Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2008/04?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-23T22:07:35-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2008/04/30/E8-9469.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Criteria for Securities That Underlie Options Traded on the Exchange2008-04-30T00:00:00-07:002008-04-30T00:00:00-07:00E8-9469Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-30/pdf/E8-9469.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/30/E8-9460.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Complex Orders2008-04-30T00:00:00-07:002008-04-30T00:00:00-07:00E8-9460Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-30/pdf/E8-9460.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/30/E8-9459.htmlNotice - Thrivent Mutual Funds, et al.; Notice of Application2008-04-30T00:00:00-07:002008-04-30T00:00:00-07:00E8-9459Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-30/pdf/E8-9459.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/30/E8-9410.htmlRule - Disclosure of Divestment by Registered Investment Companies in Accordance With Sudan Accountability and Divestment Act of 20072008-04-30T00:00:00-07:002008-04-30T00:00:00-07:00E8-9410Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-30/pdf/E8-9410.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/29/E8-9334.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change To Amend Its Bylaws Relating to the Definition of a Public Director2008-04-29T00:00:00-07:002008-04-29T00:00:00-07:00E8-9334Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-29/pdf/E8-9334.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/29/E8-9323.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Changes to Phlx's Governing Documents in Connection With the Acquisition of Phlx by the Nasdaq Stock Market, Inc.2008-04-29T00:00:00-07:002008-04-29T00:00:00-07:00E8-9323Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-29/pdf/E8-9323.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/29/E8-9321.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of Three Exchange-Traded Funds of the NETS Trust2008-04-29T00:00:00-07:002008-04-29T00:00:00-07:00E8-9321Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-29/pdf/E8-9321.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/29/E8-9320.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Listing Rules Relating to Fixed Income Index-Linked Securities, Futures-Linked Securities, and Multifactor Index-Linked Securities2008-04-29T00:00:00-07:002008-04-29T00:00:00-07:00E8-9320Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-29/pdf/E8-9320.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/29/E8-9305.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Handling of Odd-lot Orders on the CBOE Stock Exchange2008-04-29T00:00:00-07:002008-04-29T00:00:00-07:00E8-9305Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-29/pdf/E8-9305.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/29/E8-9289.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Relating to the Minor Rule Plan2008-04-29T00:00:00-07:002008-04-29T00:00:00-07:00E8-9289Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-29/pdf/E8-9289.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/28/E8-9188.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Two-Characters Ticker Symbols2008-04-28T00:00:00-07:002008-04-28T00:00:00-07:00E8-9188Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-28/pdf/E8-9188.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/28/E8-9187.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Currency Forward Pricing for Currency-Linked Securities2008-04-28T00:00:00-07:002008-04-28T00:00:00-07:00E8-9187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-28/pdf/E8-9187.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/25/E8-9107.htmlNotice - Sunshine Act Meeting2008-04-25T00:00:00-07:002008-04-25T00:00:00-07:00E8-9107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-25/pdf/E8-9107.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/25/E8-9069.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to streetTRACKS Gold Shares2008-04-25T00:00:00-07:002008-04-25T00:00:00-07:00E8-9069Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-25/pdf/E8-9069.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/24/E8-8927.htmlNotice - Submission for OMB Review; Comment Request2008-04-24T00:00:00-07:002008-04-24T00:00:00-07:00E8-8927Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-24/pdf/E8-8927.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/24/E8-8926.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Maker Fees Applicable to DPMs on the CBOE Stock Exchange2008-04-24T00:00:00-07:002008-04-24T00:00:00-07:00E8-8926Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-24/pdf/E8-8926.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/24/E8-8912.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Adoption of Additional Initial Listing Standards for Special Purpose Acquisition Vehicles2008-04-24T00:00:00-07:002008-04-24T00:00:00-07:00E8-8912Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-24/pdf/E8-8912.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/24/E8-8878.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Amend Exchange Rule 13 (Definitions of Orders) To Add a New Order Type To Be Known as a Reserve Order and To Amend Exchange Rule 70 (Bids and Offers)2008-04-24T00:00:00-07:002008-04-24T00:00:00-07:00E8-8878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-24/pdf/E8-8878.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/24/E8-8875.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend Rules Relating to Fingerprint-Based Record Checks2008-04-24T00:00:00-07:002008-04-24T00:00:00-07:00E8-8875Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-24/pdf/E8-8875.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/24/E8-8874.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Access to XLE on Phlx's Options Floor2008-04-24T00:00:00-07:002008-04-24T00:00:00-07:00E8-8874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-24/pdf/E8-8874.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/24/E8-8873.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 92(c)(3)2008-04-24T00:00:00-07:002008-04-24T00:00:00-07:00E8-8873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-24/pdf/E8-8873.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/24/E8-8872.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports To Identify Other Members for Agency and Riskless Principal Transactions2008-04-24T00:00:00-07:002008-04-24T00:00:00-07:00E8-8872Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-24/pdf/E8-8872.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/24/E8-8871.htmlNotice - Sunshine Act Meeting2008-04-24T00:00:00-07:002008-04-24T00:00:00-07:00E8-8871Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-24/pdf/E8-8871.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/24/08-1178.htmlNotice - In the Matter of Advanced Precision Technology, Inc. (n/k/a Exact Identification Corp.), Alta Gold Co., Decisionlink, Inc., Dover Petroleum Corp., Enviro Energy Corp., Languageware.net Co. Ltd., Playstar Wyoming Holding Corp. (n/k/a Playstar Corp.), Uncle B's Bakery, Inc. (n/k/a Ise Blu Equity Corp.), and Wavo Corp.; Order of Suspension of Trading2008-04-24T00:00:00-07:002008-04-24T00:00:00-07:0008-1178Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-24/pdf/08-1178.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/23/Z8-8267.htmlRule - Proposed Rule Changes of Self[dash]Regulatory Organizations2008-04-23T00:00:00-07:002008-04-23T00:00:00-07:00Z8-8267Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-23/pdf/Z8-8267.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/23/Z8-6429.htmlNotice - Tribal Management Grant Program2008-04-23T00:00:00-07:002008-04-23T00:00:00-07:00Z8-6429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-23/pdf/Z8-6429.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/23/E8-8784.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Certain Taker Fees on the CBOE Stock Exchange2008-04-23T00:00:00-07:002008-04-23T00:00:00-07:00E8-8784Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-23/pdf/E8-8784.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/23/E8-8735.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Limitation of Liability2008-04-23T00:00:00-07:002008-04-23T00:00:00-07:00E8-8735Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-23/pdf/E8-8735.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/22/E8-8652.htmlNotice - U.S. Bank National Association, et al.; Notice of Application2008-04-22T00:00:00-07:002008-04-22T00:00:00-07:00E8-8652Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-22/pdf/E8-8652.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/22/E8-8602.htmlNotice - Self-Regulatory Organizations: New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending NYSE Rule 472 (Communications With the Public)2008-04-22T00:00:00-07:002008-04-22T00:00:00-07:00E8-8602Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-22/pdf/E8-8602.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/22/E8-8601.htmlNotice - Self-Regulatory Organizations: New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending NYSE Rule Interpretation 344/02 (Research Analysts and Supervisory Analysts)2008-04-22T00:00:00-07:002008-04-22T00:00:00-07:00E8-8601Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-22/pdf/E8-8601.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/22/E8-8600.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Restructure Its Rules Relating to Fines and To Harmonize Them With Similar Rules of I ts Affiliates2008-04-22T00:00:00-07:002008-04-22T00:00:00-07:00E8-8600Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-22/pdf/E8-8600.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/22/E8-8599.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Restructure the Rules of the Government Securities Division and the Mortgage-Backed Securities Division Relating to Fines and To Harmonize Them With Similar Rules of Its Affiliates and To Restructure the Watch List2008-04-22T00:00:00-07:002008-04-22T00:00:00-07:00E8-8599Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-22/pdf/E8-8599.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/22/E8-8598.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change to Restructure Its Rules Relating to Fines and To Harmonize Them With Similar Rules of Its Affiliates2008-04-22T00:00:00-07:002008-04-22T00:00:00-07:00E8-8598Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-22/pdf/E8-8598.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/21/E8-8584.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NSX Rule 16.2(b) and the NSX BLADESM2008-04-21T00:00:00-07:002008-04-21T00:00:00-07:00E8-8584Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-21/pdf/E8-8584.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/21/E8-8544.htmlNotice - Sunshine Act Meeting2008-04-21T00:00:00-07:002008-04-21T00:00:00-07:00E8-8544Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-21/pdf/E8-8544.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/21/E8-8528.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of Twelve Actively Managed Exchange-Traded Funds of the WisdomTree Trust2008-04-21T00:00:00-07:002008-04-21T00:00:00-07:00E8-8528Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-21/pdf/E8-8528.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/21/E8-8519.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2008-04-21T00:00:00-07:002008-04-21T00:00:00-07:00E8-8519Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-21/pdf/E8-8519.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/21/E8-8518.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Generic Listing Standards for Index Multiple Fund Shares and Index Inverse Fund Shares2008-04-21T00:00:00-07:002008-04-21T00:00:00-07:00E8-8518Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-21/pdf/E8-8518.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/21/E8-8516.htmlNotice - Advisory Committee on Improvements to Financial Reporting.2008-04-21T00:00:00-07:002008-04-21T00:00:00-07:00E8-8516Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-21/pdf/E8-8516.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/18/E8-8517.htmlNotice - Sunshine Act Meeting2008-04-18T00:00:00-07:002008-04-18T00:00:00-07:00E8-8517Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-18/pdf/E8-8517.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/18/E8-8348.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Rule G-11, on New Issue Syndicate Practices, and Rule G-12, on Uniform Practice2008-04-18T00:00:00-07:002008-04-18T00:00:00-07:00E8-8348Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-18/pdf/E8-8348.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/17/E8-8278.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Provide for Issuance of Interim Trading Permits2008-04-17T00:00:00-07:002008-04-17T00:00:00-07:00E8-8278Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-17/pdf/E8-8278.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/17/E8-8277.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify That Current Limitations on the Trade Allocation Match for Registered Traders in ETFs Also Apply to DARTs2008-04-17T00:00:00-07:002008-04-17T00:00:00-07:00E8-8277Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-17/pdf/E8-8277.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/17/E8-8276.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 6.87 To Include Procedures for Handling Catastrophic Errors2008-04-17T00:00:00-07:002008-04-17T00:00:00-07:00E8-8276Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-17/pdf/E8-8276.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/17/E8-8270.htmlRule - Definitions of Terms and Exemptions Relating to the “Broker” Exceptions for Banks2008-04-17T00:00:00-07:002008-04-17T00:00:00-07:00E8-8270Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-17/pdf/E8-8270.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/17/E8-8269.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Options on the Full and Reduced Values of the Nasdaq 100 Index2008-04-17T00:00:00-07:002008-04-17T00:00:00-07:00E8-8269Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-17/pdf/E8-8269.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/17/E8-8268.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Charges for Pre-Trade Risk Management Workstation Add-Ons2008-04-17T00:00:00-07:002008-04-17T00:00:00-07:00E8-8268Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-17/pdf/E8-8268.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/17/E8-8267.htmlRule - Proposed Rule Changes of Self-Regulatory Organizations2008-04-17T00:00:00-07:002008-04-17T00:00:00-07:00E8-8267Rulehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-17/pdf/E8-8267.pdfhttps://regulations.justia.com/regulations/fedreg/2008/04/17/E8-8233.htmlNotice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Order Approving Proposed Rule Change as Amended To Resume Interbank Clearing for the GCF Repo Service2008-04-17T00:00:00-07:002008-04-17T00:00:00-07:00E8-8233Noticehttp://www.gpo.gov/fdsys/pkg/FR-2008-04-17/pdf/E8-8233.pdf