Securities and Exchange Commission July 18, 2006 – Federal Register Recent Federal Regulation Documents

Results 1 - 7 of 7
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Granting Approval of Plan for Allocation of Regulatory Responsibilities Between The NASDAQ Stock Market LLC and the National Association of Securities Dealers, Inc.
Document Number: E6-11327
Type: Notice
Date: 2006-07-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/07/18/E6-11327.html
Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Short Term Option Series Pilot Program
Document Number: E6-11326
Type: Notice
Date: 2006-07-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/07/18/E6-11326.html
Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Amendments Nos. 1, 2 and 3 to Proposed Rule Change To Revise Rule 10322 of the NASD Code of Arbitration Procedure Which Pertains to Subpoenas and the Power To Direct Appearances
Document Number: E6-11325
Type: Notice
Date: 2006-07-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/07/18/E6-11325.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the NYSE Arca, Inc. Amending Rules To Mandate Listed Companies Become Eligible To Participate in a Direct Registration System
Document Number: E6-11313
Type: Notice
Date: 2006-07-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/07/18/E6-11313.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a 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 Pilot Program
Document Number: E6-11312
Type: Notice
Date: 2006-07-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/07/18/E6-11312.html
Concept Release Concerning Management's Reports on Internal Control Over Financial Reporting
Document Number: E6-11226
Type: Proposed Rule
Date: 2006-07-18
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is publishing this Concept Release to understand better the extent and nature of public interest in the development of additional guidance for management regarding its evaluation and assessment of internal control over financial reporting so that any guidance the Commission develops addresses the needs and concerns of public companies, consistent with the protection of investors.
https://regulations.justia.com/regulations/fedreg/2006/07/18/E6-11226.html
Sunshine Act Meeting
Document Number: 06-6303
Type: Notice
Date: 2006-07-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2006/07/18/06-6303.html
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