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/2006/09?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-06T03:31:41-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2006/09/29/E6-16028.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Communications Concerning Investment Analysis Tools2006-09-29T00:00:00-07:002006-09-29T00:00:00-07:00E6-16028Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-29/pdf/E6-16028.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/29/E6-15986.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change, as Amended, Relating to Exchange to Exchange Billing Under the Linkage Plan2006-09-29T00:00:00-07:002006-09-29T00:00:00-07:00E6-15986Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-29/pdf/E6-15986.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/29/E6-15985.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Allow Cash, Next Day, and Seller's Option Equity Trades To Be Processed in the Continuous Net Settlement System and To Modify the Clearing Fund Formula To Mitigate the Risk Associated With the Shorter Settlement Cycle of Cash and Next Day Settling Trades2006-09-29T00:00:00-07:002006-09-29T00:00:00-07:00E6-15985Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-29/pdf/E6-15985.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/29/E6-15984.htmlNotice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of a Proposed Rule Change Relating to the Definition of a Margin Member2006-09-29T00:00:00-07:002006-09-29T00:00:00-07:00E6-15984Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-29/pdf/E6-15984.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/29/06-8397.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to Exchange Rules Governing Certain Definitions, Systemic Processing of Certain Orders, and the Implementation Schedule of the NYSE HYBRID MARKETSM2006-09-29T00:00:00-07:002006-09-29T00:00:00-07:0006-8397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-29/pdf/06-8397.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/29/06-8396.htmlNotice - In the matter of Geographics, Inc. (n/k/a G Printing, Inc.), Window Rock Capital Corp. (n/k/a Window Rock Capital Holdings, Inc.); Order of Suspension of Trading2006-09-29T00:00:00-07:002006-09-29T00:00:00-07:0006-8396Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-29/pdf/06-8396.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/28/E6-15926.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 Amending the Summary of Index Option and FXI Options Charges and the $60,000 “Firm Related” Equity Option and Index Option Cap2006-09-28T00:00:00-07:002006-09-28T00:00:00-07:00E6-15926Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-28/pdf/E6-15926.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/28/E6-15925.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To the Amendment to the Payment for Order Flow Plan To Include Supplemental Registered Options Traders2006-09-28T00:00:00-07:002006-09-28T00:00:00-07:00E6-15925Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-28/pdf/E6-15925.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/28/E6-15897.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To Eliminate Registration of Foreign Associates Under Nasdaq Membership Rules2006-09-28T00:00:00-07:002006-09-28T00:00:00-07:00E6-15897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-28/pdf/E6-15897.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/28/06-8365.htmlNotice - In the Matter of China Energy Savings Technology, Inc.; Order of Suspension of Trading2006-09-28T00:00:00-07:002006-09-28T00:00:00-07:0006-8365Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-28/pdf/06-8365.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/28/06-8355.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating To Exchange Rule 104.10 (“Dealings by Specialists”)2006-09-28T00:00:00-07:002006-09-28T00:00:00-07:0006-8355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-28/pdf/06-8355.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/27/E6-15799.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Practice of Using a Fifth Character Identifier With the Symbol of Foreign Securities2006-09-27T00:00:00-07:002006-09-27T00:00:00-07:00E6-15799Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-27/pdf/E6-15799.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/27/E6-15794.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto To Amend CBOE Rules Relating to the Electronic Designated Primary Market Maker Program2006-09-27T00:00:00-07:002006-09-27T00:00:00-07:00E6-15794Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-27/pdf/E6-15794.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/27/E6-15793.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Removing Its Short Sale Price Test Rule2006-09-27T00:00:00-07:002006-09-27T00:00:00-07:00E6-15793Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-27/pdf/E6-15793.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/27/E6-15792.htmlNotice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing of a Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction With the National Stock Exchange2006-09-27T00:00:00-07:002006-09-27T00:00:00-07:00E6-15792Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-27/pdf/E6-15792.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/26/E6-15709.htmlNotice - Quaker Investment Trust and Quaker Funds, Inc.; Notice of Application2006-09-26T00:00:00-07:002006-09-26T00:00:00-07:00E6-15709Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/E6-15709.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/26/C6-7661.htmlRule - Alaska Native Veteran Allotments2006-09-26T00:00:00-07:002006-09-26T00:00:00-07:00C6-7661Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/C6-7661.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/26/C6-6968.htmlRule - Executive Compensation and Related Person Disclosure2006-09-26T00:00:00-07:002006-09-26T00:00:00-07:00C6-6968Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/C6-6968.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/26/06-8244.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of the Previously Approved Rule Relating to Information Contained in a Directed Order2006-09-26T00:00:00-07:002006-09-26T00:00:00-07:0006-8244Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/06-8244.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/26/06-8239.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Extension of Time Requests2006-09-26T00:00:00-07:002006-09-26T00:00:00-07:0006-8239Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/06-8239.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/26/06-8238.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Adopt New NASD Rule 5150 Relating to Trade-Throughs2006-09-26T00:00:00-07:002006-09-26T00:00:00-07:0006-8238Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/06-8238.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/26/06-8237.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reduced Discounted Clearing Fees2006-09-26T00:00:00-07:002006-09-26T00:00:00-07:0006-8237Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/06-8237.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/26/06-8236.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Trading Shares of iShares® S&P Global Index Funds Pursuant to Unlisted Trading Privileges2006-09-26T00:00:00-07:002006-09-26T00:00:00-07:0006-8236Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-26/pdf/06-8236.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/25/06-8143.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market/Limit-on-Open Orders Sent to the American Stock Exchange or New York Stock Exchange2006-09-25T00:00:00-07:002006-09-25T00:00:00-07:0006-8143Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8143.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/25/06-8142.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Thru Orders for Nasdaq's INET Facility2006-09-25T00:00:00-07:002006-09-25T00:00:00-07:0006-8142Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8142.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/25/06-8141.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Delivery of Options Disclosure Documents2006-09-25T00:00:00-07:002006-09-25T00:00:00-07:0006-8141Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8141.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/25/06-8140.htmlNotice - Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC; Notice of Application2006-09-25T00:00:00-07:002006-09-25T00:00:00-07:0006-8140Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8140.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/25/06-8137.htmlNotice - Submission for OMB Review; Comment Request2006-09-25T00:00:00-07:002006-09-25T00:00:00-07:0006-8137Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8137.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/25/06-8136.htmlNotice - Submission for OMB Review; Comment Request2006-09-25T00:00:00-07:002006-09-25T00:00:00-07:0006-8136Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8136.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/25/06-8135.htmlNotice - Submissions for OMB Review; Comment Request2006-09-25T00:00:00-07:002006-09-25T00:00:00-07:0006-8135Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-25/pdf/06-8135.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-8043.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Existing Rules for Portfolio Depository Receipts, Index Fund Shares, and Index-Linked Securities2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-8043Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8043.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-8040.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Require Members To File Regulatory Notices With NASD Electronically2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-8040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8040.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-8038.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendments No. 1 and No. 2 Thereto, To Re-Establish the Market Opening Pilot Program2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-8038Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8038.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-8037.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Marketing Fee Program2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-8037Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8037.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-8036.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Equities, Inc.’s Clearly Erroneous Executions Rule To Include an Appeal Fee for the Archipelago Exchange2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-8036Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8036.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-8003.htmlNotice - Self-Regulatory Organization; OneChicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Block Trades2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-8003Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8003.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-8002.htmlNotice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Listing Standards of Security Futures Products2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-8002Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8002.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-8001.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow for the Digital Recording of Arbitration Hearings2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-8001Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8001.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-8000.htmlNotice - Proposed Collection; Comment Request2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-8000Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-8000.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-7999.htmlNotice - Submission for OMB Review; Comment Request2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-7999Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-7999.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-7998.htmlNotice - Claymore Securities, Inc. and Claymore Securities Defined Portfolios, Notice of Application2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-7998Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-7998.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-7997.htmlNotice - Submission for OMB Review; Comment Request2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-7997Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-7997.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-7996.htmlNotice - Submission for OMB Review2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-7996Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-7996.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-7995.htmlNotice - Submission for OMB Review; Comment Request2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-7995Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-7995.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/22/06-7994.htmlNotice - Proposed Collections; Comment Request2006-09-22T00:00:00-07:002006-09-22T00:00:00-07:0006-7994Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-22/pdf/06-7994.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/21/06-7897.htmlNotice - State Farm Mutual Fund Trust, et al.; Notice of Application September 15, 2006.2006-09-21T00:00:00-07:002006-09-21T00:00:00-07:0006-7897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7897.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/21/06-7896.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to iShares® S&P Global Index Funds2006-09-21T00:00:00-07:002006-09-21T00:00:00-07:0006-7896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7896.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/21/06-7845.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Reflect Nasdaq's Complete Separation From NASD Upon the NASDAQ Stock Market LLC's Operation as a National Securities Exchange for Non-Nasdaq Exchange-Listed Securities2006-09-21T00:00:00-07:002006-09-21T00:00:00-07:0006-7845Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7845.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/21/06-7844.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation and National Securities Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Member's Clearing Fund Requirement to Excess Regulatory Capital Ratio2006-09-21T00:00:00-07:002006-09-21T00:00:00-07:0006-7844Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7844.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/21/06-7843.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Pilot Programs for Remote Market-Makers and e-DPMs2006-09-21T00:00:00-07:002006-09-21T00:00:00-07:0006-7843Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7843.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/21/06-7842.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval to Amendment No. 4 to a Proposed Rule Change Relating to the Exchange's Schedule of Fees and Charges2006-09-21T00:00:00-07:002006-09-21T00:00:00-07:0006-7842Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7842.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/21/06-7841.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Accelerated Approval of a Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to the Listing and Trading of the DB Currency Index Value Fund2006-09-21T00:00:00-07:002006-09-21T00:00:00-07:0006-7841Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7841.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/21/06-7840.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 777 Regarding Depository Eligibility2006-09-21T00:00:00-07:002006-09-21T00:00:00-07:0006-7840Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7840.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/21/06-7839.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to a Surcharge for Non-Clearing Member Subscribers That Have Not Met a Mandated Conversion Date for Its Data Distribution Service2006-09-21T00:00:00-07:002006-09-21T00:00:00-07:0006-7839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7839.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/21/06-7838.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Providing Financial Reports to Participants2006-09-21T00:00:00-07:002006-09-21T00:00:00-07:0006-7838Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-21/pdf/06-7838.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/20/E6-15588.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to a Proposed Rule Change Relating to Disciplinary and Delisting Procedures2006-09-20T00:00:00-07:002006-09-20T00:00:00-07:00E6-15588Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-20/pdf/E6-15588.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/20/E6-15587.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Fees for Tracking Orders Submitted and Executed on NYSE Arca, Inc., Regulatory Filing and Registration Fees for Equity Trading Permit Holders, and Drop Copy Processing Fees for Certain Trades in Listed and Nasdaq Securities2006-09-20T00:00:00-07:002006-09-20T00:00:00-07:00E6-15587Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-20/pdf/E6-15587.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/20/E6-15586.htmlNotice - Proposed Collection; Comment Request2006-09-20T00:00:00-07:002006-09-20T00:00:00-07:00E6-15586Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-20/pdf/E6-15586.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/20/E6-15585.htmlNotice - Proposed Collection; Comment Request2006-09-20T00:00:00-07:002006-09-20T00:00:00-07:00E6-15585Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-20/pdf/E6-15585.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/20/E6-15572.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Exempt All Securities Included in the NASDAQ-100 Index From the Price Test Set Forth in NASDAQ Rule 3350(a)2006-09-20T00:00:00-07:002006-09-20T00:00:00-07:00E6-15572Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-20/pdf/E6-15572.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/19/E6-15515.htmlNotice - Joint Industry Plan; Notice of Filing and Effectiveness of Amendment No. 17 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, Inc., the National Association of Securities Dealers, Inc., the National Stock Exchange, Inc., the NASDAQ Stock Market LLC, NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.2006-09-19T00:00:00-07:002006-09-19T00:00:00-07:00E6-15515Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-19/pdf/E6-15515.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/19/E6-15513.htmlNotice - Marshall Funds, Inc. and M&I Investment Management Corp.; Notice of Application2006-09-19T00:00:00-07:002006-09-19T00:00:00-07:00E6-15513Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-19/pdf/E6-15513.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/19/E6-15499.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Crowd and To Clarify the Requirements of Exchange Rule 70.20(f)2006-09-19T00:00:00-07:002006-09-19T00:00:00-07:00E6-15499Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-19/pdf/E6-15499.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/19/E6-15498.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to Quoting Obligations2006-09-19T00:00:00-07:002006-09-19T00:00:00-07:00E6-15498Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-19/pdf/E6-15498.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15459.htmlNotice - Proposed Collection; Comment Request2006-09-18T00:00:00-07:002006-09-18T00:00:00-07:00E6-15459Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15459.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15458.htmlNotice - Submission for OMB Review; Comment Request2006-09-18T00:00:00-07:002006-09-18T00:00:00-07:00E6-15458Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15458.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15457.htmlRule - Staff Accounting Bulletin No. 1082006-09-18T00:00:00-07:002006-09-18T00:00:00-07:00E6-15457Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15457.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15453.htmlNotice - Submissions for OMB Review; Comment Request2006-09-18T00:00:00-07:002006-09-18T00:00:00-07:00E6-15453Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15453.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15449.htmlNotice - Submission for OMB Review; Comment Request2006-09-18T00:00:00-07:002006-09-18T00:00:00-07:00E6-15449Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15449.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15446.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval to Proposed Rule Change To Modify the Cure Period Available to an Issuer That Loses an Independent Director or Audit Committee Member2006-09-18T00:00:00-07:002006-09-18T00:00:00-07:00E6-15446Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15446.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15441.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain Transitional Corporate Governance Rules2006-09-18T00:00:00-07:002006-09-18T00:00:00-07:00E6-15441Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15441.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15405.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Fees and Charges2006-09-18T00:00:00-07:002006-09-18T00:00:00-07:00E6-15405Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15405.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15404.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc., Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Broker/Dealer (Non-AUTOM-Delivered) Equity Option Transaction Charge2006-09-18T00:00:00-07:002006-09-18T00:00:00-07:00E6-15404Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15404.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/18/E6-15402.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Dividend, Merger, and Short Stock Interest Strategy Program2006-09-18T00:00:00-07:002006-09-18T00:00:00-07:00E6-15402Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-18/pdf/E6-15402.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/15/E6-15322.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Changes2006-09-15T00:00:00-07:002006-09-15T00:00:00-07:00E6-15322Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/E6-15322.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/15/E6-15321.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Establish Rules for a Screen-Based Trading System for Non-Option Securities2006-09-15T00:00:00-07:002006-09-15T00:00:00-07:00E6-15321Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/E6-15321.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/15/E6-15320.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Definition of a Directed Order2006-09-15T00:00:00-07:002006-09-15T00:00:00-07:00E6-15320Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/E6-15320.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/15/E6-15319.htmlNotice - Proposed Collections; Comment Request2006-09-15T00:00:00-07:002006-09-15T00:00:00-07:00E6-15319Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/E6-15319.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/15/E6-15299.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Fees and Charges2006-09-15T00:00:00-07:002006-09-15T00:00:00-07:00E6-15299Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/E6-15299.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/15/E6-15298.htmlNotice - IDS Life Insurance Company, et al., Notice of Application2006-09-15T00:00:00-07:002006-09-15T00:00:00-07:00E6-15298Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/E6-15298.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/15/06-7728.htmlNotice - Sunshine Act Meetings2006-09-15T00:00:00-07:002006-09-15T00:00:00-07:0006-7728Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/06-7728.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/15/06-7725.htmlNotice - In the Matter of Indigenous Global Development Corporation; Order of Suspension of Trading2006-09-15T00:00:00-07:002006-09-15T00:00:00-07:0006-7725Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-15/pdf/06-7725.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/14/E6-15273.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to a Retroactive Suspension of Transaction Charges for Specialist Orders in the Nasdaq-100 Tracking Stock® (QQQQ)2006-09-14T00:00:00-07:002006-09-14T00:00:00-07:00E6-15273Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-14/pdf/E6-15273.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/14/E6-15268.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Market Maker Orders2006-09-14T00:00:00-07:002006-09-14T00:00:00-07:00E6-15268Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-14/pdf/E6-15268.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/14/E6-15241.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Adopt New Rules To Implement on a Pilot Basis an Initial Version of AEMI, Its Proposed New Hybrid Market Trading Platform for Equity Products and Exchange Traded Funds2006-09-14T00:00:00-07:002006-09-14T00:00:00-07:00E6-15241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-14/pdf/E6-15241.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/14/E6-15230.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change to MSRB Rule G-14 RTRS Procedures Relating to “List Offering Price” and “Takedown” Transactions2006-09-14T00:00:00-07:002006-09-14T00:00:00-07:00E6-15230Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-14/pdf/E6-15230.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/14/E6-15229.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change Amending Rules to Mandate Listed Companies Become Eligible To Participate in a Direct Registration System2006-09-14T00:00:00-07:002006-09-14T00:00:00-07:00E6-15229Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-14/pdf/E6-15229.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/14/06-7641.htmlNotice - National Life Insurance Company, et al.2006-09-14T00:00:00-07:002006-09-14T00:00:00-07:0006-7641Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-14/pdf/06-7641.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/13/E6-15191.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the LENS Service2006-09-13T00:00:00-07:002006-09-13T00:00:00-07:00E6-15191Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-13/pdf/E6-15191.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/13/E6-15189.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Name Change of a Board Committee and of a Securities Market2006-09-13T00:00:00-07:002006-09-13T00:00:00-07:00E6-15189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-13/pdf/E6-15189.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/13/E6-15187.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC.; Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Rule 607 Relating to the Classification of Arbitrators as Public or Industry2006-09-13T00:00:00-07:002006-09-13T00:00:00-07:00E6-15187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-13/pdf/E6-15187.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/13/E6-15186.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change Relating to Rule 2340 Concerning Customer Account Statements2006-09-13T00:00:00-07:002006-09-13T00:00:00-07:00E6-15186Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-13/pdf/E6-15186.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/13/06-7654.htmlNotice - In the Matter of Southwestern Medical Solutions, Inc.; Order of Suspension of Trading2006-09-13T00:00:00-07:002006-09-13T00:00:00-07:0006-7654Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-13/pdf/06-7654.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/12/E6-15054.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Granting Accelerated Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Thereto Relating To Establishing ISE Stock Exchange, LLC as a Facility of the International Securities Exchange, Inc2006-09-12T00:00:00-07:002006-09-12T00:00:00-07:00E6-15054Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-12/pdf/E6-15054.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/12/E6-15051.htmlNotice - Self-Regulatory Organizations; the International Securities Exchange, Inc., Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Short Sales2006-09-12T00:00:00-07:002006-09-12T00:00:00-07:00E6-15051Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-12/pdf/E6-15051.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/12/06-7607.htmlNotice - Sunshine Act Meeting2006-09-12T00:00:00-07:002006-09-12T00:00:00-07:0006-7607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-12/pdf/06-7607.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/11/Z6-14304.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of a Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to the Listing and Trading of the DB Currency Index Value Fund2006-09-11T00:00:00-07:002006-09-11T00:00:00-07:00Z6-14304Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-11/pdf/Z6-14304.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/11/E6-14948.htmlNotice - Submission for OMB Review; Comment Request2006-09-11T00:00:00-07:002006-09-11T00:00:00-07:00E6-14948Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-11/pdf/E6-14948.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/11/E6-14947.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating To Doing Business With the Public2006-09-11T00:00:00-07:002006-09-11T00:00:00-07:00E6-14947Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-11/pdf/E6-14947.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/11/06-7269.htmlProposed Rule - Electronic Filing of Transfer Agent Forms2006-09-11T00:00:00-07:002006-09-11T00:00:00-07:0006-7269Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-11/pdf/06-7269.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14879.htmlNotice - Delaware Investments Dividend and Income Fund, Inc., et al., Notice of Intention To Rescind an Order2006-09-08T00:00:00-07:002006-09-08T00:00:00-07:00E6-14879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14879.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14878.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Relating to Rules to Allow the Listing and Trading of Options on Indices on the Boston Options Exchange2006-09-08T00:00:00-07:002006-09-08T00:00:00-07:00E6-14878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14878.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14877.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Standard Position and Exercise Limit Pilot Program2006-09-08T00:00:00-07:002006-09-08T00:00:00-07:00E6-14877Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14877.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14876.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Declaration of Effectiveness of the Philadelphia Stock Exchange Fingerprinting Plan2006-09-08T00:00:00-07:002006-09-08T00:00:00-07:00E6-14876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14876.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14857.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change Relating to the Use of Margin Deposit in the Event of a Clearing Member Liquidation2006-09-08T00:00:00-07:002006-09-08T00:00:00-07:00E6-14857Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14857.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14855.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Regarding DPM and e-DPM Membership Ownership Requirements and the Ultimate Matching Algorithm2006-09-08T00:00:00-07:002006-09-08T00:00:00-07:00E6-14855Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14855.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/08/E6-14854.htmlNotice - Submission for OMB Review; Comment Request2006-09-08T00:00:00-07:002006-09-08T00:00:00-07:00E6-14854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/E6-14854.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/08/06-7405.htmlProposed Rule - Executive Compensation Disclosure2006-09-08T00:00:00-07:002006-09-08T00:00:00-07:0006-7405Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/06-7405.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/08/06-6968.htmlRule - Executive Compensation and Related Person Disclosure2006-09-08T00:00:00-07:002006-09-08T00:00:00-07:0006-6968Rulehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-08/pdf/06-6968.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14808.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Thereto to Amend Its Trading Rules to Provide for a Price-Time Priority Market and Other Related Changes2006-09-07T00:00:00-07:002006-09-07T00:00:00-07:00E6-14808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14808.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14806.htmlNotice - Order Granting an Exemption for Qualified Contingent Trades From Rule 611(a) of Regulation NMS Under the Securities Exchange Act of 19342006-09-07T00:00:00-07:002006-09-07T00:00:00-07:00E6-14806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14806.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14805.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Extension of Its Dividend, Merger, and Short Stock Interest Strategies Fee Cap Pilot Program2006-09-07T00:00:00-07:002006-09-07T00:00:00-07:00E6-14805Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14805.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14794.htmlNotice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program That Increases Position and Exercise Limits for Equity Options and Options on the Nasdaq-100 Tracking Stock2006-09-07T00:00:00-07:002006-09-07T00:00:00-07:00E6-14794Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14794.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14793.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Option Position Limits2006-09-07T00:00:00-07:002006-09-07T00:00:00-07:00E6-14793Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14793.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14792.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Boston Options Exchange Trading Rules Regarding the Extension of a Pilot Program That Increases the Standard Position and Exercise Limits for Certain Options Traded2006-09-07T00:00:00-07:002006-09-07T00:00:00-07:00E6-14792Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14792.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/07/E6-14784.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Plan for Allocation of Regulatory Responsibilities Between NYSE Arca, Inc. and the National Association of Securities Dealers, Inc.2006-09-07T00:00:00-07:002006-09-07T00:00:00-07:00E6-14784Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-07/pdf/E6-14784.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/06/E6-14699.htmlNotice - Principal Life Insurance Company; et al., Notice of Application2006-09-06T00:00:00-07:002006-09-06T00:00:00-07:00E6-14699Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-06/pdf/E6-14699.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/06/E6-14698.htmlNotice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Extending Its Pilot Programs for Dividend, Merger, and Short Stock Interest Strategies2006-09-06T00:00:00-07:002006-09-06T00:00:00-07:00E6-14698Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-06/pdf/E6-14698.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/06/E6-14697.htmlNotice - Submission for OMB Review; Comment Request2006-09-06T00:00:00-07:002006-09-06T00:00:00-07:00E6-14697Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-06/pdf/E6-14697.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/06/E6-14696.htmlNotice - AdvisorOne Funds and Dunham & Associates Investment Counsel, Inc.; Notice of Application2006-09-06T00:00:00-07:002006-09-06T00:00:00-07:00E6-14696Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-06/pdf/E6-14696.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/05/E6-14651.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Revise The Nasdaq Capital Market Listing Requirements2006-09-05T00:00:00-07:002006-09-05T00:00:00-07:00E6-14651Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-05/pdf/E6-14651.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/05/E6-14599.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Pricing Schedule for NASD Members Using the ITS/CAES System, Brut, and Inet To Trade Securities Not Listed on The NASDAQ Stock Market LLC2006-09-05T00:00:00-07:002006-09-05T00:00:00-07:00E6-14599Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-05/pdf/E6-14599.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/05/E6-14598.htmlNotice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Pricing for Non-Members Using Nasdaq's Brut and Inet Facilities2006-09-05T00:00:00-07:002006-09-05T00:00:00-07:00E6-14598Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-05/pdf/E6-14598.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/05/E6-14597.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Regarding Market-Maker Appointments2006-09-05T00:00:00-07:002006-09-05T00:00:00-07:00E6-14597Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-05/pdf/E6-14597.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/05/E6-14596.htmlNotice - Proposed Collection; Comment Request2006-09-05T00:00:00-07:002006-09-05T00:00:00-07:00E6-14596Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-05/pdf/E6-14596.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/05/06-7442.htmlNotice - Sunshine Act Meeting2006-09-05T00:00:00-07:002006-09-05T00:00:00-07:0006-7442Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-05/pdf/06-7442.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14564.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 Thereto To Implement the Boston Equities Exchange (“BeX”) Trading System2006-09-01T00:00:00-07:002006-09-01T00:00:00-07:00E6-14564Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14564.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14563.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, Inc. (n/k/a New York Stock Exchange LLC); Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to Exchange Rule 312(f) Regarding Changes Within Member Organizations2006-09-01T00:00:00-07:002006-09-01T00:00:00-07:00E6-14563Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14563.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14552.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule To Revise the DTC Custody Service Guide To Incorporate the Terms of Certain Participant Agreements2006-09-01T00:00:00-07:002006-09-01T00:00:00-07:00E6-14552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14552.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14538.htmlNotice - Merrill Lynch Life Insurance Company, et al; Notice of Application2006-09-01T00:00:00-07:002006-09-01T00:00:00-07:00E6-14538Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14538.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14531.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 3 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 To Create a New Electronic Trading Facility, the Boston Equities Exchange (“BeX”), To Be Operated by BSX Group, LLC2006-09-01T00:00:00-07:002006-09-01T00:00:00-07:00E6-14531Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14531.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14530.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Its Minor Rule Violation Plan2006-09-01T00:00:00-07:002006-09-01T00:00:00-07:00E6-14530Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14530.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14529.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 Thereto To Amend Exchange Rule 104 Regarding the Requirement That Specialists Obtain Floor Official Approval for Destabilizing Dealer Account Transactions That Match the National Best Bid or Offer2006-09-01T00:00:00-07:002006-09-01T00:00:00-07:00E6-14529Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14529.pdfhttps://regulations.justia.com/regulations/fedreg/2006/09/01/E6-14528.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Clarifying and Technical Changes to NSCC's Rules Regarding Its Fund/Serv Mutual Fund Processing System2006-09-01T00:00:00-07:002006-09-01T00:00:00-07:00E6-14528Noticehttp://www.gpo.gov/fdsys/pkg/FR-2006-09-01/pdf/E6-14528.pdf