Securities and Exchange Commission November 13, 2007 – Federal Register Recent Federal Regulation Documents

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Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify That a Member Organization May Still Use the Express Consent Procedure for Obtaining Consent From a Customer To Trade Along on an Order-By-Order Basis Under Rule 92(b)
Document Number: E7-22099
Type: Notice
Date: 2007-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/11/13/E7-22099.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Related to the Marketing Fee Program
Document Number: E7-22098
Type: Notice
Date: 2007-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/11/13/E7-22098.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 2 and 3 Thereto Relating to Rule 104 (Dealings by Specialists)
Document Number: E7-22066
Type: Notice
Date: 2007-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/11/13/E7-22066.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) To Exempt Locations That Solely Conduct Final Approval of Research Reports
Document Number: E7-22064
Type: Notice
Date: 2007-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2007/11/13/E7-22064.html