Securities and Exchange Commission March 21, 2008 – Federal Register Recent Federal Regulation Documents

Results 1 - 14 of 14
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Amendment No. 2 to Proposed Rule Change and Order Granting Accelerated Approval of Such Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Rules Permitting the Listing and Trading of Managed Fund Shares, Fees Applicable to Such Managed Fund Shares, and the Listing and Trading of Shares of the Bear Stearns Current Yield Fund
Document Number: E8-5718
Type: Notice
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5718.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.); Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the NASD Rule 9700 Series To Streamline the Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems
Document Number: E8-5709
Type: Notice
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5709.html
Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Create a Delta Hedging Exemption From Equity Options Position Limits
Document Number: E8-5705
Type: Notice
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5705.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendment to Rule A-3, on Membership on the Board, and Rule A-4, on Meetings of the Board
Document Number: E8-5704
Type: Notice
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5704.html
``Naked'' Short Selling Anti-Fraud Rule
Document Number: E8-5697
Type: Proposed Rule
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is proposing an anti-fraud rule under the Securities Exchange Act of 1934 (``Exchange Act'') to address fails to deliver securities that have been associated with ``naked'' short selling. The proposed rule is intended to highlight the liability of persons that deceive specified persons about their intention or ability to deliver securities in time for settlement, including persons that deceive their broker-dealer about their locate source or ownership of shares and that fail to deliver securities by settlement date.
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5697.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Phase II of the Penny Pilot Program Expansion
Document Number: E8-5696
Type: Notice
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5696.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Complex Orders
Document Number: E8-5695
Type: Notice
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5695.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Retroactive Application of the Options Fee Cap Pilot Program for Dividend Strategies, Merger Spreads, and Short Stock Interest Spreads
Document Number: E8-5694
Type: Notice
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5694.html
Submission for OMB Review; Comment Request
Document Number: E8-5679
Type: Notice
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5679.html
Submission for OMB Review; Comment Request
Document Number: E8-5678
Type: Notice
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5678.html
Submission for OMB Review; Comment Request
Document Number: E8-5676
Type: Notice
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5676.html
Submission for OMB Review; Comment Request
Document Number: E8-5675
Type: Notice
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5675.html
Self-Regulatory Organizations; American Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Delta Hedging Exemption From Equity Options Position Limits
Document Number: E8-5674
Type: Notice
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5674.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt New Initial and Continued Listing Standards To List Special Purpose Acquisition Companies
Document Number: E8-5673
Type: Notice
Date: 2008-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2008/03/21/E8-5673.html
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