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Directory Results for Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes to Notice of Filing Confidential Information Form ... - Oregon - courts oregon

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend MSRB Rule A-12, on Registration, and Accompanying Form A-12 Changes
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.2 Regarding Market-Maker Registration Cost
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Ability to Submit Frequent Trader Forms
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange\'s Amended and Restated Certificate of Formation, Second Amended and Restated Limited Liability Company Agreement, and the Amended and Restated By-Laws
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange\'s Certificate of Formation, Amended and Restated Limited Liability Company Agreement, and the By-Laws
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Standardized Membership Application Forms-Form NMA and Form CMA-to Conform to Amendments to the Membership Application Program Rules as Described in SR-FINRA-2019-030
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Rule 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate the Change in Business Form Fee
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Compliance Date of Amended Form G-32
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 311015 Temporary Program to Address Underreported Form U4 Information
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Permit Firms to File a Form U4 Based on an Electronically Signed Copy of the Form
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the Requirement for Participants to Submit Monthly Position Confirmations and Clarify Participant Obligation to Reconcile Activity on a Regular Basis
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process - sec
Notice of Filing and Immediate Effectiveness of Amendment No 3 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange Inc BATS-Y - sec
Notice of Filing and Immediate Effectiveness of Amendment No. 20 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities...
Notice of Filing and Immediate Effectiveness of Amendment No. 22 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on
Notice of Filing and Immediate Effectiveness of Amendment No. 4 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y - -
Notice of Filing and Immediate Effectiveness of Amendment to ...
Notice of Filing and Immediate Effectiveness of Amendment to the ...
Notice of Filing and Immediate Effectiveness of Proposed ...
Notice of Filing and Immediate Effectiveness of Proposed ... - SEC
Notice of Filing and Immediate Effectiveness of Proposed Amendment to Adopt a Revised Form Third Party Billing Agreement Rel No 34-55454 File No Sr-opra-2007-01
Notice of Filing and Immediate Effectiveness of Proposed Amendments to the Interpretive Notice to NFA Compliance Rule 2-9
Notice of Filing and Immediate Effectiveness of Proposed Rule ... - sec
Notice of Filing and Immediate Effectiveness of Proposed Rule Change
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 312.07 of the Listed Company Manual to Remove the 50% Quorum Requirement and Add Certain Clarifying Language - sec
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Dividend Spread and Merger Spread Strategy Rebate Request Forms; Rel. No. 34-53094, File No. File No. SR-Phlx-2005-75
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Options Floor Broker Subsidy
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning an Amendment to the Amended and Restated Clearing and Services Agreement between The Options Clearing Corporation and NYSE Liffe US LLC in Connection with NYSE
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Arca Equities Rule 9.20(b)
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Rules
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Acceptance of Pass-Through Letters of Credit as a Form of Margin Asset
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New EDGA Rule Regarding Telemarketing
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Simultaneous Routing Functionality
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Rule 3080 (Disclosure to Associated Persons When Signing Form U-4); Rel. No. 34-53669, File No. SR-NASD-2006-046. ORDER INSTITUTING
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of the Revised Uniform Application for Securities Industry Registration or Transfer (Form U4) and Revised Uniform Termination Notice for Securities Industry Registrat
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Its Rules an Existing Policy Related to the Application of NYSE Amex Options Rule 935NY - edocket access gpo
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Accommodate the Use of Vault Receipts or Warehouse Depository Receipts in Electronic Form, Rather Than Vault Receipts or Warehouse Depository Receipts in Physical Form,
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act. A brief summary of financial proposals filed with and actions by the SEC - sec
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 1140 and 3080 to Reflect Changes to a Corresponding FINRA Rule. NASD Form 1 Exhibits - sec
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Rules 7.6, 7.31, 7.34, 98, 107B and 131A, to Specify Order Behavior for Orders Entered Via the Pillar Phase II Protocols
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview) - sec
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 616, Electronic Filing Requirements for Uniform Forms - sec
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the BX Routing Order Rule - sec
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens - sec
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rules Relating to the Legal Entity Identifier Requirement
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Short-Form License Agreement That Must Be Signed by OCC Clearing Members Seeking to Clear Over-The-Counter Index Options on Underlying Indices Published by -
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate EDGX Rule 13.4
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Substantive Technical Changes to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) - sec
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify the Required Forms of Listing Application, Agreement and Other Documentation - sec
Notice of Filing and Immediate Effectiveness of the ... - SEC.gov
Notice of Filing and Immediate Effectiveness of the Fourth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago St
Notice of Filing and Immediate Effectiveness of the Sixteenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, I
Notice of Filing and Notice of Entry of Judgment
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Notice of Filing and Order
Notice of Filing and Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the National Association of Securities Dealers, Inc., New York Stock Exchange LLC, and NYSE Regulation, Inc.. File
Notice of Filing and Order Approving and Declaring Effective an ...
Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Excha
Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change and Amendments No. 1, 2, and 3 Thereto Relating to the Listing and Trading of Principal Protected Notes Linked...; Rel. No. 34-54790, File No. SR-Amex-2006-01.
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Notice of Filing and Public Hearings
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Notice of Filing Application
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NOTICE OF FILING APPLICATION FOR PERMANENT EMPLOYMENT CERTIFICATION
Notice of Filing Application for Permanent Employment Certification
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Notice of Filing Application(s) for Labor Certification
Notice of Filing Application(s) for Labor Certification
Notice of Filing Approved Cash Collateral Budgets - MF GLOBAL ...
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Notice of Filing Certain Amended Exhibits to Plan Supplement
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Notice of Filing Certification Application for Natural Gas Pipeline Corridor(s)
Notice of Filing Certification Application Form
Notice of Filing Chapter 13 Plan and Motions for Valuation ...
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NOTICE OF FILING CLAIM OF LIEN AND NOTICE OF INTENT TO
Notice of Filing Claims Register (02089283-1).DOC. Firm Clients33573357-101061256.DOC.
Notice Of Filing Clean-Up Lien For The Removal Of A Nuisance ...
Notice of Filing Confidential Information Form ... - Oregon - courts oregon