Securities and Exchange Commission November 1, 2007 – Federal Register Recent Federal Regulation Documents

Results 1 - 8 of 8
Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of Funds of the Rydex ETF Trust
Document Number: E7-21503
Type: Notice
Date: 2007-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21503.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Exempt From TRACE Reporting Transactions in TRACE-Eligible Securities Resulting From Certain Derivative-Related Transactions
Document Number: E7-21498
Type: Notice
Date: 2007-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21498.html
Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Nasdaq's Outbound Routing Broker
Document Number: E7-21497
Type: Notice
Date: 2007-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21497.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change Relating to DTC Opening an Omnibus Account at Euroclear Bank
Document Number: E7-21496
Type: Notice
Date: 2007-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21496.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E7-21485
Type: Notice
Date: 2007-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On December 30, 1994, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $33,885 incurred in connection with the liquidation were paid by applicant. Filing Dates: The application was filed on September 18, 2007, and amended on October 23, 2007. Applicant's Address: 11 Hanover Sq., 12th Floor, New York, NY 10005.
https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21485.html
Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Permitting Certain Transactions To Have Post-Trade Anonymity
Document Number: E7-21484
Type: Notice
Date: 2007-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21484.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change to Allow the Exchange to Open at 8:30 a.m.
Document Number: E7-21455
Type: Notice
Date: 2007-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21455.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Certain Modifications to the Initial Listing and Trading Standards for Equity Index-Linked Securities
Document Number: E7-21454
Type: Notice
Date: 2007-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21454.html
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