<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/11?registers=between&min-day=1&max-day=30 Sat, 27 Apr 2024 19:21:08 -0700 Sat, 27 Apr 2024 19:21:08 -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/2007/11?registers=between&min-day=1&max-day=30 Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23210.html https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23210.html Fri, 30 Nov 2007 00:00:00 -0800 E7-23210 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-30/pdf/E7-23210.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23209.html https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23209.html Fri, 30 Nov 2007 00:00:00 -0800 E7-23209 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-30/pdf/E7-23209.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23208.html https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23208.html Fri, 30 Nov 2007 00:00:00 -0800 E7-23208 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-30/pdf/E7-23208.pdf Notice - John Hancock Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23205.html https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23205.html Fri, 30 Nov 2007 00:00:00 -0800 E7-23205 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-30/pdf/E7-23205.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Certain Requirements Relating o Indexes Underlying Equity Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23204.html https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23204.html Fri, 30 Nov 2007 00:00:00 -0800 E7-23204 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-30/pdf/E7-23204.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Replace the Mortgage-Backed Securities Division Clearing Fund Calculation Methodology With a Yield-Driven Value-at-Risk Methodology https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23203.html https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23203.html Fri, 30 Nov 2007 00:00:00 -0800 E7-23203 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-30/pdf/E7-23203.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enable the Exchange To List Certain Companies Based on Two Completed Fiscal Years and Financial Statements Covering the First Six Months of the Current Fiscal Year as Long as Prior to Listing Certain Summary Financial Data Confirms That the Company Continues To Satisfy the Applicable Standard Based on at Least Nine Completed Months of the Current Fiscal Year https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23202.html https://regulations.justia.com/regulations/fedreg/2007/11/30/E7-23202.html Fri, 30 Nov 2007 00:00:00 -0800 E7-23202 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-30/pdf/E7-23202.pdf Proposed Rule - Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies https://regulations.justia.com/regulations/fedreg/2007/11/30/07-5852.html https://regulations.justia.com/regulations/fedreg/2007/11/30/07-5852.html Fri, 30 Nov 2007 00:00:00 -0800 07-5852 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-11-30/pdf/07-5852.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of the Short Sale Price Test https://regulations.justia.com/regulations/fedreg/2007/11/29/E7-23171.html https://regulations.justia.com/regulations/fedreg/2007/11/29/E7-23171.html Thu, 29 Nov 2007 00:00:00 -0800 E7-23171 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-29/pdf/E7-23171.pdf Notice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Number 1 Thereto Relating to Participant Fees and Credits https://regulations.justia.com/regulations/fedreg/2007/11/29/E7-23170.html https://regulations.justia.com/regulations/fedreg/2007/11/29/E7-23170.html Thu, 29 Nov 2007 00:00:00 -0800 E7-23170 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-29/pdf/E7-23170.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Listing and Trading of Units of the United States 12 Month Oil Fund, LP and the United States 12 Month Natural Gas Fund, LP https://regulations.justia.com/regulations/fedreg/2007/11/29/E7-23169.html https://regulations.justia.com/regulations/fedreg/2007/11/29/E7-23169.html Thu, 29 Nov 2007 00:00:00 -0800 E7-23169 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-29/pdf/E7-23169.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to the Continuous Quoting Obligations of DPMs https://regulations.justia.com/regulations/fedreg/2007/11/29/E7-23168.html https://regulations.justia.com/regulations/fedreg/2007/11/29/E7-23168.html Thu, 29 Nov 2007 00:00:00 -0800 E7-23168 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-29/pdf/E7-23168.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change as Modified by Amendment Number 1 Thereto Relating to Market Data Distribution Network Fees https://regulations.justia.com/regulations/fedreg/2007/11/28/E7-23123.html https://regulations.justia.com/regulations/fedreg/2007/11/28/E7-23123.html Wed, 28 Nov 2007 00:00:00 -0800 E7-23123 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-28/pdf/E7-23123.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trading Sessions for Selected ETFs https://regulations.justia.com/regulations/fedreg/2007/11/28/E7-23122.html https://regulations.justia.com/regulations/fedreg/2007/11/28/E7-23122.html Wed, 28 Nov 2007 00:00:00 -0800 E7-23122 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-28/pdf/E7-23122.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of Certain Rule Changes Approved in SR-NASD-2005-146 https://regulations.justia.com/regulations/fedreg/2007/11/28/E7-23113.html https://regulations.justia.com/regulations/fedreg/2007/11/28/E7-23113.html Wed, 28 Nov 2007 00:00:00 -0800 E7-23113 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-28/pdf/E7-23113.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Units of the United States 12 Month Oil Fund, LP and the United States 12 Month Natural Gas Fund, LP Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2007/11/28/E7-23112.html https://regulations.justia.com/regulations/fedreg/2007/11/28/E7-23112.html Wed, 28 Nov 2007 00:00:00 -0800 E7-23112 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-28/pdf/E7-23112.pdf Notice - Request for Review by OMB https://regulations.justia.com/regulations/fedreg/2007/11/28/E7-23111.html https://regulations.justia.com/regulations/fedreg/2007/11/28/E7-23111.html Wed, 28 Nov 2007 00:00:00 -0800 E7-23111 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-28/pdf/E7-23111.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Correspondent Clearing Service https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-23021.html https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-23021.html Tue, 27 Nov 2007 00:00:00 -0800 E7-23021 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-27/pdf/E7-23021.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-23004.html https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-23004.html Tue, 27 Nov 2007 00:00:00 -0800 E7-23004 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-27/pdf/E7-23004.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to $1 Strikes for VXD and VXN Options and $1 Strikes for RVX, VIX, VXD and VXN LEAPs https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-23003.html https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-23003.html Tue, 27 Nov 2007 00:00:00 -0800 E7-23003 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-27/pdf/E7-23003.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-23002.html https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-23002.html Tue, 27 Nov 2007 00:00:00 -0800 E7-23002 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-27/pdf/E7-23002.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of 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/2007/11/27/E7-23001.html https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-23001.html Tue, 27 Nov 2007 00:00:00 -0800 E7-23001 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-27/pdf/E7-23001.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Trade Shares of 93 Funds of the ProShares Trust Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-23000.html https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-23000.html Tue, 27 Nov 2007 00:00:00 -0800 E7-23000 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-27/pdf/E7-23000.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 Regarding Nullification and Modification of Transactions Executed on CBOE Stock Exchange https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-22985.html https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-22985.html Tue, 27 Nov 2007 00:00:00 -0800 E7-22985 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-27/pdf/E7-22985.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-22981.html https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-22981.html Tue, 27 Nov 2007 00:00:00 -0800 E7-22981 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-27/pdf/E7-22981.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-22980.html https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-22980.html Tue, 27 Nov 2007 00:00:00 -0800 E7-22980 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-27/pdf/E7-22980.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Relating to Rule 6.87-Obvious Error https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-22979.html https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-22979.html Tue, 27 Nov 2007 00:00:00 -0800 E7-22979 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-27/pdf/E7-22979.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-22978.html https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-22978.html Tue, 27 Nov 2007 00:00:00 -0800 E7-22978 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-27/pdf/E7-22978.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Harmonize the Annual Listing Fees for All Exchange Traded Funds https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-22974.html https://regulations.justia.com/regulations/fedreg/2007/11/27/E7-22974.html Tue, 27 Nov 2007 00:00:00 -0800 E7-22974 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-27/pdf/E7-22974.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22999.html https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22999.html Mon, 26 Nov 2007 00:00:00 -0800 E7-22999 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-26/pdf/E7-22999.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Amend the Quoting Requirements Applicable to the Hybrid Opening System https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22946.html https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22946.html Mon, 26 Nov 2007 00:00:00 -0800 E7-22946 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-26/pdf/E7-22946.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Allow Issuers Voluntarily Delisting Index-Linked Securities To Submit to the Exchange a Letter From an Authorized Officer of the Issuer Rather Than a Board Resolution https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22944.html https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22944.html Mon, 26 Nov 2007 00:00:00 -0800 E7-22944 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-26/pdf/E7-22944.pdf Notice - Proposed Collection, Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22927.html https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22927.html Mon, 26 Nov 2007 00:00:00 -0800 E7-22927 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-26/pdf/E7-22927.pdf Notice - Self-Regulatory Organizations: American Stock Exchange LLC, Chicago Board Options Exchange, Incorporated and International Securities Exchange, LLC: Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes; Boston Stock Exchange, Inc.; NYSE Arca, Inc.; and Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes, as Amended, Relating to the Elimination of the Class Gate https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22916.html https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22916.html Mon, 26 Nov 2007 00:00:00 -0800 E7-22916 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-26/pdf/E7-22916.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Eliminate Options Specialists' Agency Responsibilities and Establish Amex Book Clerks https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22911.html https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22911.html Mon, 26 Nov 2007 00:00:00 -0800 E7-22911 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-26/pdf/E7-22911.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Charged to Clearing Members and Non-Clearing Members for Theoretical Profit and Loss Values https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22910.html https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22910.html Mon, 26 Nov 2007 00:00:00 -0800 E7-22910 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-26/pdf/E7-22910.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the GreenHaven Continuous Commodity Index Fund https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22909.html https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22909.html Mon, 26 Nov 2007 00:00:00 -0800 E7-22909 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-26/pdf/E7-22909.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Order Type Known as PNP Blind https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22898.html https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22898.html Mon, 26 Nov 2007 00:00:00 -0800 E7-22898 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-26/pdf/E7-22898.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend its Rule 4.20 Regarding Anti-Money Laundering https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22894.html https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22894.html Mon, 26 Nov 2007 00:00:00 -0800 E7-22894 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-26/pdf/E7-22894.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Revising the AEMI Rules To Eliminate the Post-Opening Pair-Off of Marketable Orders Held in a Message Queue https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22891.html https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22891.html Mon, 26 Nov 2007 00:00:00 -0800 E7-22891 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-26/pdf/E7-22891.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend its Operational Arrangements as it Applies to Structured Securities https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22890.html https://regulations.justia.com/regulations/fedreg/2007/11/26/E7-22890.html Mon, 26 Nov 2007 00:00:00 -0800 E7-22890 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-26/pdf/E7-22890.pdf Notice - MyShares Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22846.html https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22846.html Fri, 23 Nov 2007 00:00:00 -0800 E7-22846 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-23/pdf/E7-22846.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22843.html https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22843.html Fri, 23 Nov 2007 00:00:00 -0800 E7-22843 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-23/pdf/E7-22843.pdf Notice - Joint Industry Plan; Order Approving 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/2007/11/23/E7-22842.html https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22842.html Fri, 23 Nov 2007 00:00:00 -0800 E7-22842 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-23/pdf/E7-22842.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto Relating to the $1 Strike Pilot Program https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22841.html https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22841.html Fri, 23 Nov 2007 00:00:00 -0800 E7-22841 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-23/pdf/E7-22841.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Liability for the Actions or Omission of Amex Book Clerks https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22840.html https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22840.html Fri, 23 Nov 2007 00:00:00 -0800 E7-22840 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-23/pdf/E7-22840.pdf Proposed Rule - Concept Release on Mechanisms To Access Disclosures Relating to Business Activities in or With Countries Designated as State Sponsors of Terrorism https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22789.html https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22789.html Fri, 23 Nov 2007 00:00:00 -0800 E7-22789 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-11-23/pdf/E7-22789.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to NYSE Rule 1500 (NYSE MatchPointSM https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22782.html https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22782.html Fri, 23 Nov 2007 00:00:00 -0800 E7-22782 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-23/pdf/E7-22782.pdf Notice - Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Options Already Listed on Another National Securities Exchange https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22781.html https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22781.html Fri, 23 Nov 2007 00:00:00 -0800 E7-22781 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-23/pdf/E7-22781.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule G-27, on Supervision https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22780.html https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22780.html Fri, 23 Nov 2007 00:00:00 -0800 E7-22780 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-23/pdf/E7-22780.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Amendment Nos. 2 and 3 to Proposed Rule Change Relating to FLEX Options Trading and Order Granting Accelerated Approval to Proposed Rule Change as Amended https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22779.html https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22779.html Fri, 23 Nov 2007 00:00:00 -0800 E7-22779 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-23/pdf/E7-22779.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Mid-Point Passive Liquidity Order https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22778.html https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22778.html Fri, 23 Nov 2007 00:00:00 -0800 E7-22778 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-23/pdf/E7-22778.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change To Increase the Annual Listing Fees for Certain Stock Issues of Listed Companies https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22777.html https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22777.html Fri, 23 Nov 2007 00:00:00 -0800 E7-22777 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-23/pdf/E7-22777.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving a Proposed Rule Change Relating to Structured Equity Products https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22776.html https://regulations.justia.com/regulations/fedreg/2007/11/23/E7-22776.html Fri, 23 Nov 2007 00:00:00 -0800 E7-22776 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-23/pdf/E7-22776.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fill-or-Kill Order https://regulations.justia.com/regulations/fedreg/2007/11/21/E7-22737.html https://regulations.justia.com/regulations/fedreg/2007/11/21/E7-22737.html Wed, 21 Nov 2007 00:00:00 -0800 E7-22737 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-21/pdf/E7-22737.pdf Notice - Kiewit Investment Fund LLLP; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/11/21/E7-22736.html https://regulations.justia.com/regulations/fedreg/2007/11/21/E7-22736.html Wed, 21 Nov 2007 00:00:00 -0800 E7-22736 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-21/pdf/E7-22736.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Eliminate References to the ITS Plan and Other Now-Obsolete Matters https://regulations.justia.com/regulations/fedreg/2007/11/20/E7-22627.html https://regulations.justia.com/regulations/fedreg/2007/11/20/E7-22627.html Tue, 20 Nov 2007 00:00:00 -0800 E7-22627 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-20/pdf/E7-22627.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Send P/A Orders Through Linkage Prior to the Opening of Trading https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22552.html https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22552.html Mon, 19 Nov 2007 00:00:00 -0800 E7-22552 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-19/pdf/E7-22552.pdf Notice - Joint Industry Plan; Order Approving Joint Amendment No. 23 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage To Permit the Use of Linkage Prior to the Opening of Trading https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22533.html https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22533.html Mon, 19 Nov 2007 00:00:00 -0800 E7-22533 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-19/pdf/E7-22533.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22511.html https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22511.html Mon, 19 Nov 2007 00:00:00 -0800 E7-22511 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-19/pdf/E7-22511.pdf Notice - Submissions for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22510.html https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22510.html Mon, 19 Nov 2007 00:00:00 -0800 E7-22510 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-19/pdf/E7-22510.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Incorporate Certain Definitions of Exchange Act Rules 13d-1 and 13d-3 Into NYSE Rule 460 https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22509.html https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22509.html Mon, 19 Nov 2007 00:00:00 -0800 E7-22509 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-19/pdf/E7-22509.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange's Automated Opening System https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22484.html https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22484.html Mon, 19 Nov 2007 00:00:00 -0800 E7-22484 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-19/pdf/E7-22484.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to List and Trade Options on Shares of the iShares MSCI Mexico Index Fund https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22482.html https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22482.html Mon, 19 Nov 2007 00:00:00 -0800 E7-22482 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-19/pdf/E7-22482.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Amending By-Law Article X, Section 10-11 https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22481.html https://regulations.justia.com/regulations/fedreg/2007/11/19/E7-22481.html Mon, 19 Nov 2007 00:00:00 -0800 E7-22481 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-19/pdf/E7-22481.pdf Notice - Notice of Application of the National Association of Realtors for Exemptive Relief Under Sections 15 and 36 of the Exchange Act and Request for Comment https://regulations.justia.com/regulations/fedreg/2007/11/16/E7-22425.html https://regulations.justia.com/regulations/fedreg/2007/11/16/E7-22425.html Fri, 16 Nov 2007 00:00:00 -0800 E7-22425 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-16/pdf/E7-22425.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto To List and Trade Options Already Listed on Another National Securities Exchange https://regulations.justia.com/regulations/fedreg/2007/11/16/E7-22412.html https://regulations.justia.com/regulations/fedreg/2007/11/16/E7-22412.html Fri, 16 Nov 2007 00:00:00 -0800 E7-22412 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-16/pdf/E7-22412.pdf 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/2007/11/15/E7-22338.html https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22338.html Thu, 15 Nov 2007 00:00:00 -0800 E7-22338 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-15/pdf/E7-22338.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Increase the Class Quoting Limit in Fourteen Option Classes https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22337.html https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22337.html Thu, 15 Nov 2007 00:00:00 -0800 E7-22337 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-15/pdf/E7-22337.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Regarding Cancellation of the Stock Leg of a Stock-Option Order and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3 Thereto https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22336.html https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22336.html Thu, 15 Nov 2007 00:00:00 -0800 E7-22336 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-15/pdf/E7-22336.pdf Notice - Tower 21st Century Fund LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22297.html https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22297.html Thu, 15 Nov 2007 00:00:00 -0800 E7-22297 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-15/pdf/E7-22297.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change, and Amendments No. 1 and No. 2 Thereto, To Amend Listing Fees for Structured Products https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22295.html https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22295.html Thu, 15 Nov 2007 00:00:00 -0800 E7-22295 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-15/pdf/E7-22295.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 3, Relating to Complex Orders https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22294.html https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22294.html Thu, 15 Nov 2007 00:00:00 -0800 E7-22294 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-15/pdf/E7-22294.pdf Notice - lf-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Phlx Rule 607 https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22293.html https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22293.html Thu, 15 Nov 2007 00:00:00 -0800 E7-22293 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-15/pdf/E7-22293.pdf Notice - BTOP50 Managed Futures Fund and Asset Alliance Advisors, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22204.html https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22204.html Thu, 15 Nov 2007 00:00:00 -0800 E7-22204 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-15/pdf/E7-22204.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Collection of the Activity Assessment Fee https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22203.html https://regulations.justia.com/regulations/fedreg/2007/11/15/E7-22203.html Thu, 15 Nov 2007 00:00:00 -0800 E7-22203 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-15/pdf/E7-22203.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Previously Approved Rules Relating To a New Class of Off-Floor Market Maker Called Designated Amex Remote Traders https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22180.html https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22180.html Wed, 14 Nov 2007 00:00:00 -0800 E7-22180 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-14/pdf/E7-22180.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22169.html https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22169.html Wed, 14 Nov 2007 00:00:00 -0800 E7-22169 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-14/pdf/E7-22169.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Regarding the CBSX Floor Post https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22166.html https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22166.html Wed, 14 Nov 2007 00:00:00 -0800 E7-22166 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-14/pdf/E7-22166.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Boston Stock Exchange, Inc.; Chicago Board Options Exchange, Incorporated; International Securities Exchange, LLC; Order Approving Proposed Rule Changes; and NYSEArca, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Definition of a Complex Trade https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22165.html https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22165.html Wed, 14 Nov 2007 00:00:00 -0800 E7-22165 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-14/pdf/E7-22165.pdf Notice - Self-Regulatory Organization; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Amend Its Rule Governing the Relation of a Nasdaq Market Maker's Quotations to the Prevailing Market https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22164.html https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22164.html Wed, 14 Nov 2007 00:00:00 -0800 E7-22164 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-14/pdf/E7-22164.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc. (“FINRA”); Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Amend NASD Rule 7001E To Increase Percentage of Market Data Revenue Shared With NASD/NYSE TRF Participants https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22163.html https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22163.html Wed, 14 Nov 2007 00:00:00 -0800 E7-22163 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-14/pdf/E7-22163.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc. (“FINRA”); Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend NASD Rule 7001C To Increase Percentage of Market Data Revenue Shared With NASD/NSX TRF Participants https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22162.html https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22162.html Wed, 14 Nov 2007 00:00:00 -0800 E7-22162 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-14/pdf/E7-22162.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to NYSE Rule 2 https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22161.html https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22161.html Wed, 14 Nov 2007 00:00:00 -0800 E7-22161 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-14/pdf/E7-22161.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Trade Shares of Funds of the Rydex ETF Trust Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22150.html https://regulations.justia.com/regulations/fedreg/2007/11/14/E7-22150.html Wed, 14 Nov 2007 00:00:00 -0800 E7-22150 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-14/pdf/E7-22150.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2007/11/13/E7-22099.html https://regulations.justia.com/regulations/fedreg/2007/11/13/E7-22099.html Tue, 13 Nov 2007 00:00:00 -0800 E7-22099 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-13/pdf/E7-22099.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/11/13/E7-22098.html https://regulations.justia.com/regulations/fedreg/2007/11/13/E7-22098.html Tue, 13 Nov 2007 00:00:00 -0800 E7-22098 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-13/pdf/E7-22098.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2007/11/13/E7-22066.html https://regulations.justia.com/regulations/fedreg/2007/11/13/E7-22066.html Tue, 13 Nov 2007 00:00:00 -0800 E7-22066 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-13/pdf/E7-22066.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/11/13/E7-22064.html https://regulations.justia.com/regulations/fedreg/2007/11/13/E7-22064.html Tue, 13 Nov 2007 00:00:00 -0800 E7-22064 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-13/pdf/E7-22064.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-22006.html https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-22006.html Fri, 09 Nov 2007 00:00:00 -0800 E7-22006 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-09/pdf/E7-22006.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 https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-21983.html https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-21983.html Fri, 09 Nov 2007 00:00:00 -0800 E7-21983 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-09/pdf/E7-21983.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Modify Fees for Members Using the Nasdaq Market Center https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-21982.html https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-21982.html Fri, 09 Nov 2007 00:00:00 -0800 E7-21982 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-09/pdf/E7-21982.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Amendments to Rule G-40 on E-Mail Contacts https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-21981.html https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-21981.html Fri, 09 Nov 2007 00:00:00 -0800 E7-21981 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-09/pdf/E7-21981.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-21980.html https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-21980.html Fri, 09 Nov 2007 00:00:00 -0800 E7-21980 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-09/pdf/E7-21980.pdf Rule - Staff Accounting Bulletin No. 109 https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-21927.html https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-21927.html Fri, 09 Nov 2007 00:00:00 -0800 E7-21927 Rule http://www.gpo.gov/fdsys/pkg/FR-2007-11-09/pdf/E7-21927.pdf Proposed Rule - Rulemaking for EDGAR System; Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-21911.html https://regulations.justia.com/regulations/fedreg/2007/11/09/E7-21911.html Fri, 09 Nov 2007 00:00:00 -0800 E7-21911 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2007-11-09/pdf/E7-21911.pdf Notice - In the Matter of Ames Department Stores, Inc., Bradlees, Inc., Caldor Corp., and Stuarts Department Stores, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/11/09/07-5625.html https://regulations.justia.com/regulations/fedreg/2007/11/09/07-5625.html Fri, 09 Nov 2007 00:00:00 -0800 07-5625 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-09/pdf/07-5625.pdf Notice - Public Company Accounting Oversight Board; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Inspections https://regulations.justia.com/regulations/fedreg/2007/11/08/E7-21910.html https://regulations.justia.com/regulations/fedreg/2007/11/08/E7-21910.html Thu, 08 Nov 2007 00:00:00 -0800 E7-21910 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-08/pdf/E7-21910.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Access Provider Subsidy Section of the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2007/11/08/E7-21879.html https://regulations.justia.com/regulations/fedreg/2007/11/08/E7-21879.html Thu, 08 Nov 2007 00:00:00 -0800 E7-21879 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-08/pdf/E7-21879.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend CBOE Rule 6.13A To Modify the Simple Auction Liaison Auction Process and Incorporate Specific Provisions for Hybrid 3.0 Classes https://regulations.justia.com/regulations/fedreg/2007/11/07/E7-21838.html https://regulations.justia.com/regulations/fedreg/2007/11/07/E7-21838.html Wed, 07 Nov 2007 00:00:00 -0800 E7-21838 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-07/pdf/E7-21838.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Parent, International Securities Exchange Holdings, Inc., Will Become a Wholly-Owned Indirect Subsidiary of Eurex Frankfurt AG https://regulations.justia.com/regulations/fedreg/2007/11/07/E7-21836.html https://regulations.justia.com/regulations/fedreg/2007/11/07/E7-21836.html Wed, 07 Nov 2007 00:00:00 -0800 E7-21836 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-07/pdf/E7-21836.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 80A (Index Arbitrage Trading Restrictions) https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21773.html https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21773.html Tue, 06 Nov 2007 00:00:00 -0800 E7-21773 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-06/pdf/E7-21773.pdf Notice - Sunshine Act Meeting Federal Register Citation of Previous Announcement: November 5, 2007 https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21772.html https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21772.html Tue, 06 Nov 2007 00:00:00 -0800 E7-21772 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-06/pdf/E7-21772.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21763.html https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21763.html Tue, 06 Nov 2007 00:00:00 -0800 E7-21763 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-06/pdf/E7-21763.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Amending Nasdaq's Membership Application Rules https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21740.html https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21740.html Tue, 06 Nov 2007 00:00:00 -0800 E7-21740 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-06/pdf/E7-21740.pdf Notice - MyShares Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21739.html https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21739.html Tue, 06 Nov 2007 00:00:00 -0800 E7-21739 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-06/pdf/E7-21739.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21738.html https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21738.html Tue, 06 Nov 2007 00:00:00 -0800 E7-21738 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-06/pdf/E7-21738.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21737.html https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21737.html Tue, 06 Nov 2007 00:00:00 -0800 E7-21737 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-06/pdf/E7-21737.pdf Notice - Rafferty Asset Management, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21694.html https://regulations.justia.com/regulations/fedreg/2007/11/06/E7-21694.html Tue, 06 Nov 2007 00:00:00 -0800 E7-21694 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-06/pdf/E7-21694.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21664.html https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21664.html Mon, 05 Nov 2007 00:00:00 -0800 E7-21664 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-05/pdf/E7-21664.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21663.html https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21663.html Mon, 05 Nov 2007 00:00:00 -0800 E7-21663 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-05/pdf/E7-21663.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to API Fees https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21662.html https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21662.html Mon, 05 Nov 2007 00:00:00 -0800 E7-21662 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-05/pdf/E7-21662.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21638.html https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21638.html Mon, 05 Nov 2007 00:00:00 -0800 E7-21638 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-05/pdf/E7-21638.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 18 (Compensation in Relation to Exchange System Failure) https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21636.html https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21636.html Mon, 05 Nov 2007 00:00:00 -0800 E7-21636 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-05/pdf/E7-21636.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Options Already Listed on Another National Securities Exchange https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21634.html https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21634.html Mon, 05 Nov 2007 00:00:00 -0800 E7-21634 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-05/pdf/E7-21634.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Relating to NYSE Rule 104.10 (“Dealings by Specialists”) https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21633.html https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21633.html Mon, 05 Nov 2007 00:00:00 -0800 E7-21633 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-05/pdf/E7-21633.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enable Settlements of Disciplinary Matters To Be Considered for Approval or Rejection by Exchange Hearing Officers Without the Need To Convene a Formal Hearing https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21632.html https://regulations.justia.com/regulations/fedreg/2007/11/05/E7-21632.html Mon, 05 Nov 2007 00:00:00 -0800 E7-21632 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-05/pdf/E7-21632.pdf Notice - In the Matter of: BIMS Renewable Energy, Inc. (n/k/a Tung Ding Resources, Inc.); Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2007/11/05/07-5519.html https://regulations.justia.com/regulations/fedreg/2007/11/05/07-5519.html Mon, 05 Nov 2007 00:00:00 -0800 07-5519 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-05/pdf/07-5519.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Listing and Trading of Units of the United States 12 Month Oil Fund, LP and the United States 12 Month Natural Gas Fund, LP https://regulations.justia.com/regulations/fedreg/2007/11/02/E7-21619.html https://regulations.justia.com/regulations/fedreg/2007/11/02/E7-21619.html Fri, 02 Nov 2007 00:00:00 -0700 E7-21619 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-02/pdf/E7-21619.pdf Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to Rule 1034, Minimum Increments https://regulations.justia.com/regulations/fedreg/2007/11/02/E7-21578.html https://regulations.justia.com/regulations/fedreg/2007/11/02/E7-21578.html Fri, 02 Nov 2007 00:00:00 -0700 E7-21578 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-02/pdf/E7-21578.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/02/E7-21577.html https://regulations.justia.com/regulations/fedreg/2007/11/02/E7-21577.html Fri, 02 Nov 2007 00:00:00 -0700 E7-21577 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-02/pdf/E7-21577.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Criteria for Securities that Underlie Options Traded on the Exchange https://regulations.justia.com/regulations/fedreg/2007/11/02/E7-21567.html https://regulations.justia.com/regulations/fedreg/2007/11/02/E7-21567.html Fri, 02 Nov 2007 00:00:00 -0700 E7-21567 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-02/pdf/E7-21567.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/11/02/E7-21533.html https://regulations.justia.com/regulations/fedreg/2007/11/02/E7-21533.html Fri, 02 Nov 2007 00:00:00 -0700 E7-21533 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-02/pdf/E7-21533.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21503.html https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21503.html Thu, 01 Nov 2007 00:00:00 -0700 E7-21503 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-01/pdf/E7-21503.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21498.html https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21498.html Thu, 01 Nov 2007 00:00:00 -0700 E7-21498 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-01/pdf/E7-21498.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21497.html https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21497.html Thu, 01 Nov 2007 00:00:00 -0700 E7-21497 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-01/pdf/E7-21497.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21496.html https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21496.html Thu, 01 Nov 2007 00:00:00 -0700 E7-21496 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-01/pdf/E7-21496.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21485.html https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21485.html Thu, 01 Nov 2007 00:00:00 -0700 E7-21485 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-01/pdf/E7-21485.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21484.html https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21484.html Thu, 01 Nov 2007 00:00:00 -0700 E7-21484 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-01/pdf/E7-21484.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21455.html https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21455.html Thu, 01 Nov 2007 00:00:00 -0700 E7-21455 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-01/pdf/E7-21455.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21454.html https://regulations.justia.com/regulations/fedreg/2007/11/01/E7-21454.html Thu, 01 Nov 2007 00:00:00 -0700 E7-21454 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-11-01/pdf/E7-21454.pdf