<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/12/28?registers=between Tue, 30 Apr 2024 18:45:41 -0700 Tue, 30 Apr 2024 18:45:41 -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/2007/12/28?registers=between Notice - Securities Exchange Act of 1934; Order Granting Registration of Egan-Jones Rating Company As A Nationally Recognized Statistical Rating Organization https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25244.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25244.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25244 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25244.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 710, Minimum Trading Increments https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25208.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25208.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25208 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25208.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 11 Funds of the ProShares Trust Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25207.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25207.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25207 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25207.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25206.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25206.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25206 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25206.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Annual Shareholder Meeting Requirements https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25202.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25202.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25202 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25202.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of the Exchange's Amended and Restated Constitution https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25201.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25201.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25201 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25201.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To List and Trade Options on the iShares MSCI Mexico Index Fund https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25200.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25200.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25200 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25200.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/2007/12/28/E7-25199.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25199.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25199 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25199.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Amending its Obvious Error Rule for Options on Indices, ETFs, and HOLDRS https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25198.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25198.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25198 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25198.pdf Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Allow Registered Options Traders to Quote Remotely From Off the Amex's Trading Floor on a Limited Basis https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25197.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25197.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25197 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25197.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Create Exception to Principal Approval Requirements for Certain Filed Sales Material https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25191.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25191.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25191 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25191.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Exchange Rule 325 Relating to Financial Responsibility Requirements of Member Organizations https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25190.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25190.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25190 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25190.pdf Notice - Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Elimination of Provisions Relating to Rule 10a-1 https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25189.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25189.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25189 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25189.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by the New York Stock Exchange LLC Relating to NYSE Rule 300 (Trading Licenses) https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25188.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25188.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25188 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25188.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 Amending Its Obvious Error Rule for Options on Indices, ETFs, and HOLDRS https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25187.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25187.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25187 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25187.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to an Amendment to the Municipal Securities Information Library® System To Establish a Pilot System for Consolidated Dissemination of Disclosure Documents and Related Information Through an Internet-Based Public Access Portal https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25186.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25186.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25186 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25186.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 15 (ITS and Pre-Opening Applications) https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25185.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25185.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25185 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25185.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule G-14, Reports of Sales or Purchases, to Extend the Expiration Date of the Three-Hour Exception to the Fifteen-Minute Reporting Deadline https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25184.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25184.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25184 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25184.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Amendment to NYSE Rule 104.21 (“Specialist Organizations-Additional Capital Requirements”) https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25183.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25183.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25183 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25183.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Regarding the CBSX Floor Post https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25182.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25182.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25182 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25182.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Range Options https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25181.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25181.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25181 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25181.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of International Securities Exchange Holdings, Inc.'s Certificate of Incorporation and Trust Agreement https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25180.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25180.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25180 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25180.pdf Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a/ Financial Industry Regulatory Authority, Inc.); Order Granting Approval of a Proposed Rule Change Related to Mandated Use of an Automated Liability Notification System https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25179.html https://regulations.justia.com/regulations/fedreg/2007/12/28/E7-25179.html Fri, 28 Dec 2007 00:00:00 -0800 E7-25179 Notice http://www.gpo.gov/fdsys/pkg/FR-2007-12-28/pdf/E7-25179.pdf