<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/12/06?registers=between Wed, 01 May 2024 16:30:10 -0700 Wed, 01 May 2024 16:30:10 -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/2007/12/06?registers=between Notice - Notice of Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23789.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23789.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23789 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23789.pdf Notice - Unified Series Trust and Envestnet Asset Management, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23722.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23722.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23722 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23722.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/2007/12/06/E7-23651.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23651.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23651 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23651.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23641.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23641.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23641 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23641.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Notes Linked to the Performance of the CBOE S&P 500 PutWrite Index (PUTSM https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23640.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23640.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23640 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23640.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23613.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23613.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23613 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23613.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Permit Trading of Shares of 93 Funds of the ProShares Trust Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23611.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23611.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23611 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23611.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Delayed Start Options https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23610.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23610.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23610 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23610.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23609.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23609.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23609 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23609.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Amend the Minimum Quote Size Requirements for Hybrid Opening System Rotations https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23608.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23608.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23608 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23608.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23607.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23607.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23607 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23607.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Charged to Member Organizations for the Use of the On-Line Comparison System https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23599.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23599.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23599 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23599.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them With Similar Rules of Its Affiliates https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23594.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23594.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23594 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23594.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Riskless Principal and Other Exceptions to Amex Rules Prohibiting Members' Proprietary Trading While in Possession of Like or Better-Priced Customer Orders https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23593.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23593.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23593 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23593.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them With Similar Rules of Its Affiliates https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23592.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23592.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23592 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23592.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Hearing Procedures Afforded to an Interested Person and Harmonize Them With Similar Rules of Its Affiliates https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23591.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23591.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23591 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23591.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Transaction Fee Waiver for Options on the Mini-SPX https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23590.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23590.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23590 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23590.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Conforming Changes to Amex Rules Relating to the Amex Book Clerk Program https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23589.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23589.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23589 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23589.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Exchange Rule 103A(a)(3) To Address Changes in the Way the Exchange Delivers Education Programs to its Members and To Clarify That the Mandatory Education Requirement Applies to All Individuals Qualified To Use a Trading License https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23587.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23587.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23587 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23587.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; 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/2007/12/06/E7-23586.html https://regulations.justia.com/regulations/fedreg/2007/12/06/E7-23586.html Thu, 06 Dec 2007 00:00:00 -0800 E7-23586 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-06/pdf/E7-23586.pdf