Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2006/04?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-03T15:28:33-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2006/04/28/E6-6415.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Floor Participant Technology Fee2006-04-28T00:00:00-07:002006-04-28T00:00:00-07:00E6-6415Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-28/pdf/E6-6415.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/28/E6-6414.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Arca Equities Inc. Rule 5.1(c)2006-04-28T00:00:00-07:002006-04-28T00:00:00-07:00E6-6414Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-28/pdf/E6-6414.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/28/E6-6413.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.); Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to the Proposed Rule Change Relating to Amending Exchange Delisting Rules to Conform to Recent Amendments to Commission Rules Regarding Removal From Listing and Withdrawal From Registration2006-04-28T00:00:00-07:002006-04-28T00:00:00-07:00E6-6413Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-28/pdf/E6-6413.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/28/E6-6412.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Written Compliance and Supervisory Controls2006-04-28T00:00:00-07:002006-04-28T00:00:00-07:00E6-6412Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-28/pdf/E6-6412.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/28/E6-6411.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving Proposed Rule Change and Amendments No. 1 and 2 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Relating to the Proposal to Reorganize From its Current Structure Into a Holding Company Structure2006-04-28T00:00:00-07:002006-04-28T00:00:00-07:00E6-6411Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-28/pdf/E6-6411.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/28/E6-6410.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NASD Rule 4500 Series To Describe an Application of Nasdaq's Authority To Waive Fees and To Make Certain Technical Changes2006-04-28T00:00:00-07:002006-04-28T00:00:00-07:00E6-6410Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-28/pdf/E6-6410.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/28/E6-6376.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Regarding Restrictions on Affiliation Between Nasdaq and Its Members2006-04-28T00:00:00-07:002006-04-28T00:00:00-07:00E6-6376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-28/pdf/E6-6376.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/28/E6-6375.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot2006-04-28T00:00:00-07:002006-04-28T00:00:00-07:00E6-6375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-28/pdf/E6-6375.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/28/E6-6374.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 2 Thereto Relating to the Suspension of Transaction Charges for Specialist Orders in the Nasdaq-100 Tracking Stock® (QQQQ)2006-04-28T00:00:00-07:002006-04-28T00:00:00-07:00E6-6374Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-28/pdf/E6-6374.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/28/E6-6373.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 to the Proposed Rule Change To Amend Exchange Delisting Rules To Conform to Recent Amendments to Commission Rules Regarding Removal From Listing and Withdrawal From Registration2006-04-28T00:00:00-07:002006-04-28T00:00:00-07:00E6-6373Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-28/pdf/E6-6373.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/27/E6-6345.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 to the Proposed Rule Change Relating to Amending Exchange Delisting Rules To Conform to Recent Amendments to Commission Rules Regarding Removal From Listing and Withdrawal From Registrations2006-04-27T00:00:00-07:002006-04-27T00:00:00-07:00E6-6345Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-27/pdf/E6-6345.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/27/E6-6322.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees Associated With Participation in the Web Central Registration Depository2006-04-27T00:00:00-07:002006-04-27T00:00:00-07:00E6-6322Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-27/pdf/E6-6322.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/27/E6-6321.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc. (n/k/a New York Stock Exchange LLC); Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto Relating to Proposed New Rules 342.24 (“Annual Branch Office Inspection”) and 342.25 (“Risk-Based Surveillance and Branch Office Identification”) to Permit Member Organizations to Classify Appropriate Branch Offices for Cyclical Inspections and Proposed New Rule 342.26 (“Criteria for Inspection Programs”)2006-04-27T00:00:00-07:002006-04-27T00:00:00-07:00E6-6321Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-27/pdf/E6-6321.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/27/E6-6320.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc. (n/k/a New York Stock Exchange LLC); Order Granting Approval of a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Thereto To Amend Exchange Delisting Rules To Conform to Recent Amendments to Commission Rules Regarding Removal From Listing and Withdrawal From Registration2006-04-27T00:00:00-07:002006-04-27T00:00:00-07:00E6-6320Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-27/pdf/E6-6320.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/27/E6-6319.htmlNotice - Joint Industry Plan; Notice of Filing and Order Granting Temporary Effectiveness of Amendment To Plan Establishing Procedures Under Rule 605 of Regulation NMS2006-04-27T00:00:00-07:002006-04-27T00:00:00-07:00E6-6319Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-27/pdf/E6-6319.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/27/E6-6318.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval of a Proposed Rule Change and Amendment Nos. 1, 2, and 3 To Amend Exchange Delisting Rules To Conform to Recent Amendments to Commission Rules Regarding Removal From Listing and Withdrawal From Registration2006-04-27T00:00:00-07:002006-04-27T00:00:00-07:00E6-6318Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-27/pdf/E6-6318.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/27/E6-6317.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Establish the Nasdaq Halt Cross2006-04-27T00:00:00-07:002006-04-27T00:00:00-07:00E6-6317Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-27/pdf/E6-6317.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/27/06-4010.htmlNotice - In the Matter of Skygivers, Inc.; Order of Suspension of Trading2006-04-27T00:00:00-07:002006-04-27T00:00:00-07:0006-4010Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-27/pdf/06-4010.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/27/06-4009.htmlNotice - In the Matter of Bullhide Corp.; Order of Suspension of Trading2006-04-27T00:00:00-07:002006-04-27T00:00:00-07:0006-4009Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-27/pdf/06-4009.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/26/E6-6250.htmlNotice - Order Extending Term of Short Sale Pilot2006-04-26T00:00:00-07:002006-04-26T00:00:00-07:00E6-6250Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-26/pdf/E6-6250.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/26/E6-6249.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Centralized Billing Process Relating to the Profile Modification System in DRS2006-04-26T00:00:00-07:002006-04-26T00:00:00-07:00E6-6249Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-26/pdf/E6-6249.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/26/E6-6231.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to the Nullification and Adjustment of Equity Options Transactions2006-04-26T00:00:00-07:002006-04-26T00:00:00-07:00E6-6231Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-26/pdf/E6-6231.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/26/E6-6230.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Specialist Participant Fees and Credits2006-04-26T00:00:00-07:002006-04-26T00:00:00-07:00E6-6230Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-26/pdf/E6-6230.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/26/06-3980.htmlNotice - In the Matter of Image Globe Solutions, Inc.; Order of Suspension of Trading2006-04-26T00:00:00-07:002006-04-26T00:00:00-07:0006-3980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-26/pdf/06-3980.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/25/E6-6147.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Automated Delivery and Handling of Stop and Stop-Limit Orders2006-04-25T00:00:00-07:002006-04-25T00:00:00-07:00E6-6147Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-25/pdf/E6-6147.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/25/E6-6146.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Adoption of a Licensing Fee for Options on the First Trust IPOX-100 Index Fund Shares2006-04-25T00:00:00-07:002006-04-25T00:00:00-07:00E6-6146Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-25/pdf/E6-6146.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/25/E6-6126.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Brut's Routing Order Process2006-04-25T00:00:00-07:002006-04-25T00:00:00-07:00E6-6126Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-25/pdf/E6-6126.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/25/E6-6125.htmlNotice - Public Company Accounting Oversight Board; Order Approving Proposed Ethics and Independence Rules Concerning Independence, Tax Services, and Contingent Fees and Notice of Filing and Order Granting Accelerated Approval of the Amendment Delaying Implementation of Certain of These Rules2006-04-25T00:00:00-07:002006-04-25T00:00:00-07:00E6-6125Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-25/pdf/E6-6125.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/24/E6-6078.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 To Amend Exchange Delisting Rules To Conform to Recent Amendments to Commission Rules Regarding Removal From Listing and Withdrawal From Registration2006-04-24T00:00:00-07:002006-04-24T00:00:00-07:00E6-6078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-24/pdf/E6-6078.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/24/E6-6077.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To List and Trade Shares of the iShares GSCI Commodity Indexed Trust Under New Rules 1300B and 1301B, et seq.2006-04-24T00:00:00-07:002006-04-24T00:00:00-07:00E6-6077Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-24/pdf/E6-6077.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/24/E6-6076.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; 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)2006-04-24T00:00:00-07:002006-04-24T00:00:00-07:00E6-6076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-24/pdf/E6-6076.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/24/E6-6074.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 To Amend Exchange Delisting Rules to Conform to Recent Amendments to Commission Rules Regarding Removal From Listing and Withdrawal From Registration2006-04-24T00:00:00-07:002006-04-24T00:00:00-07:00E6-6074Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-24/pdf/E6-6074.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/24/E6-6073.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Index-Linked Securities of Barclays Bank PLC Linked to the Performance of the GSCI® Total Return Index2006-04-24T00:00:00-07:002006-04-24T00:00:00-07:00E6-6073Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-24/pdf/E6-6073.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/24/E6-6072.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Delaying Implementation of Its Cancellation Fee2006-04-24T00:00:00-07:002006-04-24T00:00:00-07:00E6-6072Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-24/pdf/E6-6072.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/24/E6-6070.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change Relating to the Prohibition of Trade Shredding2006-04-24T00:00:00-07:002006-04-24T00:00:00-07:00E6-6070Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-24/pdf/E6-6070.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/24/E6-6068.htmlNotice - Bridgeway Funds, Inc., et al.; Notice of Application2006-04-24T00:00:00-07:002006-04-24T00:00:00-07:00E6-6068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-24/pdf/E6-6068.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/24/E6-6067.htmlNotice - Self-Regulatory Organizations; National Stock Exchange; Notice of Filing of Proposed Rule Change To Prohibit Tape Shredding2006-04-24T00:00:00-07:002006-04-24T00:00:00-07:00E6-6067Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-24/pdf/E6-6067.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/24/E6-6066.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation and National Securities Clearing Corporation; Notice of Filing of Proposed Rule Changes To Institute a Clearing Fund Premium Based Upon a Member's Clearing Fund Requirement To Excess Regulatory Capital Ratio2006-04-24T00:00:00-07:002006-04-24T00:00:00-07:00E6-6066Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-24/pdf/E6-6066.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/24/E6-6040.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to Procedures for Denying Initial and Continued Listing2006-04-24T00:00:00-07:002006-04-24T00:00:00-07:00E6-6040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-24/pdf/E6-6040.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/24/E6-6039.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Commentary .10 to Amex Rule 958 and Commentary .09 to Amex Rule 958-ANTE2006-04-24T00:00:00-07:002006-04-24T00:00:00-07:00E6-6039Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-24/pdf/E6-6039.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/21/E6-5974.htmlNotice - Frank Russell Investment Company, et al.; Notice of Application2006-04-21T00:00:00-07:002006-04-21T00:00:00-07:00E6-5974Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-21/pdf/E6-5974.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/21/06-3761.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc. (n/k/a New York Stock Exchange LLC); Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Proposal To List and Trade Index-Linked Securities of Barclays Bank PLC Linked to the Performance of the Dow Jones-AIG Commodity Index Total2006-04-21T00:00:00-07:002006-04-21T00:00:00-07:0006-3761Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-21/pdf/06-3761.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/20/E6-5933.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change to Amend the Criteria Used to Place Participants on Surveillance Status2006-04-20T00:00:00-07:002006-04-20T00:00:00-07:00E6-5933Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-20/pdf/E6-5933.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/20/E6-5920.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Relocation of Registered Options Traders Assigned Options Classes2006-04-20T00:00:00-07:002006-04-20T00:00:00-07:00E6-5920Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-20/pdf/E6-5920.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/20/E6-5919.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Allocation and Performance Evaluation Procedures for Securities Admitted to Dealings on an Unlisted Basis2006-04-20T00:00:00-07:002006-04-20T00:00:00-07:00E6-5919Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-20/pdf/E6-5919.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/20/E6-5918.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change and Amendments No. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 4 Relating to the Establishment of a New Class of Registered Options Trader Called a Remote Registered Options Trader2006-04-20T00:00:00-07:002006-04-20T00:00:00-07:00E6-5918Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-20/pdf/E6-5918.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/20/E6-5916.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendments No. 1 and No. 2 Thereto, Increasing Linkage Inbound Principal Order Fees2006-04-20T00:00:00-07:002006-04-20T00:00:00-07:00E6-5916Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-20/pdf/E6-5916.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/20/E6-5915.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Accelerated Approval of Proposed Rule Change Relating to Proposed Amendments to IM 2110-2 to Codify NASD's Existing Position that the Manning Rule Applies to All Members, Whether Acting as a Market Maker or Not2006-04-20T00:00:00-07:002006-04-20T00:00:00-07:00E6-5915Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-20/pdf/E6-5915.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/20/06-3800.htmlNotice - Sunshine Act Meeting2006-04-20T00:00:00-07:002006-04-20T00:00:00-07:0006-3800Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-20/pdf/06-3800.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/20/06-3739.htmlRule - Policy Statement Concerning Subpoenas to Members of the News Media2006-04-20T00:00:00-07:002006-04-20T00:00:00-07:0006-3739Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-20/pdf/06-3739.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5855.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Modify Order Delivery Charges for Orders Delivered to Nasdaq Market Center Participants2006-04-19T00:00:00-07:002006-04-19T00:00:00-07:00E6-5855Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-19/pdf/E6-5855.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5854.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Fees Related to Off-Floor Traders2006-04-19T00:00:00-07:002006-04-19T00:00:00-07:00E6-5854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-19/pdf/E6-5854.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5853.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to Restrictions on Arbitrators serving on CBOE's Arbitration Committee2006-04-19T00:00:00-07:002006-04-19T00:00:00-07:00E6-5853Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-19/pdf/E6-5853.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5800.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change and Amendments No. 2 and 3 Thereto Relating to the Establishment of a New Class of Registered Options Trader Called a Supplemental Registered Options Trader (“SROT”)2006-04-19T00:00:00-07:002006-04-19T00:00:00-07:00E6-5800Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-19/pdf/E6-5800.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5798.htmlNotice - Order Regarding Review of Financial Accounting Standards Board Accounting Support Fee for 2006 Under Section 109 of The Sarbanes-Oxley Act of 20022006-04-19T00:00:00-07:002006-04-19T00:00:00-07:00E6-5798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-19/pdf/E6-5798.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5797.htmlNotice - Proposed Collection; Comment Request2006-04-19T00:00:00-07:002006-04-19T00:00:00-07:00E6-5797Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-19/pdf/E6-5797.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5796.htmlNotice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20062006-04-19T00:00:00-07:002006-04-19T00:00:00-07:00E6-5796Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-19/pdf/E6-5796.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/19/E6-5794.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Regulatory Fees2006-04-19T00:00:00-07:002006-04-19T00:00:00-07:00E6-5794Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-19/pdf/E6-5794.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/18/E6-5709.htmlNotice - Special Value Opportunities Fund, LLC, et al.; Notice of Application2006-04-18T00:00:00-07:002006-04-18T00:00:00-07:00E6-5709Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-18/pdf/E6-5709.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/18/E6-5708.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Non-ISE Market Maker Orders2006-04-18T00:00:00-07:002006-04-18T00:00:00-07:00E6-5708Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-18/pdf/E6-5708.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5693.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of the Plan for Allocation of Regulatory Responsibilities Between The NASDAQ Stock Market LLC and the National Association of Securities Dealers, Inc.2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5693Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5693.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5689.htmlNotice - Submission for OMB Review; Comment Request2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5689Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5689.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5685.htmlNotice - Submission for OMB Review; Comment Request2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5685Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5685.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5684.htmlNotice - Submission for OMB Review; Comment Requested2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5684Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5684.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5682.htmlNotice - Submission for OMB Review; Comment Request2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5682Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5682.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5680.htmlNotice - Submission for OMB Review; Comment Request2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5680Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5680.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5676.htmlNotice - Submitted for OMB Review; Comment Request2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5676Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5676.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5674.htmlNotice - Submission for OMB Review; Comment Request2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5674Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5674.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5672.htmlNotice - Submissions for OMB Review; Comment Request2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5672Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5672.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5670.htmlNotice - Submission for OMB Review; Comment Request2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5670Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5670.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5653.htmlNotice - Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for The NASDAQ Stock Market LLC2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5653Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5653.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5650.htmlNotice - Self-Regulatory Organizations; Board of Trade of the City of Chicago, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Customer Margin Requirements for Security Futures2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5650Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5650.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5648.htmlNotice - Submission for OMB Review; Comment Request2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5648Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5648.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5611.htmlNotice - Self-Regulatory Organizations; Board of Trade of the City of Chicago, Inc.; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Security Futures Market Maker Registration Policy and Procedures2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5611Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5611.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/17/E6-5609.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.); Order Granting Approval of Proposed Rule Change Relating to Clearly Erroneous Executions2006-04-17T00:00:00-07:002006-04-17T00:00:00-07:00E6-5609Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-17/pdf/E6-5609.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/14/E6-5549.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Fee for the Brut Workstation2006-04-14T00:00:00-07:002006-04-14T00:00:00-07:00E6-5549Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-14/pdf/E6-5549.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/14/E6-5548.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto To List for Trading Options on the iShares MSCI Emerging Markets Index Fund2006-04-14T00:00:00-07:002006-04-14T00:00:00-07:00E6-5548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-14/pdf/E6-5548.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/14/E6-5529.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating to Restated Articles of Incorporation and By-Laws2006-04-14T00:00:00-07:002006-04-14T00:00:00-07:00E6-5529Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-14/pdf/E6-5529.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/14/06-3652.htmlNotice - Sunshine Act Meeting Notice2006-04-14T00:00:00-07:002006-04-14T00:00:00-07:0006-3652Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-14/pdf/06-3652.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/14/06-3341.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Nasdaq Market Center2006-04-14T00:00:00-07:002006-04-14T00:00:00-07:0006-3341Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-14/pdf/06-3341.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/13/E6-5486.htmlNotice - Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1 and 2 Thereto To Change the Names of the Pacific Exchange, Inc., PCX Equities, Inc., PCX Holdings, Inc., and the Archipelago Exchange, L.L.C.2006-04-13T00:00:00-07:002006-04-13T00:00:00-07:00E6-5486Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-13/pdf/E6-5486.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/13/E6-5485.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Brokers Executing as Principal Orders They Represent as Agent2006-04-13T00:00:00-07:002006-04-13T00:00:00-07:00E6-5485Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-13/pdf/E6-5485.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/13/E6-5483.htmlNotice - Van Eck Associates Corporation, et al.; Notice of Application2006-04-13T00:00:00-07:002006-04-13T00:00:00-07:00E6-5483Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-13/pdf/E6-5483.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/13/E6-5482.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Modify the Boston Options Exchange's Fee Schedule To Impose Surcharge Fees for Transactions in Options on ETFs on a Retroactive Basis2006-04-13T00:00:00-07:002006-04-13T00:00:00-07:00E6-5482Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-13/pdf/E6-5482.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/13/E6-5480.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees on the Russell 1000 Index2006-04-13T00:00:00-07:002006-04-13T00:00:00-07:00E6-5480Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-13/pdf/E6-5480.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5368.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Amendments to the Exchange's Allocation Policy and Procedures (NYSE Rules 103A, 103B, 123E and 476A)2006-04-12T00:00:00-07:002006-04-12T00:00:00-07:00E6-5368Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-12/pdf/E6-5368.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5367.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Orders Marked Sell Short Entered Before the Opening2006-04-12T00:00:00-07:002006-04-12T00:00:00-07:00E6-5367Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-12/pdf/E6-5367.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5366.htmlNotice - Self-Regulatory Organizations; NYSE Acra, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Exchange Fees and Charges2006-04-12T00:00:00-07:002006-04-12T00:00:00-07:00E6-5366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-12/pdf/E6-5366.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5365.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Permanent Approval of a Pilot Program Relating to Access to the Exchange's Hybrid Automatic Execution System2006-04-12T00:00:00-07:002006-04-12T00:00:00-07:00E6-5365Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-12/pdf/E6-5365.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5364.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Allow Nasdaq To Take Certain Actions on Behalf of Its Issuers in Connection With Nasdaq's Transition to a National Securities Exchange2006-04-12T00:00:00-07:002006-04-12T00:00:00-07:00E6-5364Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-12/pdf/E6-5364.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5363.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to the Prohibition of Trade Shredding by Members2006-04-12T00:00:00-07:002006-04-12T00:00:00-07:00E6-5363Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-12/pdf/E6-5363.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/12/E6-5362.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Registration Filing Requirements and Reporting Requirements2006-04-12T00:00:00-07:002006-04-12T00:00:00-07:00E6-5362Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-12/pdf/E6-5362.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/12/06-3544.htmlNotice - Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold the following meeting during the week of April 10, 2006:2006-04-12T00:00:00-07:002006-04-12T00:00:00-07:0006-3544Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-12/pdf/06-3544.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/11/E6-5245.htmlNotice - John Hancock Trust et al.; Notice of Application2006-04-11T00:00:00-07:002006-04-11T00:00:00-07:00E6-5245Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-11/pdf/E6-5245.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/11/E6-5244.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto To Amend NYSE Rule 619 To Clarify That Failure To Appear or Produce Documents in Arbitration May Be Deemed Conduct Inconsistent With Just and Equitable Principles of Trade2006-04-11T00:00:00-07:002006-04-11T00:00:00-07:00E6-5244Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-11/pdf/E6-5244.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/11/E6-5237.htmlNotice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 thereto to Establish New NASD Rule 2290 Regarding Fairness Opinions2006-04-11T00:00:00-07:002006-04-11T00:00:00-07:00E6-5237Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-11/pdf/E6-5237.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/11/E6-5236.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Short Sale Delivery Requirements2006-04-11T00:00:00-07:002006-04-11T00:00:00-07:00E6-5236Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-11/pdf/E6-5236.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/11/06-3485.htmlNotice - In the Matter of Golden Apple Oil and Gas, Inc.; Order of Suspension of Trading2006-04-11T00:00:00-07:002006-04-11T00:00:00-07:0006-3485Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-11/pdf/06-3485.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/11/06-3484.htmlNotice - In the Matter of KSW Industries, Inc.; Order of Suspension of Trading2006-04-11T00:00:00-07:002006-04-11T00:00:00-07:0006-3484Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-11/pdf/06-3484.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/11/06-3318.htmlNotice - The Travelers Insurance Company, et al. and MetLife Investors Insurance Company, et al.2006-04-11T00:00:00-07:002006-04-11T00:00:00-07:0006-3318Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-11/pdf/06-3318.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/10/E6-5183.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Bylaws of CHX Holdings, Inc.2006-04-10T00:00:00-07:002006-04-10T00:00:00-07:00E6-5183Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-10/pdf/E6-5183.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/10/E6-5182.htmlNotice - Advisory Committee on Smaller Public Companies2006-04-10T00:00:00-07:002006-04-10T00:00:00-07:00E6-5182Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-10/pdf/E6-5182.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/10/E6-5181.htmlNotice - Submission for OMB Review; Comment Request2006-04-10T00:00:00-07:002006-04-10T00:00:00-07:00E6-5181Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-10/pdf/E6-5181.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/10/E6-5152.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Certificate of Incorporation of NYSE Arca Holdings, Inc.2006-04-10T00:00:00-07:002006-04-10T00:00:00-07:00E6-5152Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-10/pdf/E6-5152.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/10/E6-5151.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules and Procedures Governing the Execution of Complex Orders Involving Options and Securities Futures2006-04-10T00:00:00-07:002006-04-10T00:00:00-07:00E6-5151Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-10/pdf/E6-5151.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/10/E6-5149.htmlNotice - Self-Regulatory Organizations; The Pacific Exchange, Inc. (n/k/a “NYSE Arca, Inc.”); Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Fees for Lead Market Makers, Transactions Within Exchange Traded Funds Listed on The New York Stock Exchange, Inc., and Registration and Transaction Fees for Equity Trading Permit Holders2006-04-10T00:00:00-07:002006-04-10T00:00:00-07:00E6-5149Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-10/pdf/E6-5149.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/10/E6-5147.htmlNotice - Joint Industry Plan; Notice of Filing of Options Regulatory Surveillance Authority Plan by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, International Securities Exchange, Inc., Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.) and Philadelphia Stock Exchange, Inc.2006-04-10T00:00:00-07:002006-04-10T00:00:00-07:00E6-5147Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-10/pdf/E6-5147.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/10/06-3188.htmlProposed Rule - Joint Proposed Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities2006-04-10T00:00:00-07:002006-04-10T00:00:00-07:0006-3188Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-10/pdf/06-3188.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/07/Z6-4274.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Session/API Fees2006-04-07T00:00:00-07:002006-04-07T00:00:00-07:00Z6-4274Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-07/pdf/Z6-4274.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/07/E6-5084.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Class Quoting Limit in the Option Class Apple Computer2006-04-07T00:00:00-07:002006-04-07T00:00:00-07:00E6-5084Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-07/pdf/E6-5084.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/07/E6-5082.htmlNotice - Submission for OMB Review; Comment Request2006-04-07T00:00:00-07:002006-04-07T00:00:00-07:00E6-5082Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-07/pdf/E6-5082.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/07/E6-5058.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change Relating to the Real-Time NYSE OpenBook® Service and OpenBook® Fees and Order Approving Proposed Rule Change Relating to the Contract Terms Governing Vendor Displays of NYSE OpenBook® Data, and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 2 Thereto2006-04-07T00:00:00-07:002006-04-07T00:00:00-07:00E6-5058Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-07/pdf/E6-5058.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/07/E6-5057.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Dissemination of Index Values2006-04-07T00:00:00-07:002006-04-07T00:00:00-07:00E6-5057Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-07/pdf/E6-5057.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/07/06-3390.htmlNotice - Sunshine Act Meeting2006-04-07T00:00:00-07:002006-04-07T00:00:00-07:0006-3390Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-07/pdf/06-3390.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/06/E6-5034.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to the Exposure Period for Crossing Orders in the Hybrid Trading System2006-04-06T00:00:00-07:002006-04-06T00:00:00-07:00E6-5034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-06/pdf/E6-5034.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/06/E6-5033.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3 Thereto Relating to Rule 4350(e) To Amend the Annual Shareholder Meeting Requirement2006-04-06T00:00:00-07:002006-04-06T00:00:00-07:00E6-5033Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-06/pdf/E6-5033.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/06/E6-5019.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Rule 431 (“Margin Requirements”) and Rule 726 (“Delivery of Options Disclosure Document and Prospectus”) To Expand the Products Eligible for Customer Portfolio Margining and Cross-Margining and Eliminate Separate Cross-Margin Accounts2006-04-06T00:00:00-07:002006-04-06T00:00:00-07:00E6-5019Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-06/pdf/E6-5019.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/06/E6-5016.htmlNotice - Pacific Life Insurance Company, et al.2006-04-06T00:00:00-07:002006-04-06T00:00:00-07:00E6-5016Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-06/pdf/E6-5016.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/06/E6-5014.htmlNotice - Order Granting an Application of Peoples Financial Corporation Under Section 12(h) of the Securities Exchange Act of 19342006-04-06T00:00:00-07:002006-04-06T00:00:00-07:00E6-5014Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-06/pdf/E6-5014.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/06/E6-5006.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402006-04-06T00:00:00-07:002006-04-06T00:00:00-07:00E6-5006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-06/pdf/E6-5006.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/06/E6-4990.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Exchange Rules 475 and 4762006-04-06T00:00:00-07:002006-04-06T00:00:00-07:00E6-4990Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-06/pdf/E6-4990.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/06/E6-4989.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to Customer Portfolio Margining Requirements2006-04-06T00:00:00-07:002006-04-06T00:00:00-07:00E6-4989Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-06/pdf/E6-4989.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/06/E6-4987.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE Rule 103.12 Regarding Time Tracking Requirements of Specialists and Clerks2006-04-06T00:00:00-07:002006-04-06T00:00:00-07:00E6-4987Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-06/pdf/E6-4987.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/06/E6-4986.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Expand NASD's Order Audit Trail System Exemptive Authority To Include Recording Requirements2006-04-06T00:00:00-07:002006-04-06T00:00:00-07:00E6-4986Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-06/pdf/E6-4986.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/06/E6-4971.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Listing and Trading of Units of the United States Oil Fund, LP2006-04-06T00:00:00-07:002006-04-06T00:00:00-07:00E6-4971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-06/pdf/E6-4971.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/06/06-3322.htmlRule - Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-E2006-04-06T00:00:00-07:002006-04-06T00:00:00-07:0006-3322Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-06/pdf/06-3322.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/04/E6-4830.htmlNotice - Self-Regulatory Organization; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretive Notice to Compliance Rule 2-92006-04-04T00:00:00-07:002006-04-04T00:00:00-07:00E6-4830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-04/pdf/E6-4830.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/04/E6-4829.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3 and 4 Thereto Allowing Issuers of Listed Equity Securities, Structured Products, and Exchange Traded Funds a Right To Request a New Specialist2006-04-04T00:00:00-07:002006-04-04T00:00:00-07:00E6-4829Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-04/pdf/E6-4829.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/04/E6-4828.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Dual Listing2006-04-04T00:00:00-07:002006-04-04T00:00:00-07:00E6-4828Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-04/pdf/E6-4828.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/04/E6-4823.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto To Conform NYSE Rules 123C and 476A With NYSE Rule 80A2006-04-04T00:00:00-07:002006-04-04T00:00:00-07:00E6-4823Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-04/pdf/E6-4823.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/04/E6-4822.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Expand the Scope of NASD Rule 2440 and Interpretive Material 2440 Relating to Fair Prices and Commissions To Apply to All Securities Transactions2006-04-04T00:00:00-07:002006-04-04T00:00:00-07:00E6-4822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-04/pdf/E6-4822.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/04/E6-4821.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proposed Amendments to NASD Rule 1013 To Adopt a Standardized New Member Application Form (Form NMA)2006-04-04T00:00:00-07:002006-04-04T00:00:00-07:00E6-4821Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-04/pdf/E6-4821.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/04/E6-4799.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto To Clarify the Application of Certain Exchange Rules to the Trading of Options on Exchange-Traded Fund Shares2006-04-04T00:00:00-07:002006-04-04T00:00:00-07:00E6-4799Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-04/pdf/E6-4799.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/03/E6-4757.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to the Submission of SEC Rule 15c2-11 Information on Non-Nasdaq Securities2006-04-03T00:00:00-07:002006-04-03T00:00:00-07:00E6-4757Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-03/pdf/E6-4757.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/03/E6-4756.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Definition of Non-Customer2006-04-03T00:00:00-07:002006-04-03T00:00:00-07:00E6-4756Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-03/pdf/E6-4756.pdfhttps://regulations.justia.com/regulations/fedreg/2006/04/03/E6-4755.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VII, Section 1(g) Relating to the Exercise of Options Contracts2006-04-03T00:00:00-07:002006-04-03T00:00:00-07:00E6-4755Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-04-03/pdf/E6-4755.pdf