Securities and Exchange Commission July 24, 2006 – Federal Register Recent Federal Regulation Documents

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[reg] (QQQQ)

Document Number: Z6-10762

Type: Notice

Date: 2006-07-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2006/07/24/Z6-10762.html

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Listing Standards for Broad-Based Index Options

Document Number: E6-11682

Type: Notice

Date: 2006-07-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2006/07/24/E6-11682.html

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Enhancements to ACATS-Fund/SERV Processing Capabilities

Document Number: E6-11681

Type: Notice

Date: 2006-07-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2006/07/24/E6-11681.html

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Removing References to Outdated EPN Reports

Document Number: E6-11680

Type: Notice

Date: 2006-07-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2006/07/24/E6-11680.html

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Concerning Priority in Trades Involving Synthetic Option Orders

Document Number: C6-5679

Type: Notice

Date: 2006-07-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2006/07/24/C6-5679.html

Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934

Document Number: 06-6410

Type: Rule

Date: 2006-07-24

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission is publishing this interpretive release with respect to the scope of ``brokerage and research services'' and client commission arrangements under Section 28(e) of the Securities Exchange Act of 1934 (``Exchange Act''). The Commission is soliciting further comment on client commission arrangements under Section 28(e).

https://regulations.justia.com/regulations/fedreg/2006/07/24/06-6410.html

Amendments to the Informal and Other Procedures; Public Company Accounting Oversight Board Budget Approval Process

Document Number: 06-6409

Type: Rule

Date: 2006-07-24

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission (``SEC'' or ``Commission'') is amending its Informal and Other Procedures to add a rule that facilitates Commission review and approval of the budget and accounting support fee for the Public Company Accounting Oversight Board (``PCAOB'' or ``Board''), which is required by the Sarbanes-Oxley Act of 2002.

https://regulations.justia.com/regulations/fedreg/2006/07/24/06-6409.html