Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2007/12/31?limit=200®isters=between&mode=atom2024-10-09T06:10:28-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25378.htmlNotice - The UBS Funds, et al.; Notice of Application2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25378Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25378.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25376.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a New Non-Regulatory Trading Halt Condition Under Rule 123D Designated as “Investment Company Units or Index-Linked Securities”2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25376.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25375.htmlNotice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc. To Require a Non-Streaming Quote Trader Registered Option Traders (“non-SQT ROT”) To Submit a List of Options for Intended Assignment2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25375.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25374.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Section 107D(g) of the Amex Company Guide2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25374Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25374.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25373.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend its Rule 25 To Eliminate a Requirement That a Participant Have a Formal Written Agreement To Use Another Participant's Give-Up2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25373Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25373.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25370.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Make Technical Amendments to the Uniform Application for Securities Industry Registration or Transfer (“Form U4”), the Uniform Termination Notice for Securities Industry Registration (“Form U5”) and the Uniform Branch Office Form (“Form BR”)2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25370Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25370.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25369.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Elimination of the Short Sale “tick” and Price Tests2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25369Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25369.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25368.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Trade Shares of the GreenHaven Continuous Commodity Index Fund Pursuant to Unlisted Trading Privileges2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25368Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25368.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25367.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving a Proposed Rule Change Relating to Amending By-Law Article X, Section 10-112007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25367Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25367.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25366.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to $5 Strike Price Intervals of Options on Exchange-Traded Fund Shares above $2002007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25366.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25357.htmlNotice - Main Street Capital Corporation, et al.; Notice of Application2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25357Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25357.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25356.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Open the Exchange's Equity Trading Platform at 9 a.m.2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25356Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25356.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25355.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Customized U.S. Dollar-Settled Foreign Currency Options2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25355.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25354.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fee for Registering and Transferring Registration of Associated Persons2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25354.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25351.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish a New Class of Off Floor Market Makers in ETFs Called Designated Amex Remote Traders2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25351.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25350.htmlNotice - Millennium India Acquisition Company Inc.; Notice of Application2007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25350.pdfhttps://regulations.justia.com/regulations/fedreg/2007/12/31/E7-25178.htmlRule - Staff Accounting Bulletin No. 1102007-12-31T00:00:00-08:002007-12-31T00:00:00-08:00E7-25178Rulehttp://www.gpo.gov/fdsys/pkg/FR-2007-12-31/pdf/E7-25178.pdf