Securities and Exchange Commission May 2006 – Federal Register Recent Federal Regulation Documents

Results 101 - 133 of 133
Wells Fargo Funds Trust, et al.; Notice of Application
Document Number: E6-6913
Type: Notice
Date: 2006-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/08/E6-6913.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E6-6912
Type: Notice
Date: 2006-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Each applicant seeks an order declaring that it has ceased to be an investment company. On February 18, 2005, each applicant transferred its assets to JP Morgan Trust I, based on net asset value. Expenses of $850,000, $810,000, $850,000, $850,000, $850,000 and $2,550,000, respectively, incurred in connection with the reorganizations were paid by J.P. Morgan Investment Management Inc., applicants' investment adviser, or its affiliates. Filing Date: The applications were filed on April 3, 2006. Applicants' Address: 522 Fifth Ave., New York, NY 10036.
https://regulations.justia.com/regulations/fedreg/2006/05/08/E6-6912.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Rule 2520 (Margin Requirements)
Document Number: E6-6911
Type: Notice
Date: 2006-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/08/E6-6911.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Trade Submission Requirements and Fees and Pre-Netting
Document Number: E6-6910
Type: Notice
Date: 2006-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/08/E6-6910.html
MCSi, Inc.; Order of Suspension of Trading
Document Number: 06-4304
Type: Notice
Date: 2006-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/08/06-4304.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of a Proposed Rule Change To Require Members To Report All Transactions that Must Be Reported to NASD and Are Subject to a Regulatory Transaction Fee to the Nasdaq Market Center and/or the Trade Reporting and Comparison Service
Document Number: 06-4280
Type: Notice
Date: 2006-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/08/06-4280.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Withdrawal of Obsolete Question-and-Answer Interpretive Guidance Under Former Rule G-38, on Consultants, and Certain Question-and-Answer Interpretive Guidance Relating to the Definition of “Solicitation” Under Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business
Document Number: E6-6807
Type: Notice
Date: 2006-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/05/E6-6807.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Regarding the Nasdaq Crossing Network
Document Number: E6-6806
Type: Notice
Date: 2006-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/05/E6-6806.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 2 to Proposed Rule Change Relating to Definition of Solicitation Under MSRB Rules G-37 and G-38
Document Number: E6-6804
Type: Notice
Date: 2006-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/05/E6-6804.html
Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.); Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Trading of the DB Commodity Index Tracking Fund Pursuant to Unlisted Trading Privileges
Document Number: E6-6781
Type: Notice
Date: 2006-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/05/E6-6781.html
Intermarket Trading System; Notice of Filing and Immediate Effectiveness of the Twenty Second Amendment to the ITS Plan Relating to the Change in Name From the Cincinnati Stock Exchange, Inc., to the National Stock Exchange and to the Admission of the NASDAQ Stock Market LLC as an ITS Participant
Document Number: E6-6780
Type: Notice
Date: 2006-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/05/E6-6780.html
Proposed Collection; Comment Request
Document Number: E6-6779
Type: Notice
Date: 2006-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/05/E6-6779.html
Submission for OMB Review; Comment Request
Document Number: E6-6778
Type: Notice
Date: 2006-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/05/E6-6778.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Amend the Annual Fee for Certain Listed Bonds and Debentures
Document Number: E6-6777
Type: Notice
Date: 2006-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/05/E6-6777.html
Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, and 5 Thereto, and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 6 and 7, Relating to Amendments to Its By-Laws and Charter in Connection With a Restructuring of Its Board of Governors
Document Number: E6-6776
Type: Notice
Date: 2006-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/05/E6-6776.html
Proposed Collection; Comment Request
Document Number: E6-6775
Type: Notice
Date: 2006-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/05/E6-6775.html
Sunshine Act; Notice of Meeting
Document Number: 06-4279
Type: Notice
Date: 2006-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/05/06-4279.html
The Variable Annuity Life Insurance Company, et al., Notice of Application
Document Number: E6-6660
Type: Notice
Date: 2006-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/03/E6-6660.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CBOE Rule 8.4 Relating to Remote Market-Maker Appointments
Document Number: E6-6659
Type: Notice
Date: 2006-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/03/E6-6659.html
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 Principal Protected Notes Linked to the Metals-China Basket
Document Number: E6-6642
Type: Notice
Date: 2006-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/03/E6-6642.html
Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Execution of Complex Orders
Document Number: E6-6641
Type: Notice
Date: 2006-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/03/E6-6641.html
Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.); Order Granting Approval to Proposed Rule Change Relating to Trade Shredding
Document Number: E6-6640
Type: Notice
Date: 2006-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/03/E6-6640.html
Forum Funds, et al.; Notice of Application
Document Number: E6-6638
Type: Notice
Date: 2006-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/03/E6-6638.html
Self-Regulatory Organizations; National Stock ExchangeSM
Document Number: E6-6637
Type: Notice
Date: 2006-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/03/E6-6637.html
Order Making Fiscal Year 2007 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), 31(b), and 31(c) of the Securities Exchange Act of 1934
Document Number: 06-4192
Type: Notice
Date: 2006-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/03/06-4192.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Handling by INET and Brut of Sub-Penny Orders in Securities Listed on the New York Stock Exchange LLC or the American Stock Exchange LLC
Document Number: E6-6597
Type: Notice
Date: 2006-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/02/E6-6597.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Chicago Board Options Exchange, Incorporated; Notice of Extension of Comment Periods for the Proposed Rule Changes Relating to Customer Portfolio Margining Requirements
Document Number: E6-6596
Type: Notice
Date: 2006-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/02/E6-6596.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Maximum Single Order Share Amount in Nasdaq's INET Facility
Document Number: E6-6556
Type: Notice
Date: 2006-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/02/E6-6556.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of Interpretive Guidance on Customer Protection Obligations of Brokers, Dealers and Municipal Securities Dealers Relating to the Marketing of 529 College Savings Plans
Document Number: E6-6555
Type: Notice
Date: 2006-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/02/E6-6555.html
Proposed Collection; Comment Request;
Document Number: E6-6554
Type: Notice
Date: 2006-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/02/E6-6554.html
Self-Regulatory Organizations; National Stock Exchange; Order Granting Approval of Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 1 and 2 Thereto to Amend Exchange Delisting Rules to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
Document Number: E6-6503
Type: Notice
Date: 2006-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/01/E6-6503.html
Frank Russell Investment Company, et al.; Notice of Application
Document Number: E6-6481
Type: Notice
Date: 2006-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/01/E6-6481.html
Sunshine Act Meeting
Document Number: 06-4099
Type: Notice
Date: 2006-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/05/01/06-4099.html
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