007 00:00:00 -0700 E7-20784 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-22/pdf/E7-20784.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change Relating to Fee Changes on a Retroactive Basis https://regulations.justia.com/regulations/fedreg/2007/10/22/E7-20783.html https://regulations.justia.com/regulations/fedreg/2007/10/22/E7-20783.html Mon, 22 Oct 2007 00:00:00 -0700 E7-20783 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-22/pdf/E7-20783.pdf Notice - Application and Opportunity for Hearing: Grupo Iusacell Celular, S.A. de C.V. https://regulations.justia.com/regulations/fedreg/2007/10/22/E7-20782.html https://regulations.justia.com/regulations/fedreg/2007/10/22/E7-20782.html Mon, 22 Oct 2007 00:00:00 -0700 E7-20782 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-22/pdf/E7-20782.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20619.html https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20619.html Fri, 19 Oct 2007 00:00:00 -0700 E7-20619 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20619.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 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 https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20601.html https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20601.html Fri, 19 Oct 2007 00:00:00 -0700 E7-20601 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20601.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20587.html https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20587.html Fri, 19 Oct 2007 00:00:00 -0700 E7-20587 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20587.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20586.html https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20586.html Fri, 19 Oct 2007 00:00:00 -0700 E7-20586 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20586.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20585.html https://regulations.justia.com/regulations/fedreg/2007/10/19/E7-20585.html Fri, 19 Oct 2007 00:00:00 -0700 E7-20585 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-19/pdf/E7-20585.pdf Notice - MetLife Insurance Company of Connecticut, et al. https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20542.html https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20542.html Thu, 18 Oct 2007 00:00:00 -0700 E7-20542 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20542.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20536.html https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20536.html Thu, 18 Oct 2007 00:00:00 -0700 E7-20536 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20536.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Relating to NYSE Rule 2 (“Member,” “Membership,” “Member Firm,” etc.) https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20535.html https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20535.html Thu, 18 Oct 2007 00:00:00 -0700 E7-20535 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20535.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20534.html https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20534.html Thu, 18 Oct 2007 00:00:00 -0700 E7-20534 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20534.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20533.html https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20533.html Thu, 18 Oct 2007 00:00:00 -0700 E7-20533 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20533.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20523.html https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20523.html Thu, 18 Oct 2007 00:00:00 -0700 E7-20523 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20523.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20522.html https://regulations.justia.com/regulations/fedreg/2007/10/18/E7-20522.html Thu, 18 Oct 2007 00:00:00 -0700 E7-20522 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-18/pdf/E7-20522.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20460.html https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20460.html Wed, 17 Oct 2007 00:00:00 -0700 E7-20460 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20460.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20459.html https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20459.html Wed, 17 Oct 2007 00:00:00 -0700 E7-20459 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20459.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20458.html https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20458.html Wed, 17 Oct 2007 00:00:00 -0700 E7-20458 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20458.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20457.html https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20457.html Wed, 17 Oct 2007 00:00:00 -0700 E7-20457 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20457.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Fees and Charges https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20445.html https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20445.html Wed, 17 Oct 2007 00:00:00 -0700 E7-20445 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20445.pdf Notice - Raymond James Employee Investment Fund I, L.P., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20444.html https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20444.html Wed, 17 Oct 2007 00:00:00 -0700 E7-20444 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20444.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20406.html https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20406.html Wed, 17 Oct 2007 00:00:00 -0700 E7-20406 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20406.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 Related to Mandated Use of an Automated Liability Notification System https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20385.html https://regulations.justia.com/regulations/fedreg/2007/10/17/E7-20385.html Wed, 17 Oct 2007 00:00:00 -0700 E7-20385 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-17/pdf/E7-20385.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20461.html https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20461.html Tue, 16 Oct 2007 00:00:00 -0700 E7-20461 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20461.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Resolving Uncompared Transactions https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20363.html https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20363.html Tue, 16 Oct 2007 00:00:00 -0700 E7-20363 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20363.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20362.html https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20362.html Tue, 16 Oct 2007 00:00:00 -0700 E7-20362 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20362.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 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 https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20361.html https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20361.html Tue, 16 Oct 2007 00:00:00 -0700 E7-20361 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20361.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20360.html https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20360.html Tue, 16 Oct 2007 00:00:00 -0700 E7-20360 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20360.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, To Amend Section 107 of the Amex Company Guide To Provide an Exception to the Initial Minimum Public Distribution Listing Requirement https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20359.html https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20359.html Tue, 16 Oct 2007 00:00:00 -0700 E7-20359 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20359.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Structured Equity Products https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20358.html https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20358.html Tue, 16 Oct 2007 00:00:00 -0700 E7-20358 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20358.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20330.html https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20330.html Tue, 16 Oct 2007 00:00:00 -0700 E7-20330 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20330.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20329.html https://regulations.justia.com/regulations/fedreg/2007/10/16/E7-20329.html Tue, 16 Oct 2007 00:00:00 -0700 E7-20329 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-16/pdf/E7-20329.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20281.html https://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20281.html Mon, 15 Oct 2007 00:00:00 -0700 E7-20281 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-15/pdf/E7-20281.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20216.html https://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20216.html Mon, 15 Oct 2007 00:00:00 -0700 E7-20216 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-15/pdf/E7-20216.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20215.html https://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20215.html Mon, 15 Oct 2007 00:00:00 -0700 E7-20215 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-15/pdf/E7-20215.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20214.html https://regulations.justia.com/regulations/fedreg/2007/10/15/E7-20214.html Mon, 15 Oct 2007 00:00:00 -0700 E7-20214 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-15/pdf/E7-20214.pdf Notice - Advisory Committee on Improvements to Financial Reporting https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20131.html https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20131.html Fri, 12 Oct 2007 00:00:00 -0700 E7-20131 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20131.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20122.html https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20122.html Fri, 12 Oct 2007 00:00:00 -0700 E7-20122 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20122.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20121.html https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20121.html Fri, 12 Oct 2007 00:00:00 -0700 E7-20121 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20121.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20120.html https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20120.html Fri, 12 Oct 2007 00:00:00 -0700 E7-20120 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20120.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20119.html https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20119.html Fri, 12 Oct 2007 00:00:00 -0700 E7-20119 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20119.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20118.html https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20118.html Fri, 12 Oct 2007 00:00:00 -0700 E7-20118 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20118.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20117.html https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20117.html Fri, 12 Oct 2007 00:00:00 -0700 E7-20117 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20117.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20116.html https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20116.html Fri, 12 Oct 2007 00:00:00 -0700 E7-20116 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20116.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20081.html https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20081.html Fri, 12 Oct 2007 00:00:00 -0700 E7-20081 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20081.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20080.html https://regulations.justia.com/regulations/fedreg/2007/10/12/E7-20080.html Fri, 12 Oct 2007 00:00:00 -0700 E7-20080 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-12/pdf/E7-20080.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/11/E7-20025.html https://regulations.justia.com/regulations/fedreg/2007/10/11/E7-20025.html Thu, 11 Oct 2007 00:00:00 -0700 E7-20025 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-11/pdf/E7-20025.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to a New Book Feed Product https://regulations.justia.com/regulations/fedreg/2007/10/11/E7-20024.html https://regulations.justia.com/regulations/fedreg/2007/10/11/E7-20024.html Thu, 11 Oct 2007 00:00:00 -0700 E7-20024 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-11/pdf/E7-20024.pdf 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” https://regulations.justia.com/regulations/fedreg/2007/10/11/E7-19937.html https://regulations.justia.com/regulations/fedreg/2007/10/11/E7-19937.html Thu, 11 Oct 2007 00:00:00 -0700 E7-19937 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-11/pdf/E7-19937.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19923.html https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19923.html Wed, 10 Oct 2007 00:00:00 -0700 E7-19923 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19923.pdf Notice - IronBridge Capital Management LP; The Hirtle Callaghan Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19913.html https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19913.html Wed, 10 Oct 2007 00:00:00 -0700 E7-19913 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19913.pdf Notice - Franklin Portfolio Associates, LLC; The Hirtle Callaghan Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19912.html https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19912.html Wed, 10 Oct 2007 00:00:00 -0700 E7-19912 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19912.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19911.html https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19911.html Wed, 10 Oct 2007 00:00:00 -0700 E7-19911 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19911.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19910.html https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19910.html Wed, 10 Oct 2007 00:00:00 -0700 E7-19910 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19910.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19909.html https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19909.html Wed, 10 Oct 2007 00:00:00 -0700 E7-19909 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19909.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19908.html https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19908.html Wed, 10 Oct 2007 00:00:00 -0700 E7-19908 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19908.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19907.html https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19907.html Wed, 10 Oct 2007 00:00:00 -0700 E7-19907 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19907.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19906.html https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19906.html Wed, 10 Oct 2007 00:00:00 -0700 E7-19906 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19906.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19905.html https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19905.html Wed, 10 Oct 2007 00:00:00 -0700 E7-19905 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19905.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change Modifying the Options Listing Criteria for Underlying Securities https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19870.html https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19870.html Wed, 10 Oct 2007 00:00:00 -0700 E7-19870 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19870.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19856.html https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19856.html Wed, 10 Oct 2007 00:00:00 -0700 E7-19856 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19856.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19855.html https://regulations.justia.com/regulations/fedreg/2007/10/10/E7-19855.html Wed, 10 Oct 2007 00:00:00 -0700 E7-19855 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-10/pdf/E7-19855.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19765.html https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19765.html Tue, 09 Oct 2007 00:00:00 -0700 E7-19765 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19765.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19764.html https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19764.html Tue, 09 Oct 2007 00:00:00 -0700 E7-19764 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19764.pdf Notice - JNF Advisors, Inc. and Northern Lights Variable Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19753.html https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19753.html Tue, 09 Oct 2007 00:00:00 -0700 E7-19753 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19753.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19752.html https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19752.html Tue, 09 Oct 2007 00:00:00 -0700 E7-19752 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19752.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/2007/10/09/E7-19751.html https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19751.html Tue, 09 Oct 2007 00:00:00 -0700 E7-19751 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19751.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19750.html https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19750.html Tue, 09 Oct 2007 00:00:00 -0700 E7-19750 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19750.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19749.html https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19749.html Tue, 09 Oct 2007 00:00:00 -0700 E7-19749 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19749.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19748.html https://regulations.justia.com/regulations/fedreg/2007/10/09/E7-19748.html Tue, 09 Oct 2007 00:00:00 -0700 E7-19748 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/E7-19748.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/09/07-4971.html https://regulations.justia.com/regulations/fedreg/2007/10/09/07-4971.html Tue, 09 Oct 2007 00:00:00 -0700 07-4971 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-09/pdf/07-4971.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19697.html https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19697.html Fri, 05 Oct 2007 00:00:00 -0700 E7-19697 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19697.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19673.html https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19673.html Fri, 05 Oct 2007 00:00:00 -0700 E7-19673 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19673.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19672.html https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19672.html Fri, 05 Oct 2007 00:00:00 -0700 E7-19672 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19672.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19671.html https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19671.html Fri, 05 Oct 2007 00:00:00 -0700 E7-19671 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19671.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19670.html https://regulations.justia.com/regulations/fedreg/2007/10/05/E7-19670.html Fri, 05 Oct 2007 00:00:00 -0700 E7-19670 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-05/pdf/E7-19670.pdf Notice - Vanguard STAR Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19639.html https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19639.html Thu, 04 Oct 2007 00:00:00 -0700 E7-19639 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19639.pdf Notice - Fidelity Rutland Square Trust, et al. https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19631.html https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19631.html Thu, 04 Oct 2007 00:00:00 -0700 E7-19631 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19631.pdf Notice - Van Eck Associates Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19630.html https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19630.html Thu, 04 Oct 2007 00:00:00 -0700 E7-19630 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19630.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19593.html https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19593.html Thu, 04 Oct 2007 00:00:00 -0700 E7-19593 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19593.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19579.html https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19579.html Thu, 04 Oct 2007 00:00:00 -0700 E7-19579 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19579.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19559.html https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19559.html Thu, 04 Oct 2007 00:00:00 -0700 E7-19559 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19559.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19558.html https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19558.html Thu, 04 Oct 2007 00:00:00 -0700 E7-19558 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19558.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19549.html https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19549.html Thu, 04 Oct 2007 00:00:00 -0700 E7-19549 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19549.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19548.html https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19548.html Thu, 04 Oct 2007 00:00:00 -0700 E7-19548 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19548.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19547.html https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19547.html Thu, 04 Oct 2007 00:00:00 -0700 E7-19547 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19547.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19546.html https://regulations.justia.com/regulations/fedreg/2007/10/04/E7-19546.html Thu, 04 Oct 2007 00:00:00 -0700 E7-19546 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-04/pdf/E7-19546.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19540.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19540.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19540 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19540.pdf Notice - American Capital Strategies, Ltd.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19539.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19539.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19539 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19539.pdf Notice - Rydex ETF Trust, et al. https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19538.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19538.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19538 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19538.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19537.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19537.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19537 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19537.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19536.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19536.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19536 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19536.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19535.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19535.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19535 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19535.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19534.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19534.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19534 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19534.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19500.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19500.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19500 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19500.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19499.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19499.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19499 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19499.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19498.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19498.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19498 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19498.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19497.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19497.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19497 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19497.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19496.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19496.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19496 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19496.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19495.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19495.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19495 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19495.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19490.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19490.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19490 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19490.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19489.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19489.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19489 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19489.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19488.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19488.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19488 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19488.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Short Interest Reporting https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19487.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19487.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19487 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19487.pdf Rule - Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19093.html https://regulations.justia.com/regulations/fedreg/2007/10/03/E7-19093.html Wed, 03 Oct 2007 00:00:00 -0700 E7-19093 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/E7-19093.pdf Notice - In the Matter of ConnectAJet.com, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4916.html https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4916.html Wed, 03 Oct 2007 00:00:00 -0700 07-4916 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/07-4916.pdf Notice - In the Matter of China Expert Technology, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4915.html https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4915.html Wed, 03 Oct 2007 00:00:00 -0700 07-4915 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/07-4915.pdf Rule - Definitions of Terms and Exemptions Relating to the “Broker” Exceptions for Banks https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4769.html https://regulations.justia.com/regulations/fedreg/2007/10/03/07-4769.html Wed, 03 Oct 2007 00:00:00 -0700 07-4769 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-10-03/pdf/07-4769.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19408.html https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19408.html Tue, 02 Oct 2007 00:00:00 -0700 E7-19408 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19408.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 XLE Fees https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19404.html https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19404.html Tue, 02 Oct 2007 00:00:00 -0700 E7-19404 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19404.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19398.html https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19398.html Tue, 02 Oct 2007 00:00:00 -0700 E7-19398 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19398.pdf Notice - Claymore Exchange-Traded Fund Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19385.html https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19385.html Tue, 02 Oct 2007 00:00:00 -0700 E7-19385 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19385.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19384.html https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19384.html Tue, 02 Oct 2007 00:00:00 -0700 E7-19384 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19384.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19362.html https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19362.html Tue, 02 Oct 2007 00:00:00 -0700 E7-19362 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19362.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19361.html https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19361.html Tue, 02 Oct 2007 00:00:00 -0700 E7-19361 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19361.pdf Notice - Public Alert: Unregistered Soliciting Entities (“Pause”) Program https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19343.html https://regulations.justia.com/regulations/fedreg/2007/10/02/E7-19343.html Tue, 02 Oct 2007 00:00:00 -0700 E7-19343 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-02/pdf/E7-19343.pdf Notice - Order Cancelling the Registration of a Transfer Agent https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19291.html https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19291.html Mon, 01 Oct 2007 00:00:00 -0700 E7-19291 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19291.pdf Notice - Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19282.html https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19282.html Mon, 01 Oct 2007 00:00:00 -0700 E7-19282 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19282.pdf Notice - MMA Praxis Mutual Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19281.html https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19281.html Mon, 01 Oct 2007 00:00:00 -0700 E7-19281 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19281.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Inspections https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19275.html https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19275.html Mon, 01 Oct 2007 00:00:00 -0700 E7-19275 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19275.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19274.html https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19274.html Mon, 01 Oct 2007 00:00:00 -0700 E7-19274 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19274.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19273.html https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19273.html Mon, 01 Oct 2007 00:00:00 -0700 E7-19273 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19273.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19272.html https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19272.html Mon, 01 Oct 2007 00:00:00 -0700 E7-19272 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19272.pdf 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) https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19271.html https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19271.html Mon, 01 Oct 2007 00:00:00 -0700 E7-19271 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19271.pdf 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 https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19270.html https://regulations.justia.com/regulations/fedreg/2007/10/01/E7-19270.html Mon, 01 Oct 2007 00:00:00 -0700 E7-19270 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-10-01/pdf/E7-19270.pdf